Filing Details
- Accession Number:
- 0001487805-16-000007
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-12-20 17:26:09
- Reporting Period:
- 2016-12-19
- Filing Date:
- 2016-12-20
- Accepted Time:
- 2016-12-20 17:26:09
- 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 |
|---|---|---|---|---|---|---|---|
| 1487805 | P Andrew Stone | 1 Belvedere Place Suite 300 Mill Valley CA 94941 | General Counsel | 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 | 2016-12-19 | 5,434 | $15.16 | 50,896 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-12-19 | 5,000 | $15.30 | 45,896 | 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 | 2016-12-19 | 6,709 | $0.00 | 6,709 | $16.47 |
| Common Stock | Deferred Stock Units | Disposition | 2016-12-19 | 5,434 | $0.00 | 5,434 | $16.47 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 5,434 | No | 4 | F | Direct | ||
| 0 | No | 4 | M | 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, including 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 August, 2016.
- This transaction was executed in multiple trades with prices ranging from $15.21 to $15.40, 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 of Deferred Stock Units, based on the original grant date fair market value.
- This disposition transaction represents a Compensation Committee approved withholding of securities incident to the payment of tax liability relating to the distribution and/or conversion of Deferred Stock Units in the Executive Deferred Compensation Plan.
- Deferred Stock Units were subject to a mandatory holding period and are being delivered to the Participant at the time provided in the Deferral Election Form, according to the terms and conditions of the Executive Deferred Compensation Plan.
- No expiration date is applicable to deferred stock units.
- Following these reported transactions, no other Deferred Stock Units with the same original grant date are beneficially owned.
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