-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HJVDrenX2QyWmCRT54L0PN+sv999+nhkS9mWFTTehsLmdpHggwrbcHYrjycS2Gw9 n+WBPHQFwtrH3ZYiM/Fg0g== 0001026505-07-000010.txt : 20071116 0001026505-07-000010.hdr.sgml : 20071116 20071116110106 ACCESSION NUMBER: 0001026505-07-000010 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20071116 DATE AS OF CHANGE: 20071116 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-55213 FILM NUMBER: 071251885 BUSINESS ADDRESS: STREET 1: 1299 OCEAN AVENUE STREET 2: SUITE 250 CITY: SANTA MONICA STATE: CA ZIP: 90401 BUSINESS PHONE: 310-255-4493 MAIL ADDRESS: STREET 1: 1299 OCEAN AVENUE STREET 2: SUITE 250 CITY: SANTA MONICA STATE: CA ZIP: 90401 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: AKIN THOMAS B CENTRAL INDEX KEY: 0001026505 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: BUSINESS PHONE: 9494808300 MAIL ADDRESS: STREET 1: 2400 BRIDGEWAY # 200 STREET 2: SUITE 200 CITY: SAUSALITO STATE: CA ZIP: 94965 SC 13G 1 anh1107.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. ) Anworth Mortgage Asset Corp - ----------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.01 Par Value - ----------------------------------------------------------------------- (Title of Class of Securities) 037347101 - ----------------------------------------------------------------------- (CUSIP Number) November 16, 2007 - ----------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [X] Rule 13d-1(c) [_] Rule 13d-1(d) - ---------- (1) The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 037347101 --------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Thomas B. Akin 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5. SOLE VOTING POWER 607,052 6. SHARED VOTING POWER 2,339,466 7. SOLE DISPOSITIVE POWER 607,052 8. SHARED DISPOSITIVE POWER 2,339,466 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 607,052 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 1.33% 12. TYPE OF REPORTING PERSON* IN - ---------- (1) This amount includes the common share equivalents of convertible preferred shares. CUSIP No. 037347101 --------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Talkot Fund, L.P. 91-1804621 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION California NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5. SOLE VOTING POWER 0 6. SHARED VOTING POWER 0 7. SOLE DISPOSITIVE POWER 0 8. SHARED DISPOSITIVE POWER 0 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,656,414 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.63% 12. TYPE OF REPORTING PERSON* PN - ---------- (2) This amount includes the common share equivalents of convertible preferred shares. CUSIP No. 037347101 --------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Talkot Capital, L.L.C. 68-0393122 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION California NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5. SOLE VOTING POWER 0 6. SHARED VOTING POWER 0 7. SOLE DISPOSITIVE POWER 0 8. SHARED DISPOSITIVE POWER 0 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 76,000 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.17% 12. TYPE OF REPORTING PERSON* OO - ---------- CUSIP No. 037347101 --------------------- Item 1(a). Name of Issuer: Anworth Mortgage Asset Corp ----------------------------------------------------------- Item 1(b). Address of Issuer's Principal Executive Offices: 1299 Ocean Avenue, Suite 250 Santa Monica, CA 90401 ----------------------------------------------------------- Item 2(a). Name of Persons Filing: Thomas B. Akin Talkot Fund, L.P. Talkot Capital, L.L.C. ----------------------------------------------------------- Item 2(b). Address of Principal Business Office, or if None, Residence: 2400 Bridgeway, Suite 300 Sausalito, CA 94965 ----------------------------------------------------------- Item 2(c). Citizenship: Thomas B. Akin - United States Talkot Fund, L.P. - California limited partnership Talkot Capital, L.L.C. - California limited liability company ----------------------------------------------------------- Item 2(d). Title of Class of Securities: Common Stock, $0.01 par value ----------------------------------------------------------- Item 2(e). CUSIP Number: 037347101 ----------------------------------------------------------- Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: N/A Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. Thomas B. Akin: (a) Amount beneficially owned: 607,052 - ----------------------------------------------------------------------- (b) Percent of class: 1.33% - ----------------------------------------------------------------------- (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 607,052 ----------------, (ii) Shared power to vote or to direct the vote 2,339,466 ----------------, (iii) Sole power to dispose or to direct the disposition of 607,052 ----------------, (iv) Shared power to dispose or to direct the disposition of 2,339,466 ----------------. Talkot Fund, L.P.: (a) Amount beneficially owned: 1,656,414 -------------------------------------------------------------- (b) Percent of class: 3.63% -------------------------------------------------------------- (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 0 ----------------, (ii) Shared power to vote or to direct the vote 0 ----------------, (iii) Sole power to dispose or to direct the disposition of 0 ----------------, (iv) Shared power to dispose or to direct the disposition of 0 ----------------. Talkot Capital, L.L.C.: (a) Amount beneficially owned: 76,000 -------------------------------------------------------------- (b) Percent of class: 0.17% -------------------------------------------------------------- (c) Number of shares as to which such person has: (ii) Sole power to vote or to direct the vote 0 ----------------, (ii) Shared power to vote or to direct the vote 0 ----------------, (iii) Sole power to dispose or to direct the disposition of 0 ----------------, (iv) Shared power to dispose or to direct the disposition of 0 ----------------. Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities check the following [_]. N/A - ----------------------------------------------------------------------- Item 6. Ownership of More Than Five Percent on Behalf of Another Person. If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required. N/A - ----------------------------------------------------------------------- Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. If a parent holding company or Control person has filed this schedule, pursuant to Rule 13d-1(b)(1)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company or control person has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary. N/A - ----------------------------------------------------------------------- Item 8. Identification and Classification of Members of the Group. If a group has filed this schedule pursuant to s.240.13d-1(b)(1)(ii)(J), so indicate under Item 3(j) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to s.240.13d-1(c) or s.240.13d-1(d), attach an exhibit stating the identity of each member of the group. N/A - ----------------------------------------------------------------------- Item 9. Notice of Dissolution of Group. Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5. N/A - ----------------------------------------------------------------------- Item 10. Certification pursuant to Rule 13d-1(c): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having such purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. November 16, 2007 ---------------------------------------- (Date) /s/ Thomas B. Akin -------------------------- Thomas B. Akin Talkot Fund, L.P. By: /s/ Thomas B. Akin -------------------------- Thomas B. Akin Managing Member Talkot Capital, L.L.C. By: /s/ Thomas B. Akin -------------------------- Thomas B. Akin Managing Member Note. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties for whom copies are to be sent. Attention. Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001). Exhibit A AGREEMENT The undersigned agree that this Schedule 13G dated November 16, 2007 relating to the Common Stock, $0.01 Par Value of Anworth Mortgage Asset Corp shall be filed on behalf of the undersigned. /s/ Thomas B. Akin -------------------------- Thomas B. Akin Talkot Fund, L.P. By: /s/ Thomas B. Akin -------------------------- Thomas B. Akin Managing Member Talkot Capital, L.L.C. By: /s/ Thomas B. Akin -------------------------- Thomas B. Akin Managing Member November 16, 2007 - -------------------- Date -----END PRIVACY-ENHANCED MESSAGE-----