0001179110-18-002042.txt : 20180214
0001179110-18-002042.hdr.sgml : 20180214
20180214131412
ACCESSION NUMBER: 0001179110-18-002042
CONFORMED SUBMISSION TYPE: 5
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171231
FILED AS OF DATE: 20180214
DATE AS OF CHANGE: 20180214
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MCADAMS JOSEPH LLOYD
CENTRAL INDEX KEY: 0001209599
FILING VALUES:
FORM TYPE: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13709
FILM NUMBER: 18610273
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: SECOND FLOOR
CITY: SANTA MONICA
STATE: CA
ZIP: 90401
BUSINESS PHONE: 310-255-4493
MAIL ADDRESS:
STREET 1: 1299 OCEAN AVENUE
STREET 2: SECOND FLOOR
CITY: SANTA MONICA
STATE: CA
ZIP: 90401
5
1
edgar.xml
FORM 5 -
X0306
5
2017-12-31
0
0
0
0001047884
ANWORTH MORTGAGE ASSET CORP
ANH
0001209599
MCADAMS JOSEPH LLOYD
1299 OCEAN AVE., 2ND FL.
SANTA MONICA
CA
90401
1
1
0
0
Chief Executive Officer
Common Stock
2017-12-31
5
J
0
25834
A
1252488
D
Common Stock
41500
I
By spouse
Common Stock
33700
I
McAdams Foundation
Restricted Stock Unit
Common Stock
197176
197176
D
These shares were acquired under the Anworth Mortgage Asset Corporation Dividend Reinvestment and Stock Purchase Plan in exempt transactions pursuant to Rule 16a-11 at the then-current market prices during calendar year 2017.
Mr. McAdams owns 62,500 shares individually. The balance of these shares are owned as community property with his spouse.
Mr. McAdams' spouse owns 41,500 shares in which Mr. McAdams disclaims any beneficial interest.
Shares held by the McAdams Foundation, of which Mr. McAdams is a director.
1-for-1.
The Restricted Stock Units are not vested at the Grant Date. During the period commencing on the day immediately following the three (3) year anniversary of the Grant Date and ending on the ten (10) year anniversary of the Grant Date, the Restricted Stock Units shall vest on the last day of any month when the total return to stockholders (meaning the aggregate of Common Stock price appreciation and dividends declared, assuming full reinvestment of dividends) exceeds 10% per annum. Also, during the period commencing on the Grant Date and ending on the last day of the calendar month after the three (3) year anniversary of the Grant Date, the Restricted Stock Units shall vest immediately upon the Grantee's involuntary termination of service for any reason other than for Cause. In regards to these Restricted Stock Units, no common shares will be issued until the Units vest.
/s/ Joseph Lloyd McAdams
2018-02-14