0001179110-18-009476.txt : 20180705 0001179110-18-009476.hdr.sgml : 20180705 20180705160641 ACCESSION NUMBER: 0001179110-18-009476 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180702 FILED AS OF DATE: 20180705 DATE AS OF CHANGE: 20180705 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DAVIS JOE E CENTRAL INDEX KEY: 0001063480 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13709 FILM NUMBER: 18940635 MAIL ADDRESS: STREET 1: 3436 CARIBETH DR CITY: ENCINO STATE: CA ZIP: 91436 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 4 1 edgar.xml FORM 4 - X0306 4 2018-07-02 0 0001047884 ANWORTH MORTGAGE ASSET CORP ANH 0001063480 DAVIS JOE E 1299 OCEAN AVENUE, 2ND FL. SANTA MONICA CA 90401 1 0 0 0 Common Stock 15582 D Restricted Stock Unit 2018-07-02 4 A 0 2000 A Common Stock 2000 20000 D Series B Cumulative Convertible Preferred Stock 10.50 Common Stock 15306 3000 D 1-for-1. Restricted Stock Units vest upon the reporting person's retirement from the board of directors. Granted to the reporting person for his continued service on the board of directors. The Series B Cumulative Convertible Preferred Stock is convertible into shares of Anworth Mortgage Asset Corporation common stock initially at a conversion price per share of $10.50, subject to adjustment upon the occurrence of certain events specified in the Articles Supplementary for Series B Cumulative Convertible Preferred Stock, as copy of which was filed as an exhibit to a Current Report on Form 8-K filed with the Securities and Exchange Commission on January 30, 2007. The current conversion price reflecting such adjustment is 5.1021 per share. Immediately exercisable. The Series B Cumulative Convertible Preferred Stock has no expiration date. /s/ Joe E. Davis 2018-07-05