0001144204-14-003233.txt : 20140122 0001144204-14-003233.hdr.sgml : 20140122 20140122091448 ACCESSION NUMBER: 0001144204-14-003233 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140121 ITEM INFORMATION: Termination of a Material Definitive Agreement FILED AS OF DATE: 20140122 DATE AS OF CHANGE: 20140122 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Arlington Asset Investment Corp. CENTRAL INDEX KEY: 0001209028 STANDARD INDUSTRIAL CLASSIFICATION: INVESTORS, NEC [6799] IRS NUMBER: 541873198 STATE OF INCORPORATION: VA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-34374 FILM NUMBER: 14539221 BUSINESS ADDRESS: STREET 1: 1001 19TH STREET NORTH STREET 2: SUITE 1900 CITY: ARLINGTON STATE: VA ZIP: 22209 BUSINESS PHONE: 7033730200 MAIL ADDRESS: STREET 1: 1001 19TH STREET NORTH STREET 2: SUITE 1900 CITY: ARLINGTON STATE: VA ZIP: 22209 FORMER COMPANY: FORMER CONFORMED NAME: FRIEDMAN BILLINGS RAMSEY GROUP INC DATE OF NAME CHANGE: 20030331 FORMER COMPANY: FORMER CONFORMED NAME: FOREST MERGER CORP DATE OF NAME CHANGE: 20021205 8-K 1 v365919_8k.htm FORM 8-K

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

 

FORM 8-K

 

 

 

CURRENT REPORT

 

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

 

Date of Report (date of earliest event reported): January 22, 2014 (January 21, 2014)

 

ARLINGTON ASSET INVESTMENT CORP.

(Exact name of Registrant as specified in its charter)

  

 

 

Virginia   54-1873198   001-34374

(State or Other Jurisdiction

of Incorporation or Organization) 

   (I.R.S. Employer Identification No.)   (Commission File Number)

 

1001 Nineteenth Street North

Arlington, VA 22209

(Address of principal executive offices) (Zip code)

 

(703) 373-0200

(Registrant’s telephone number including area code)

 

N/A

(Former name or former address, if changed from last report)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 
 

 

Item 1.02. Termination of a Material Definitive Agreement.

 

Effective January 21, 2014, Arlington Asset Investment Corp. (the “Company”) mutually agreed with each of the Agents (as defined below) to terminate (i) that certain At-the-Market Issuance Sales Agreement between the Company and MLV & Co. LLC (“MLV”), dated as of May 10, 2013 and (ii) that certain At-the-Market Issuance Sales Agreement between the Company and JMP Securities LLC (“JMP,” and, together with MLV, the “Agents”), dated as of May 10, 2013 (each, a “Sales Agreement” and together, the “Agreements”). Under the Agreements, the Company could offer and sell, from time to time, up to $75,000,000 principal amount of the Company’s 6.625% Senior Notes due 2023 (the “Notes”) through an “at the market” debt offering program with MLV and JMP. The Company did not issue any Notes under the Agreements.

 

 
 

 

SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this Report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  ARLINGTON ASSET INVESTMENT CORP.
     
     
Date:  January 22, 2014 By: /s/ Kurt R. Harrington
  Name: Kurt R. Harrington
  Title: Executive Vice President, Chief Financial Officer and Treasurer