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