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Filing Details

Accession Number:
0001487805-17-000004
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-12-21 17:08:25
Reporting Period:
2017-12-20
Accepted Time:
2017-12-21 17:08:25
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 2017-12-20 7,119 $14.76 53,015 No 4 M Direct
Common Stock Disposition 2017-12-20 5,000 $14.87 48,015 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 2017-12-20 8,788 $0.00 0 $18.86
Common Stock Deferred Stock Units Disposition 2017-12-20 7,119 $0.00 7,119 $18.86
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
7,119 No 4 F Direct
0 No 4 M Direct
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, 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.
  3. Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person in August, 2017.
  4. This transaction was executed in multiple trades with prices ranging from $14.78 to $14.97, 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 of Deferred Stock Units, based on the original grant date fair market value.
  6. 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.
  7. 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.
  8. No expiration date is applicable to deferred stock units.
  9. Following these reported transactions, no other Deferred Stock Units with the same original grant date are beneficially owned.