Filing Details
- Accession Number:
- 0001233547-17-000004
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-05-23 16:31:18
- Reporting Period:
- 2017-05-22
- Filing Date:
- 2017-05-23
- Accepted Time:
- 2017-05-23 16:31:18
- 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 |
---|---|---|---|---|---|---|---|
1233547 | Richard Baum | 1 Belvedere Place Suite 300 Mill Valley CA 94941 | Yes | No | 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 | 2017-05-22 | 4,381 | $16.39 | 30,175 | No | 4 | M | Direct | |
Common Stock | Disposition | 2017-05-22 | 1,752 | $16.52 | 28,423 | 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 | 2017-05-22 | 4,381 | $0.00 | 4,381 | $19.40 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 1,758 | Indirect | by IRA |
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 November, 2016.
- This transaction was executed in multiple trades with prices ranging from $16.44 to $16.59, 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.
- Shares are subject to a minimum mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 20, 2017.
- No expiration date is applicable to deferred stock units.