Filing Details

Accession Number:
0001144204-16-098711
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-05-03 17:32:23
Reporting Period:
2016-05-02
Filing Date:
2016-05-03
Accepted Time:
2016-05-03 17:32:23
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 One 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 2016-05-02 6,093 $12.96 26,031 No 4 M Direct
Common Stock Disposition 2016-05-02 3,903 $12.79 22,128 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 6,093 $0.00 6,093 $12.31
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
  1. This transaction relates to the distribution and/or conversion of Deferred Stock Units, to common stock under the Executive Deferred Compensation Plan.
  2. 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.
  3. 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.
  4. This transaction was executed in multiple trades with prices ranging from $12.67 to $12.98, 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.
  5. Represents fair value per stock unit of Deferred Stock Units based on the weighted average of the original grant date fair market values.
  6. 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 1, 2016.
  7. No expiration date is applicable to Deferred Stock Units.