0001179110-19-012591.txt : 20191210 0001179110-19-012591.hdr.sgml : 20191210 20191210170433 ACCESSION NUMBER: 0001179110-19-012591 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191206 FILED AS OF DATE: 20191210 DATE AS OF CHANGE: 20191210 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: 191278296 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 2019-12-06 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 Series A Cumulative Preferred Stock 2019-12-06 4 P 0 1500 26.15 A 1500 D Series A Cumulative Preferred Stock 2019-12-09 4 P 0 500 26.15 A 2000 D Restricted Stock Unit Common Stock 22000 22000 D Series B Cumulative Convertible Preferred Stock Common Stock 22152 4000 D 1-for-1. The Restricted Stock Units vest upon the reporting person's retirement from 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 with the Securities and Exchange Commission on January 30, 2007. The current conversion price reflecting such adjustment is 5.5379 per share. Immediately exercisable. The Series B Cumulative Convertible Preferred Stock has no expiration date. /s/ Robert Craig Davis 2019-12-10