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Stock QuoteAGNC Investment Corp. (Nasdaq: AGNC)
$17.34 - 0.11
 (0.63%)

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SEC Filings

Form S-11/A
AGNC INVESTMENT CORP. filed this Form S-11/A on 05/09/2008
Document Outline
Entire Document (1858.4 KB)
Subdocument 1 - S-11/A - FORM S-11/A AMENDMENT #4
Page 1 - As filed with the Securities and Exchange Commission on May 9, 2008
Page 2 - The information in this prospectus is not complete and may be changed or supplemented. The securitie
Page 3 - N/A
Page 4 - TABLE OF CONTENTS
Page 5 - PROSPECTUS SUMMARY
Page 6 - American Capital Strategies, Ltd. (Nasdaq: ACAS)
Page 7 - Investment Considerations
Page 8 - Summary Risk Factors
Page 9 - Our Investment Strategy
Page 10 - Investment Committee and Investment Guidelines
Page 11 - Our Hedging Strategy
Page 12 - N/A
Page 13 - Our Structure
Page 14 - Conflicts of Interest in Our Relationship with Our Manager, Our Management Team and American Capital
Page 15 - Investment Activities
Page 16 - Our Distribution Policy
Page 17 - The Offering
Page 18 - Our Corporate Information
Page 19 - RISK FACTORS
Page 20 - Our Manager and American Capital do not have extensive institutional experience in acquiring or fina
Page 21 - We will have no recourse to American Capital if it does not fulfill its obligations under the admini
Page 22 - Our incentive compensation may induce our Manager to make certain investments, including speculative
Page 23 - We may change our targeted investments and investment guidelines without stockholder consent.
Page 24 - We are highly dependent on information and communications systems. Any systems failures could signif
Page 25 - New laws may be passed affecting the relationship between FNMA and FHLMC, on the one hand, and the U
Page 26 - Interest rate caps on our adjustable rate agency securities may adversely affect our profitability.
Page 27 - A decrease in prepayment rates may adversely affect our profitability.
Page 28 - Accounting for Derivative Instruments and Hedging Activities
Page 29 - Failure to procure adequate repurchase agreement financing, or to renew or replace existing repurcha
Page 30 - Pursuant to the terms of borrowings under our master repurchase agreements, we will be subject to ma
Page 31 - Our rights under our repurchase agreements will be subject to the effects of the bankruptcy laws in
Page 32 - The market price and trading volume of our common stock may be volatile following this offering.
Page 33 - Future sales of shares of our common stock may depress the price of our shares.
Page 34 - We have not established a minimum dividend payment level and we cannot assure you of our ability to
Page 35 - The stock ownership limit imposed by the Internal Revenue Code for REITs and our amended and restate
Page 36 - Anti-takeover provisions in our amended and restated certificate of incorporation and bylaws could d
Page 37 - Dividends payable by REITs do not qualify for the reduced tax rates available for some dividends.
Page 38 - The failure of agency securities subject to repurchase agreements to qualify as real estate assets c
Page 39 - SPECIAL NOTE REGARDING FORWARD LOOKING STATEMENTS
Page 40 - N/A
Page 41 - USE OF PROCEEDS
Page 42 - DISTRIBUTION POLICY
Page 43 - CAPITALIZATION
Page 44 - SELECTED FINANCIAL INFORMATION
Page 45 - MANAGEMENT S DISCUSSION AND ANALYSIS OF
Page 46 - Prepayment Speeds
Page 47 - Critical Accounting Policies
Page 48 - Repurchase Agreements
Page 49 - Income Taxes
Page 50 - Results of Operations
Page 51 - Off-Balance Sheet Arrangements
Page 52 - Dividends
Page 53 - Extension Risk
Page 54 - BUSINESS
Page 55 - Our Investment Strategy
Page 56 - Our Targeted Investments
Page 57 - FHLMC Gold Certificates
Page 58 - GNMA Certificates
Page 59 - Our Financing Strategy
Page 60 - Our Policies with Respect to Certain Other Activities
Page 61 - Changes in Our Investment Guidelines
Page 62 - OUR MANAGER, AMERICAN CAPITAL AND THE MANAGEMENT AGREEMENT
Page 63 - Thomas A. McHale
Page 64 - N/A
Page 65 - Our Management Agreement
Page 66 - Management Services
Page 67 - N/A
Page 68 - Term and Termination Rights
Page 69 - Base Management Fee and Incentive Compensation
Page 70 - N/A
Page 71 - Reimbursement of Expenses
Page 72 - Administrative Services Agreement
Page 73 - Time Commitments of Our Management Team
Page 74 - Investment Activities
Page 75 - MANAGEMENT
Page 76 - Larry K. Harvey
Page 77 - Compensation Committee
Page 78 - Director Compensation
Page 79 - Equity Incentive Plans
Page 80 - N/A
Page 81 - SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT
Page 82 - CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS
Page 83 - N/A
Page 84 - DESCRIPTION OF CAPITAL STOCK
Page 85 - Registration Rights Agreement with American Capital and Our Manager
Page 86 - N/A
Page 87 - Anti-Takeover Effects of Delaware Law and Our Amended and Restated Certificate of Incorporation and
Page 88 - Elimination of the Ability to Call Special Meetings
Page 89 - Limitations on Liability and Indemnification of Officers and Directors
Page 90 - SHARES ELIGIBLE FOR FUTURE SALE
Page 91 - N/A
Page 92 - FEDERAL INCOME TAX CONSIDERATIONS
Page 93 - Taxation of REITs in General
Page 94 - N/A
Page 95 - Requirements for Qualification General
Page 96 - Disregarded Subsidiaries.
