Filing Details
- Accession Number:
- 0001144204-16-098702
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-05-03 17:28:04
- Reporting Period:
- 2016-05-02
- Filing Date:
- 2016-05-03
- Accepted Time:
- 2016-05-03 17:28:04
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 930236 | Redwood Trust Inc | RWT | Real Estate Investment Trusts (6798) | 680329422 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1453409 | J Christopher Abate | One Belvedere Place, Suite 300 Mill Valley CA 94941 | Cfo, Executive Vice President | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-05-02 | 9,746 | $12.96 | 22,181 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-05-02 | 7,622 | $12.79 | 14,559 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Deferred Stock Units | Disposition | 2016-05-02 | 9,746 | $0.00 | 9,746 | $11.71 |
| Common Stock | Deferred Stock Units | Disposition | 2016-05-02 | 12,032 | $0.00 | 12,032 | $11.71 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 12,032 | No | 4 | M | Direct | ||
| 0 | No | 4 | F | Direct |
Footnotes
- This transaction relates to the distribution and/or conversion of Deferred Stock Units, to common stock under the Executive Deferred Compensation Plan.
- Represents the value (per stock unit or share of common stock) of the distribution and/or conversion of Deferred Stock Units, to common stock under the Executive Deferred Compensation Plan, based on the fair market value of Redwood Trust, Inc. common stock on the transaction date.
- Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person in 2015. A portion of the proceeds of this transaction are being remitted by the Reporting Person to Federal and/or State income tax agencies as additional income tax withholdings and/or estimated income tax payments.
- This transaction was executed in multiple trades with prices ranging from $12.67 to $13.03, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
- Represents fair value per stock unit of Deferred Stock Units, based on the weighted average of the original grant date fair market values.
- Deferred Stock Units, were subject to a mandatory holding period and conversion and/or distribution to the Reporting Person is at the time provided in the applicable deferral election form, in accordance with the terms and conditions of the Executive Deferred Compensation Plan.
- No expiration date is applicable to Deferred Stock Units.
- This disposition transaction represents a Compensation Committee approved withholding of securities incident to the payment of income tax liability relating to the distribution and/or conversion of Deferred Stock Units, under the Executive Deferred Compensation Plan.
- Following these reported transactions, no other Deferred Stock Units, with the same original grant date are beneficially owned.
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