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Arlington Asset Investment Corp. – ‘10-K’ for 12/31/20 – ‘EX-32.01’

On:  Friday, 2/26/21, at 5:07pm ET   ·   For:  12/31/20   ·   Accession #:  1564590-21-9492   ·   File #:  1-34374

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/26/21  Arlington Asset Investment Corp.  10-K       12/31/20   92:16M                                    ActiveDisclosure/FA

Annual Report   —   Form 10-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-K        Annual Report                                       HTML   1.83M 
 2: EX-21.01    Subsidiaries List                                   HTML     28K 
 3: EX-23.01    Consent of Expert or Counsel                        HTML     27K 
 4: EX-31.01    Certification -- §302 - SOA'02                      HTML     34K 
 5: EX-31.02    Certification -- §302 - SOA'02                      HTML     34K 
 6: EX-32.01    Certification -- §906 - SOA'02                      HTML     30K 
 7: EX-32.02    Certification -- §906 - SOA'02                      HTML     30K 
14: R1          Document And Entity Information                     HTML    109K 
15: R2          Consolidated Balance Sheets                         HTML    124K 
16: R3          Consolidated Balance Sheets (Parenthetical)         HTML     65K 
17: R4          Consolidated Statements of Comprehensive Income     HTML    114K 
18: R5          Consolidated Statements of Changes in Equity        HTML     82K 
19: R6          Consolidated Statements of Cash Flows               HTML    133K 
20: R7          Organization and Nature of Operations               HTML     33K 
21: R8          Basis of Presentation                               HTML     30K 
22: R9          Summary of Significant Accounting Policies          HTML     91K 
23: R10         Investments in Agency MBS                           HTML     50K 
24: R11         Investments in Mortgage Credit Securities           HTML     49K 
25: R12         Loans Held for Investment                           HTML     29K 
26: R13         Investments in MSR Financing Receivables            HTML     32K 
27: R14         Consolidation of Variable Interest Entities         HTML     82K 
28: R15         Borrowings                                          HTML    183K 
29: R16         Derivative Instruments                              HTML    397K 
30: R17         Offsetting of Financial Assets and Liabilities      HTML    296K 
31: R18         Fair Value Measurements                             HTML    266K 
32: R19         Income Taxes                                        HTML     35K 
33: R20         Commitments and Contingencies                       HTML     73K 
34: R21         Shareholders' Equity                                HTML     80K 
35: R22         Long-Term Incentive Plan                            HTML    171K 
36: R23         Financial Instruments with Off-Balance-Sheet Risk   HTML     30K 
                and Credit Risk                                                  
37: R24         Summary of Significant Accounting Policies          HTML    140K 
                (Policies)                                                       
38: R25         Summary of Significant Accounting Policies          HTML     55K 
                (Tables)                                                         
39: R26         Investments in Agency MBS (Tables)                  HTML     47K 
40: R27         Investments in Mortgage Credit Securities (Tables)  HTML     47K 
41: R28         Consolidation of Variable Interest Entities         HTML     80K 
                (Tables)                                                         
42: R29         Borrowings (Tables)                                 HTML    183K 
43: R30         Derivative Instruments (Tables)                     HTML    394K 
44: R31         Offsetting of Financial Assets and Liabilities      HTML    294K 
                (Tables)                                                         
45: R32         Fair Value Measurements (Tables)                    HTML    247K 
46: R33         Commitments and Contingencies (Tables)              HTML     71K 
47: R34         Shareholders' Equity (Tables)                       HTML     61K 
48: R35         Long-Term Incentive Plan (Tables)                   HTML    156K 
49: R36         Organization and Nature of Operations - Additional  HTML     30K 
                Information (Details)                                            
50: R37         Summary of Significant Accounting Policies -        HTML     56K 
                Additional Information (Details)                                 
51: R38         Summary of Significant Accounting Policies -        HTML     52K 
                Computations of Basic and Diluted Earnings (Loss)                
                Per Share (Details)                                              
52: R39         Investments in Agency MBS - Additional Information  HTML     29K 
                (Details)                                                        
53: R40         Investments in Agency MBS - Additional Information  HTML     35K 
                About Gains and Losses Recognized with Respect to                
                Investments in Agency MBS (Details)                              
54: R41         Investments in Mortgage Credit Securities -         HTML     29K 
                Additional Information (Details)                                 
55: R42         Investments in Mortgage Credit Securities -         HTML     35K 
                Additional Information About Gains and Losses                    
                Recognized with Respect to Investments in Mortgage               
                Credit Securities (Details)                                      
56: R43         Loans Held For Investment - Additional Information  HTML     41K 
                (Details)                                                        
57: R44         Investments in MSR Financing Receivables -          HTML     35K 
                Additional Information (Details)                                 
58: R45         Consolidation of Variable Interest Entities -       HTML     43K 
                Additional Information (Details)                                 
59: R46         Consolidation of Variable Interest Entities -       HTML     45K 
                Schedule of Carrying Values of Assets and                        
                Liabilities of Consolidated VIE, Net of                          
                Elimination Entries (Details)                                    
60: R47         Consolidation of Variable Interest Entities -       HTML     43K 
                Schedule of Accrual Status of Mortgage Loans of                  
