Current Report Filing (8-k)
November 04 2020 - 06:02AM
Edgar (US Regulatory)
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2020-11-03 2020-11-03
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): November 4, 2020
(November 3, 2020)
ARLINGTON ASSET INVESTMENT CORP.
(Exact name of Registrant as Specified in Its Charter)
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Virginia
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54-1873198
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001-34374
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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)
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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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☐
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Written communications pursuant to Rule 425 under the Securities
Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act
(17 CFR 240.14a-12)
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☐
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Pre-commencement communications pursuant to Rule 14d-2(b) under the
Exchange Act (17 CFR 240.14d-2(b))
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☐
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Pre-commencement communications pursuant to Rule 13e-4(c) under the
Exchange Act (17 CFR 240.13e-4(c))
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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. ☐
Securities registered pursuant to Section 12(b) of the Act:
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Title of each class
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Trading
Symbol(s)
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Name of each exchange on which registered
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Class A Common Stock
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AAIC
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NYSE
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7.00% Series B Cumulative Perpetual Redeemable Preferred Stock
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AAIC PrB
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NYSE
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8.250% Series C Fixed-to-Floating Rate Cumulative Redeemable
Preferred Stock
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AAIC PrC
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NYSE
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6.625% Senior Notes due 2023
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AIW
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NYSE
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6.75% Senior Notes due 2025
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AIC
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NYSE
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Item 2.02.
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Results of Operations and Financial Condition.
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Arlington Asset Investment Corp. (the “Company”) issued a press
release on November 3, 2020 announcing its financial results for
the quarter ended September 30, 2020. A copy of the press release
is attached hereto as Exhibit 99.1.
The information in Item 2.02 of this Current Report on Form 8-K,
including Exhibit 99.1 furnished pursuant to Item 9.01, shall not
be deemed “filed” for the purposes of Section 18 of the Securities
Exchange Act of 1934 or otherwise subject to the liabilities under
that Section. Furthermore, the information in this Current Report
on Form 8-K, including Exhibit 99.1 hereto, shall not be
incorporated by reference into any registration statement or other
document pursuant to the Securities Act of 1933, as amended.
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Item 7.01
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Regulation FD Disclosure.
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The Company has posted an updated investor presentation to its
website, www.arlingtonasset.com. A
copy of the slide presentation is attached as Exhibit 99.2 hereto
and incorporated herein by reference. The foregoing
information is not deemed “filed” for the purposes of Section 18 of
the Securities Exchange Act of 1934, nor shall it be deemed
incorporated by reference in filings under the Securities Act of
1933.
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Item 9.01.
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Financial Statements and Exhibits.
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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: November 4, 2020
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By:
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/s/ Richard E. Konzmann
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Name:
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Richard E. Konzmann
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Title:
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Executive Vice President, Chief Financial
Officer and Treasurer
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Arlington Asset Investment (NYSE:AAIC)
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