Page 97 - Income Tests
Page 98 - Asset Tests
Page 99 - N/A
Page 100 - de minimis
Page 101 - N/A
Page 102 - Prohibited Transactions
Page 103 - Taxation of Stockholders
Page 104 - Dispositions of American Capital Agency Corp. Stock.
Page 105 - Ordinary Dividends.
Page 106 - Dispositions of American Capital Agency Corp. Stock.
Page 107 - Estate Tax.
Page 108 - UNDERWRITING
Page 109 - Sales in Other Jurisdictions
Page 110 - N/A
Page 111 - Offering Price Determination
Page 112 - N/A
Page 113 - LEGAL MATTERS
Page 114 - INDEX TO THE FINANCIAL STATEMENTS OF AMERICAN CAPITAL AGENCY CORP.
Page 115 - Report of Independent Registered Public Accounting Firm
Page 116 - AMERICAN CAPITAL AGENCY CORP.
Page 117 - AMERICAN CAPITAL AGENCY CORP.
Page 118 - 4. Off-Balance Sheet Arrangements
Page 119 - N/A
Page 120 - 12,500,000 Shares
Page 121 - PART II .
Page 122 - Item 35. Treatment of Proceeds From Stock Being Registered
Page 123 - Item 36. Financial Statements and Exhibits.
Page 124 - N/A
Page 125 - SIGNATURES
Page 126 - EXHIBIT INDEX
Subdocument 2 - EX-1.1 - EXHIBIT 1.1
Page 1 - Exhibit 1.1
Page 2 - Representations and Warranties
Page 3 - Schedule II
Page 4 - Issuer General Use Free Writing Prospectus
Page 5 - Independent Accountants
Page 6 - Capitalization
Page 7 - Agreements and Instruments
Page 8 - Possession of Intellectual Property
Page 9 - Absence of Transfer Taxes
Page 10 - Noncompetition; nondisclosure
Page 11 - REIT Status
Page 12 - Insurance
Page 13 - Lending Relationships
Page 14 - Authorization of Certain Agreements
Page 15 - Financial Resources
Page 16 - Officer s Certificates
Page 17 - Denominations; Registration
Page 18 - Delivery of Registration Statements
Page 19 - Rule 158
Page 20 - Share Price Manipulation
Page 21 - Termination of Agreement
Page 22 - Officers Certificate
Page 23 - Officers Certificate
Page 24 - Indemnification of Company, Directors and Officers
Page 25 - Actions against Parties; Notification
Page 26 - Contribution
Page 27 - Schedule I
Page 28 - Underwriter
Page 29 - Integration
Page 30 - Effect of Headings
Page 31 - Schedule I
Page 32 - SCHEDULE I
Page 33 - SCHEDULE II
Page 34 - SCHEDULE III
Page 35 - SCHEDULE IV
Page 36 - SCHEDULE V
Page 37 - Exhibit A
Page 38 - Exhibit B
Page 39 - N/A
Page 40 - Exhibit C
Page 41 - Exhibit D
Page 42 - N/A
Subdocument 3 - EX-4.1 - EXHIBIT 4.1
Page 1 - Exhibit 4.1
Page 2 - N/A
Subdocument 4 - EX-5.1 - EXHIBIT 5.1
Page 1 - Exhibit 5.1
Page 2 - N/A
Subdocument 5 - EX-8.1 - EXHIBIT 8.1
Page 1 - Exhibit 8.1
Page 2 - Code
Page 3 - REIT
Subdocument 6 - EX-10.2 - EXHIBIT 10.2
Page 1 - Exhibit 10.2
Page 2 - Company
Page 3 - Agency Securities
Page 4 - Core Earnings
Page 5 - Indemnified Party
Page 6 - Manager
Page 7 - Termination Fee
Page 8 - N/A
Page 9 - N/A
Page 10 - N/A
Page 11 - N/A
Page 12 - Reporting Requirements
Page 13 - Conduct Policies
Page 14 - Section 4. Bank Accounts
Page 15 - Company Permitted Disclosure Parties
Page 16 - Section 6. Compensation.
Page 17 - Valuation Notice
Page 18 - Section 7. Expenses of the Company.
Page 19 - N/A
Page 20 - provided, however
Page 21 - provided
Page 22 - Company Indemnified Party
Page 23 - Section 9. No Joint Venture
Page 24 - provided, however
Page 25 - Section 12. Termination of the Manager for Cause
Page 26 - Section 13. Action Upon Termination
Page 27 - Section 15. Representations and Warranties
Page 28 - N/A
Page 29 - Section 16. Miscellaneous
Page 30 - Amendments
Page 31 - Section Headings
Page 32 - N/A
Page 33 - Exhibit A
Subdocument 7 - EX-10.5 - EXHIBIT 10.5
Page 1 - Exhibit 10.5
Page 2 - N/A
Page 3 - Notices
Page 4 - Severability
Subdocument 8 - EX-10.6 - EXHIBIT 10.6
Page 1 - Exhibit 10.6
Page 2 - N/A
Page 3 - Notices
Page 4 - Assignment
Subdocument 9 - EX-10.7 - EXHIBIT 10.7
Page 1 - Exhibit 10.7
Page 2 - Delivery at Closing
Page 3 - Formation and Good Standing
Page 4 - Non-Sponsorship Covenant
Page 5 - Mutual Conditions
Page 6 - Amendments; Waivers
Page 7 - Headings
Page 8 - N/A
Page 9 - Annex I
Page 10 - Annex II
Subdocument 10 - EX-23.1 - EXHIBIT 23.1
Page 1 - Exhibit 23.1