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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
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):
July 21, 2021
ARLINGTON ASSET INVESTMENT CORP.
(Exact name of Registrant as specified in its charter)
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6862 Elm Street
,
Suite 320
McLean
,
VA
22101
(Address of principal executive offices) (Zip code)
(
703
)
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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Securities registered pursuant to Section 12(b) of the Act:
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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
☐
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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104
Cover 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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The above information was disclosed in a filing to the SEC. To see the filing, click here.
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