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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2017-10-31 08:30:35
Reporting Period:
Accepted Time:
2017-10-31 08:30:35
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
1209028 Arlington Asset Investment Corp. AI () 4
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1174250 Iii S Ralph Michael C/o Arlington Asset Investment Corp.
1001 Nineteenth Street North, Suite 1900
Arlington VA 22209
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2017-10-30 5,000 $11.66 7,325 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Class A Common Stock Restricted Stock Units $0.00 0 49,348 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
0 49,348 Direct
  1. Represents the current Restricted Stock Units ("RSUs") owned by the reporting person. No transaction occurred and is for informational purpsoses only.
  2. Each RSU represents a contingent right to receive one share of Class A common stock of Arlington Asset Investment Corp. (the "Company").
  3. Represents annual grant of RSUs pursuant to the Company's 2014 Long-Term Incentive Plan (the "2014 Plan") in connection with the reporting person's service as a non-employee director of the Company. The RSUs vest immediately on the award grant date. Vested RSUs are converted into shares of Class A common stock on a one-for-one basis, with any fractional shares being settled in cash, upon the later of the reporting person's separation from service on the board of directors 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 RSUs.