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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $ 9.45 | 01/21/2002 | 01/21/2012 | Common Stock | 43,780 | 43,780 | D | ||||||||
Stock Option (right to buy) | $ 11.2 | 10/04/2002 | 10/04/2012 | Common Stock | 21,000 | 21,000 | D | ||||||||
Stock Option (right to buy) | $ 13.8 | 05/01/2003 | 05/01/2013 | Common Stock | 27,600 | 27,600 | D | ||||||||
Stock Option (right to buy) | $ 9.45 | 01/21/2001 | 01/21/2012 | Common Stock | 29,725 | 29,725 | I | By spouse | |||||||
Stock Option (right to buy) | $ 11.2 | 10/04/2002 | 10/04/2012 | Common Stock | 90,000 | 90,000 | I | By spouse | |||||||
Stock Option (right to buy) | $ 13.8 | 05/01/2003 | 05/01/2013 | Common Stock | 99,500 | 99,500 | I | By spouse |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BAINES HEATHER U C/O ANWORTH MORTGAGE ASSET CORPORATION 1299 OCEAN AVENUE, SECOND FLOOR SANTA MONICA, CA 90401 |
Executive Vice President |
/s/ Heather U. Baines | 01/05/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | These shares were granted pursuant to the Anworth Mortgage Asset Corporation 2004 Equity Compensation Plan and the Employment Agreement for Mr. Lloyd McAdams, Chairman, President and Chief Executive Officer of Anworth Mortgage Asset Corporation, who is married to Heather U. Baines, in consideration for services rendered by Mr. McAdams. |
(2) | Ms. Baines owns 41,500 shares individually. The balance of these shares are owned as community property with Mr. McAdams. |
(3) | Mr. McAdams owns 62,500 shares in which Ms. Baines disclaims any beneficial interest in. |
(4) | Shares held by the McAdams Foundation, of which Mr. McAdams is a director. |