                Consolidated VIE (Details)                                       
61: R48         Borrowings - Additional Information (Details)       HTML     62K 
62: R49         Borrowings - Outstanding Repurchase Agreement       HTML     51K 
                Borrowings (Details)                                             
63: R50         Borrowings - Outstanding Repurchase Agreement       HTML     30K 
                Borrowings (Parenthetical) (Details)                             
64: R51         Borrowings - Information Regarding Outstanding      HTML     31K 
                Repurchase Agreement Borrowings During the Period                
                (Details)                                                        
65: R52         Borrowings - Long-term Unsecured Debt Instruments   HTML     53K 
                (Details)                                                        
66: R53         Derivative Instruments - Fair Value of Derivative   HTML     34K 
                Instruments (Details)                                            
67: R54         Derivative Instruments - Interest Rate Swap         HTML     58K 
                Agreements (Details)                                             
68: R55         Derivative Instruments - Additional Information     HTML     38K 
                (Details)                                                        
69: R56         Derivative Instruments - TBA Commitments (Details)  HTML     47K 
70: R57         Derivative Instruments - Derivative Gains and       HTML     52K 
                Losses Recognized Within the Periods (Details)                   
71: R58         Derivative Instruments - Volume of Activity, in     HTML     55K 
                terms of Notional Amount, Related to Derivative                  
                Instruments (Details)                                            
72: R59         Derivative Instruments - Cash Collateral Posted     HTML     30K 
                and Received in Respect of Derivative and Other                  
                Financial Instruments (Details)                                  
73: R60         Offsetting of Financial Assets and Liabilities -    HTML     89K 
                Derivative Instruments and Short-term Borrowing                  
                Arrangements, including those Subject to Master                  
                Netting or Similar Arrangements (Details)                        
74: R61         Fair Value Measurements - Summary of Significant    HTML     41K 
                Inputs to Fair Value Measurement (Details)                       
75: R62         Fair Value Measurements - Additional Information    HTML     54K 
                (Details)                                                        
76: R63         Fair Value Measurements - Financial Instruments     HTML     83K 
                Measured at Fair Value on a Recurring Basis                      
                (Details)                                                        
77: R64         Fair Value Measurements - Change in Fair Value of   HTML     54K 
                Level 3 Financial Assets and Liabilities that are                
                Measured at Fair Value on Recurring Basis                        
                (Details)                                                        
78: R65         Income Taxes - Additional Information (Details)     HTML     52K 
79: R66         Commitments and Contingencies - Summary of          HTML     75K 
                Contractual Obligations by Fiscal Year (Details)                 
80: R67         Shareholders' Equity - Additional Information       HTML    186K 
                (Details)                                                        
81: R68         Shareholders' Equity - Dividends Declared and Paid  HTML     35K 
                (Details)                                                        
82: R69         Shareholders' Equity - Issuances of Stock under     HTML     40K 
                Equity Distribution Agreements (Details)                         
83: R70         Long-Term Incentive Plan - Additional Information   HTML    108K 
                (Details)                                                        
84: R71         Long-Term Incentive Plan - Share Based              HTML     38K 
                Compensation Performance Shares Grants Activity                  
                (Details)                                                        
85: R72         Long-Term Incentive Plan - Share Based              HTML     41K 
                Compensation Award Valuation Assumptions (Details)               
86: R73         Long-Term Incentive Plan - Share Based              HTML     38K 
                Compensation Award Valuation Assumptions                         
                (Parenthetical) (Details)                                        
87: R74         Long-Term Incentive Plan - Schedule of Unvested     HTML     59K 
                Restricted Stock Units Roll Forward (Details)                    
88: R75         Long-Term Incentive Plan - Share Based              HTML     34K 
                Compensation Restricted Stock Units Grants                       
                Activity (Details)                                               
90: XML         IDEA XML File -- Filing Summary                      XML    171K 
13: XML         XBRL Instance -- ai-10k_20201231_htm                 XML   4.21M 
89: EXCEL       IDEA Workbook of Financial Reports                  XLSX    126K 
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11: EX-101.LAB  XBRL Labels -- ai-20201231_lab                       XML   1.50M 
12: EX-101.PRE  XBRL Presentations -- ai-20201231_pre                XML   1.35M 
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91: JSON        XBRL Instance as JSON Data -- MetaLinks              407±   681K 
92: ZIP         XBRL Zipped Folder -- 0001564590-21-009492-xbrl      Zip    377K 


‘EX-32.01’   —   Certification — §906 – SOA’02


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Exhibit 32.01

CERTIFICATION PURSUANT TO

18 U.S.C. SECTION 1350,

AS ADOPTED PURSUANT TO

SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002

In connection with the Annual Report on Form 10-K of Arlington Asset Investment Corp. (the Company) for the year ended December 31, 2020, as filed with the Securities and Exchange Commission on the date hereof (the Report), I, J. Rock Tonkel, Jr., Chief Executive Officer of the Company, certify, pursuant to 18 U.S.C. §1350, as adopted pursuant to §906 of the Sarbanes-Oxley Act of 2002, that:

 

(1)

the Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934; and

 

(2)

the information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company.

