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Filing Details

Accession Number:: 0001144204-18-065467
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-12-19 18:57:54
Reporting Period:: 2018-12-19

Accepted Time:: 2018-12-19 18:57:54
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	One Belvedere Place, Suite 300 Mill Valley CA 94941	General Counsel	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2018-12-19	37,047	$15.21	85,062	No	4	M	Direct
Common Stock	Disposition	2018-12-19	15,000	$15.25	70,062	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

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Performance Stock Units	Disposition	2018-12-19	28,707	$0.00	28,707	$9.46
Common Stock	Performance Stock Units	Disposition	2018-12-19	31,920	$0.00	31,920	$9.46
Common Stock	Deferred Stock Units	Disposition	2018-12-19	8,340	$0.00	8,340	$19.87
Common Stock	Deferred Stock Units	Disposition	2018-12-19	9,274	$0.00	9,274	$19.87

Remaning Holdings	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
31,920	No	4	M	Direct
0	No	4	F	Direct
9,274	No	4	M	Direct
0	No	4	F	Direct

Footnotes

This transaction relates to the distribution and/or conversion of Performance Stock Units and 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 Performance Stock Units and 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 earlier in 2018.
This transaction was executed in multiple trades with prices ranging from $15.10 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 per stock unit of Performance Stock Units or Deferred Stock Units, based on the original grant date fair value determined at such time in accordance with FASB Accounting Standards Codification Topic 718.
Performance Stock Units and 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 Performance Stock Units and 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 Performance Stock Units and/or Deferred Stock Units under the Executive Deferred Compensation Plan.
Following these reported transactions, no other Performance Stock Units and/or Deferred Stock Units with the same original grant date are beneficially owned.