-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, O4Xs05p9mn2MgvBlcpQtut2WU6niNOR4dVQqEslH5zXVAkTSplWX4AFemXesA+aN N6AytMk/OKT4UvSRK1QgPg== 0001047884-09-000012.txt : 20091117 0001047884-09-000012.hdr.sgml : 20091117 20091117155215 ACCESSION NUMBER: 0001047884-09-000012 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091116 FILED AS OF DATE: 20091117 DATE AS OF CHANGE: 20091117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BROWN THAD M CENTRAL INDEX KEY: 0001209605 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13709 FILM NUMBER: 091190487 MAIL ADDRESS: STREET 1: 1299 OCEAN AVE. STREET 2: SUITE 250 CITY: SANTA MONICA STATE: CA ZIP: 90401 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ANWORTH MORTGAGE ASSET CORP CENTRAL INDEX KEY: 0001047884 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 522059785 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1299 OCEAN AVENUE STREET 2: SUITE 250 CITY: SANTA MONICA STATE: CA ZIP: 90401 BUSINESS PHONE: 310-255-4493 MAIL ADDRESS: STREET 1: 1299 OCEAN AVENUE STREET 2: SUITE 250 CITY: SANTA MONICA STATE: CA ZIP: 90401 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2009-11-16 0001047884 ANWORTH MORTGAGE ASSET CORP ANH 0001209605 BROWN THAD M C/O ANWORTH MORTGAGE ASSET CORPORATION 1299 OCEAN AVENUE, SECOND FLOOR SANTA MONICA CA 90401 0 1 0 0 CFO, Secretary and Treasurer Series A Cumulative Preferred Stock 2009-11-16 4 S 0 1375 24.10 D 0 I By 401(k) Plan Common Stock 35877 D Stock Option (right to buy) 13.80 2004-05-01 2013-05-01 Common Stock 38700 38700 D With respect to 19,430 shares of common stock, the shares vest in ten equal annual installments, with the first shares having vested on 10/27/06. With respect to the remaining 16,447 shares of common stock, the shares may vest in equal installments over the three year period beginning 10/18/06 provided that the annual compounded rate of return on the common stock of Anworth Mortgage Asset Corporation, including dividends, exceeds 12%, measured from the effective date of the grant to each of the next three anniversary dates. If the annually compounded rate of return does not exceed 12%, then the shares will vest on the anniversary date thereafter when the annually compounded rate of return exceeds 12%. If the annually compounded rate of return does not exceed 12% within ten years after the effective date of the grant, then the shares will be forfeited. The shares will fully vest within the ten-year period upon the death of the reporting person. /s/ Thad M. Brown 2009-11-17 -----END PRIVACY-ENHANCED MESSAGE-----