0001209191-16-130385.txt : 20160701 0001209191-16-130385.hdr.sgml : 20160701 20160701122657 ACCESSION NUMBER: 0001209191-16-130385 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160701 FILED AS OF DATE: 20160701 DATE AS OF CHANGE: 20160701 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 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: 161745696 MAIL ADDRESS: STREET 1: 3436 CARIBETH DR CITY: ENCINO STATE: CA ZIP: 91436 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-07-01 0 0001047884 ANWORTH MORTGAGE ASSET CORP ANH 0001063480 DAVIS JOE E 1299 OCEAN AVENUE SECOND FLOOR SANTA MONICA CA 90401 1 0 0 0 Common Stock 15582 D Restricted Stock Unit 2016-07-01 4 A 0 2000 A Common Stock 2000 16000 D Series B Cumulative Convertible Preferred Stock 10.50 Common Stock 13991 3000 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 4.6635 per share. Immediately exercisable. The Series B Cumulative Convertible Preferred Stock has no expiration date. /s/ Joe E. Davis 2016-07-01