0001179110-19-003740.txt : 20190312 0001179110-19-003740.hdr.sgml : 20190312 20190312162039 ACCESSION NUMBER: 0001179110-19-003740 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190308 FILED AS OF DATE: 20190312 DATE AS OF CHANGE: 20190312 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MCADAMS JOSEPH E CENTRAL INDEX KEY: 0001209603 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13709 FILM NUMBER: 19675325 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 4 1 edgar.xml FORM 4 - X0306 4 2019-03-08 0 0001047884 ANWORTH MORTGAGE ASSET CORP ANH 0001209603 MCADAMS JOSEPH E 1299 OCEAN AVENUE, 2ND FL. SANTA MONICA CA 90401 1 1 0 0 CEO & President Common Stock 262096 D Common Stock 33700 I McAdams Foundation Series B Cumulative Convertible Preferred Stock 10.50 2019-03-08 4 P 0 3500 23.41 A Common Stock 18406 3500 I McAdams Foundation Series B Cumulative Convertible Preferred Stock 10.50 2019-03-11 4 P 0 3200 23.21 A Common Stock 16828 6700 I McAdams Foundation Shares held by the McAdams Foundation. of which Mr. McAdams is a director. The Series B Cumulative Convertible Preferred Stock is convertible into shares of Anworth Mortgage Asset Corporation common stock initially at a conversion price 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 with the U.S. Securities and Exchange Commission on January 30, 2007. Immediately exercisable. The Series B Cumulative Convertible Preferred Stock has no expiration date. This price reported in Column 8 is the weighted average price of the 3,500 shares purchased by the McAdams Foundation on March 8, 2019 in multiple transactions in the open market at prices ranging from $23.41 to $23.45, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the price range set forth in this footnote (5) to this Form 4. This price reported in Column 8 is the weighted average price of the 3,200 shares purchased by the McAdams Foundation on March 11, 2019 in multiple transactions in the open market at prices ranging from $22.88 to $23.61, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the price range set forth in this footnote (6) to this Form 4. /s/ Joseph E. McAdams 2019-03-12