0001209191-17-015907.txt : 20170301 0001209191-17-015907.hdr.sgml : 20170301 20170301163910 ACCESSION NUMBER: 0001209191-17-015907 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170227 FILED AS OF DATE: 20170301 DATE AS OF CHANGE: 20170301 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: MCADAMS JOSEPH E CENTRAL INDEX KEY: 0001209603 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13709 FILM NUMBER: 17654744 MAIL ADDRESS: STREET 1: 1299 OCEAN AVE. STREET 2: SUITE 250 CITY: SANTA MONICA STATE: CA ZIP: 90401 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-02-27 0 0001047884 ANWORTH MORTGAGE ASSET CORP ANH 0001209603 MCADAMS JOSEPH E 1299 OCEAN AVEN 2ND FLOOR SANTA MONICA CA 90401 1 1 0 0 President Common Stock 2017-02-27 4 J 0 27412 D 262096 D Common Stock 33700 I McAdams Foundation Restricted Stock Unit Common Stock 38710 38710 D Pursuant to action by the Compensation Committee of the Board of Directors of the Issuer on February 27, 2017, such shares have been forfeited by the reporting person, effective as of January 3, 2017, because they are no longer able to be vested. Shares held by the McAdams Foundation, of which Mr. McAdams is a director. 1-for-1. The Restricted Stock Units are not vested at the Grant Date. During the period commencing on the day immediately following the three (3) year anniversary of the Grant Date and ending on the ten (10) year anniversary of the Grant Date, the Restricted Stock Units shall vest on the last day of any month when the total return to stockholders (meaning the aggregate of Common Stock price appreciation and dividends declared assuming full reinvestment of dividends) exceeds 10% per annum. During the period commencing on the Grant Date and ending on the last day of the calendar month after the three (3) year anniversary of the Grant Date, the Restricted Stock Units shall vest immediately upon the Grantee's involuntary termination of service for any reason other than for Cause. /s/ Joseph E. McAdams 2017-03-01