Current Report Filing (8-k)
21 November 2012 - 1:08AM
Edgar (US Regulatory)
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 20, 2012
ARLINGTON ASSET INVESTMENT CORP.
(Exact name of Registrant as specified in
its charter)
Virginia
|
|
54-1873198
|
|
001-34374
|
(State or Other Jurisdiction
of Incorporation or Organization)
|
|
(I.R.S. Employer Identification No.)
|
|
(Commission File Number)
|
1001 Nineteenth Street North
Arlington, VA 22209
(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:
¨
|
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
|
¨
|
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
|
¨
|
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
|
¨
|
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
|
Item 8.01 Other Events.
On November 20, 2012,
Arlington Asset Investment Corp. (the “Company”) announced that it has been advised by the U.S. Securities and Exchange
Commission (the “Commission”) that the investigation initiated by the Commission as previously disclosed, in which
a “Wells Notice” was issued to the Company, has been terminated and that no enforcement action has been recommended.
The investigation related to the disclosures in the offering material for an MBS offering sponsored in 2007 by a former non-broker-dealer
subsidiary of the Company.
The Company’s
Chief Investment Officer, Mr. Brian Bowers, also received a similar notice from the Commission that the investigation against
him has been terminated and that no enforcement action has been recommended.
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.
|
ARLINGTON ASSET INVESTMENT CORP.
|
Date: November 20, 2012
|
By:
/s/ Kurt R. Harrington
Name: Kurt R. Harrington
Title: Executive Vice President, Chief Financial
Officer and Treasurer
|
C3 AI (NYSE:AI)
Historical Stock Chart
From Jun 2024 to Jul 2024
C3 AI (NYSE:AI)
Historical Stock Chart
From Jul 2023 to Jul 2024