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