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