 

 

February 26, 2021

 

/s/ J. ROCK TONKEL, JR.

 

 

 

J. Rock Tonkel, Jr.

 

 

 

President and Chief Executive Officer

(Principal Executive Officer)

 

 

 

 

 

 

 

 

 

 

 

 

 

 


Dates Referenced Herein

This ‘10-K’ Filing    Date    Other Filings
Filed on:2/26/21None on these Dates
For Period end:12/31/20
 List all Filings 


3 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 7/08/21  Arlington Asset Investment Corp.  424B5                  1:719K                                   Donnelley … Solutions/FA
 7/06/21  Arlington Asset Investment Corp.  424B5                  1:724K                                   Donnelley … Solutions/FA
 6/15/21  Arlington Asset Investment Corp.  S-8         6/15/21    3:80K                                    Donnelley … Solutions/FA


27 Previous Filings that this Filing References

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/24/20  Arlington Asset Investment Corp.  10-K       12/31/19   89:17M                                    ActiveDisclosure/FA
 1/10/20  Arlington Asset Investment Corp.  S-3                   10:2.6M                                   ActiveDisclosure/FA
12/13/19  Arlington Asset Investment Corp.  8-K:5,8,9  12/13/19    2:39K                                    ActiveDisclosure/FA
 6/25/19  Arlington Asset Investment Corp.  8-K:5,9     6/20/19    2:64K                                    ActiveDisclosure/FA
 6/06/19  Arlington Asset Investment Corp.  8-K:5,9     6/06/19    2:122K                                   ActiveDisclosure/FA
 3/21/19  Arlington Asset Investment Corp.  8-K:1,9     3/21/19    3:235K                                   Donnelley … Solutions/FA
 3/11/19  Arlington Asset Investment Corp.  8-A12B                 3:161K                                   Donnelley … Solutions/FA
 1/17/19  Arlington Asset Investment Corp.  8-K:5,7,9   1/17/19    3:75K                                    ActiveDisclosure/FA
 8/10/18  Arlington Asset Investment Corp.  8-K:1,9     8/10/18    6:111K                                   Donnelley … Solutions/FA
 4/13/18  Arlington Asset Investment Corp.  8-K:1,3,9   4/13/18    2:30K                                    Donnelley … Solutions/FA
 5/09/17  Arlington Asset Investment Corp.  8-A12B                 3:89K                                    Donnelley … Solutions/FA
 2/22/17  Arlington Asset Investment Corp.  8-K:1,9     2/22/17    6:761K                                   Donnelley … Solutions/FA
 1/27/17  Arlington Asset Investment Corp.  8-K:5,9     1/27/17    2:102K                                   Donnelley … Solutions/FA
10/26/16  Arlington Asset Investment Corp.  8-K:5,8,9  10/24/16    2:50K                                    ActiveDisclosure/FA
 3/18/15  Arlington Asset Investment Corp.  8-A12B                 2:120K                                   Toppan Merrill/FA
 3/17/15  Arlington Asset Investment Corp.  8-K:1,2,9   3/11/15    5:360K                                   Toppan Merrill/FA
 2/04/15  Arlington Asset Investment Corp.  8-K:2,5,7,9 2/03/15    4:161K                                   Toppan Merrill/FA
 7/15/14  Arlington Asset Investment Corp.  S-8         7/15/14    7:302K                                   Toppan Merrill/FA
 5/01/13  Arlington Asset Investment Corp.  8-K:1,2,9   5/01/13    5:667K                                   Donnelley … Solutions/FA
 2/23/12  Arlington Asset Investment Corp.  10-K       12/31/11   39:7.7M                                   Broadridge Fin’l So… Inc
 7/28/11  Arlington Asset Investment Corp.  8-K:2,5,9   7/27/11    3:398K                                   Toppan Merrill/FA
 6/06/11  Arlington Asset Investment Corp.  8-K:5,9     6/02/11    3:235K                                   Toppan Merrill/FA
 2/24/10  Arlington Asset Investment Corp.  10-K       12/31/09    8:2.4M                                   Donnelley … Solutions/FA
11/09/09  Arlington Asset Investment Corp.  10-Q        9/30/09    6:1.2M                                   Donnelley … Solutions/FA
 6/05/09  Arlington Asset Investment Corp.  8-K:1,2,3,5 6/05/09    4:325K                                   Donnelley … Solutions/FA
 4/29/04  Arlington Asset Investment Corp.  DEF 14A     5/19/04    1:311K                                   Bowne - DC/FA
12/19/97  Friedman Billings Ramsey Gp Inc.  S-1/A                 24:725K                                   Donnelley Fin’l S… 01/FA
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