0001179110-18-009478.txt : 20180705 0001179110-18-009478.hdr.sgml : 20180705 20180705160827 ACCESSION NUMBER: 0001179110-18-009478 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 Robert Craig CENTRAL INDEX KEY: 0001330540 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13709 FILM NUMBER: 18940654 MAIL ADDRESS: STREET 1: ANWORTH MORTGAGE ASSET CORPORATION STREET 2: 1299 OCEAN AVE., 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 4 1 edgar.xml FORM 4 - X0306 4 2018-07-02 0 0001047884 ANWORTH MORTGAGE ASSET CORP ANH 0001330540 Davis Robert Craig 1299 OCEAN AVENUE, 2ND FL. SANTA MONICA CA 90401 1 0 0 0 Common Stock 40000 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 20408 4000 D 1-for-1. The 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, a 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/ Robert Craig Davis 2018-07-05