Statement of Changes in Beneficial Ownership (4)
22 März 2021 - 09:33PM
Edgar (US Regulatory)
FORM 4
[X] Check this box if no longer subject to Section 16.
Form 4 or Form 5 obligations may continue. See Instruction
1(b).
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 * Maron Mark S |
2. Issuer Name and Ticker or Trading
Symbol ANWORTH MORTGAGE ASSET CORP [ ANH ] |
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)
1299 OCEAN AVENUE, 2ND FL. |
3. Date of Earliest Transaction (MM/DD/YYYY)
3/19/2021
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(Street)
SANTA MONICA, CA 90401
(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 |
Common Stock |
3/19/2021 |
|
D |
|
30000 |
D |
(1) |
0 |
D |
|
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 |
Restricted Stock Unit |
(2) |
3/19/2021 |
|
D |
|
|
16000 |
(2) |
(2) |
Common Stock |
16000 |
(2) |
0 |
D |
|
Explanation of
Responses: |
(1) |
On March 19, 2021, pursuant
to that certain Agreement and Plan of Merger, dated as of December
6, 2020, by and among Ready Capital Corporation ("Ready Capital"),
RC Merger Subsidiary, LLC, a wholly owned subsidiary of Ready
Capital ("Merger Sub"), and the Issuer (the "Merger Agreement"),
the Issuer merged with and into Merger Sub with Merger Sub
surviving as the continuing company (the "Merger"). Upon
consummation of the Merger, each share of common stock of the
Issuer was converted into the right to receive from Ready Capital
(i) 0.1688 newly issued shares of common stock, par value $0.0001
per share, of Ready Capital, plus (ii) $0.61 in cash (the "Per
Share Common Merger Consideration"). |
(2) |
Pursuant to the Merger
Agreement, at the closing of the Merger, each such Restricted Stock
Unit vested and was converted into the right to receive the Per
Share Common Merger Consideration. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Maron Mark S
1299 OCEAN AVENUE, 2ND FL.
SANTA MONICA, CA 90401 |
X |
|
|
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Signatures
|
/s/ Mark S. Maron |
|
3/22/2021 |
**Signature of Reporting
Person |
Date |
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