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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 7/22/21 Arlington Asset Investment Corp. 8-K:1,9 7/21/21 12:258K ActiveDisclosure/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 38K 2: EX-1.2 Underwriting Agreement or Conflict Minerals Report HTML 20K 8: R1 Document and Entity Information HTML 63K 10: XML IDEA XML File -- Filing Summary XML 12K 7: XML XBRL Instance -- ai-8k_20210721_htm XML 32K 9: EXCEL IDEA Workbook of Financial Reports XLSX 6K 4: EX-101.DEF XBRL Definitions -- ai-20210721_def XML 46K 5: EX-101.LAB XBRL Labels -- ai-20210721_lab XML 82K 6: EX-101.PRE XBRL Presentations -- ai-20210721_pre XML 47K 3: EX-101.SCH XBRL Schema -- ai-20210721 XSD 23K 11: JSON XBRL Instance as JSON Data -- MetaLinks 15± 25K 12: ZIP XBRL Zipped Folder -- 0001564590-21-037468-xbrl Zip 17K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM i 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (date of earliest event reported): i July 21, 2021
i ARLINGTON ASSET INVESTMENT CORP.
(Exact name of Registrant as specified in its charter)
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i Virginia |
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i 54-1873198 |
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(State or Other Jurisdiction of Incorporation or Organization) |
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(I.R.S. Employer Identification No.) |
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(Commission File Number) |
i 6862 Elm Street, i Suite 320
(Address of principal executive offices) (Zip code)
( i 703) i 373-0200
(Registrant’s telephone number including area code)
N/A
(Former name or former address, if changed from last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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i ☐ |
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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i ☐ |
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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i ☐ |
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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i ☐ |
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
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Title of each class |
Trading Symbol(s) |
Name of each exchange on which registered |
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i Class A Common Stock |
i AAIC |
i NYSE |
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i 7.00% Series B Cumulative Perpetual Redeemable Preferred Stock |
i AAIC PrB |
i NYSE |
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i 8.250% Series C Fixed-to-Floating Rate Cumulative Redeemable Preferred Stock |
i AAIC PrC |
i NYSE |
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i 6.625% Senior Notes due 2023 |
i AIW |
i NYSE |
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i 6.75% Senior Notes due 2025 |
i AIC |
i NYSE |
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i 6.000% Senior Notes due 2026 |
i AAIN |
i NYSE |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company i ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 1.01. Entry into a Material Definitive Agreement.
On July 21, 2021, Arlington Asset Investment Corp. (the “Company”) entered into an amendment (the “Amendment”) to the amended and restated equity distribution agreement dated March 21, 2019 (the “Original Equity Distribution Agreement” and, as amended by the Amendment, the “Equity Distribution Agreement”), with JonesTrading Institutional Services LLC and Ladenburg Thalmann & Co. Inc. (the “Agents”).
Pursuant to the Equity Distribution Agreement, the Company will pay each Agent a commission up to 3.0% of the gross proceeds of the sale of shares pursuant to the Equity Distribution Agreement by such Agent.
The foregoing description of the Equity Distribution Agreement does not purport to be complete and is subject to, and qualified in its entirety by, the full text of the Equity Distribution Agreement, attached as Exhibit 1.1 and Exhibit 1.2 hereto and incorporated by reference herein.
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Item 9.01. |
Financial Statements and Exhibits. |
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(d) |
Exhibits. |
104Cover Page Interactive Data File (embedded within the Inline XBRL document).
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this Report to be signed on its behalf by the undersigned hereunto duly authorized.
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ARLINGTON ASSET INVESTMENT CORP. |
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Date: July 21, 2021 |
By: |
/s/ D. Scott Parish |
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Name: |
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Title: |
Senior Vice President, Chief Administrative Officer and Corporate Secretary |
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed as of: | 7/22/21 | |||
| Filed on / For Period end: | 7/21/21 | 424B5 | ||
| 3/21/19 | 424B5, 8-K | |||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/31/23 Arlington Asset Investment Corp. 10-K 12/31/22 96:20M Donnelley … Solutions/FA 3/10/22 Arlington Asset Investment Corp. 10-K 12/31/21 96:18M ActiveDisclosure/FA |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/21/19 Arlington Asset Investment Corp. 8-K:1,9 3/21/19 3:235K Donnelley … Solutions/FA |