Statement of Changes in Beneficial Ownership (4)
17 Juni 2022 - 10:20PM
Edgar (US Regulatory)
FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * Nader Anthony P
III |
2. Issuer Name and Ticker or Trading
Symbol Arlington Asset Investment Corp. [ AAIC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
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(Last)
(First)
(Middle)
C/O ARLINGTON ASSET INVESTMENT CORP., 6862 ELM STREET,
SUITE 320 |
3. Date of Earliest Transaction (MM/DD/YYYY)
6/16/2022
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(Street)
MCLEAN, VA 22101
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. 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 |
7. Title and Amount of Securities Underlying
Derivative Security
(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) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Deferred Stock Units |
(1) |
6/16/2022 |
|
A |
|
26490 (2) |
|
(2) |
(2) |
Class A Common Stock |
26490 (2) |
$0.00 |
46097 |
D |
|
Restricted Stock Units |
(3) |
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|
|
|
|
|
(3) |
(3) |
Class A Common Stock |
(3) |
|
56830 (3) |
D |
|
Explanation of
Responses: |
(1) |
Each deferred stock unit
("DSU") represents a contingent right to receive one share of Class
A common stock. |
(2) |
Represents annual grant of
DSUs pursuant to the Company's 2021 Long-Term Incentive Plan in
connection with the reporting person's service as a non-employee
director of the Company. DSUs vest immediately on the award grant
date. Vested DSUs are converted into shares of Class A common stock
on a one-for-one basis upon the later of the reporting person's
separation from service on the board or the first anniversary of
the grant date (the "Settlement Date"). If a change in control
occurs before the Settlement Date, the settlement will occur on the
control change date. The reporting person does not have voting
rights with respect to, but receives dividend equivalent payments
on outstanding DSUs. |
(3) |
Represents restricted stock
units ("RSUs") previously granted pursuant the Company's prior
long-term incentive plan. RSUs have the same material terms as
DSUs. No transaction occurred and is for informational purposes
only. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Nader Anthony P III
C/O ARLINGTON ASSET INVESTMENT CORP.
6862 ELM STREET, SUITE 320
MCLEAN, VA 22101 |
X |
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|
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Signatures
|
D. Scott Parish, Attorney-in-Fact |
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6/17/2022 |
**Signature of Reporting
Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
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). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
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. |
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