RWT

SEC source: 0001474435-21-000002 · edgardoc.xml · nonDerivative · entry 3

Pero Jeffrey T · CIK 0001474435 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,016.31

F1 · kind: Purchases were a result of prior election to reinvest dividends to purchase additional shares of the Redwood Trust, Inc. on dividend payable dates approved and declared by the Board of Directors.

F2 · shares: Transactions are rounded to to the nearest hundredth decimal.

SEC source: 0001233565-20-000010 · edgardoc.xml · derivative · entry 1

KUBICEK GREG H · CIK 0001233565 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,961.27

Underlying: Common Stock · 8,961.27 shares

Expires not disclosed

F1 · shares: This transaction relates to the acquisition of Deferred Stock Units in accordance with the deferral election made with respect to director compensation and/or dividend equivalent rights according to the terms and conditions of the Redwood Trust Inc. Amended and Restated Executive Deferred Compensation Plan.

F2 · derivative.exercise_date: 100% vested at grant.

F3 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001488500-20-000006 · edgardoc.xml · derivative · entry 1

Matera Fred · CIK 0001488500 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,577

Underlying: Common Stock · 11,577 shares

Expires not disclosed

F1 · shares: This transaction relates to the acquisition of Deferred Stock Units in accordance with the deferral election made with respect to compensation according to the terms and conditions of the Redwood Trust Inc. Amended and Restated Executive Deferred Compensation Plan.

F2 · derivative.exercise_date: 100% vested at grant.

F3 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001474435-20-000008 · edgardoc.xml · derivative · entry 1

Pero Jeffrey T · CIK 0001474435 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 537.41

Underlying: Common Stock · 537.41 shares

Expires not disclosed

F1 · shares: This transaction relates to the acquisition of Deferred Stock Units in accordance with the deferral election made with respect to director compensation and/or dividend equivalent rights according to the terms and conditions of the Redwood Trust Inc. Amended and Restated Executive Deferred Compensation Plan.

F2 · derivative.exercise_date: 100% vested at grant.

F3 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001221603-20-000006 · edgardoc.xml · derivative · entry 1

PROCTOR GEORGANNE · CIK 0001221603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,470.84

Underlying: Common Stock · 1,470.84 shares

Expires not disclosed

F1 · shares: This transaction relates to the acquisition of Deferred Stock Units in accordance with the deferral election made with respect to director compensation and/or dividend equivalent rights according to the terms and conditions of the Redwood Trust Inc. Amended and Restated Executive Deferred Compensation Plan.

F2 · derivative.exercise_date: 100% vested at grant.

F3 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001221603-20-000004 · edgardoc.xml · derivative · entry 1

PROCTOR GEORGANNE · CIK 0001221603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,459

Underlying: Common Stock · 12,459 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents fair market value RWT common stock on the grant date under the 2014 Incentive Award Plan.

F2 · kind: This transaction relates to the grant of Deferred Stock Units.

F3 · shares: 100% vested at grant.

F4 · derivative.exercise_date: 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 June 12, 2023.

F5 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001233547-20-000004 · edgardoc.xml · derivative · entry 1

BAUM RICHARD · CIK 0001233547 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,459

Underlying: Common Stock · 12,459 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents fair market value RWT common stock on the grant date under the 2014 Incentive Award Plan.

F2 · kind: This transaction relates to the grant of Deferred Stock Units.

F3 · shares: 100% vested at grant.

F4 · derivative.exercise_date: 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 June 12, 2023.

F5 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001233537-20-000004 · edgardoc.xml · derivative · entry 1

HANSEN DOUGLAS B · CIK 0001233537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,459

Underlying: Common Stock · 12,459 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents fair market value RWT common stock on the grant date under the 2014 Incentive Award Plan.

F2 · kind: This transaction relates to the grant of Deferred Stock Units.

F3 · shares: 100% vested at grant.

F4 · derivative.exercise_date: 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 June 12, 2023.

F5 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001564301-20-000004 · edgardoc.xml · derivative · entry 1

Debora Horvath D · CIK 0001564301 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,459

Underlying: Common Stock · 12,459 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents fair market value RWT common stock on the grant date under the 2014 Incentive Award Plan.

F2 · kind: This transaction relates to the grant of Deferred Stock Units.

F3 · shares: 100% vested at grant.

F4 · derivative.exercise_date: 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 June 12, 2023.

F5 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001233565-20-000008 · edgardoc.xml · derivative · entry 1

KUBICEK GREG H · CIK 0001233565 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,459

Underlying: Common Stock · 12,459 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents fair market value RWT common stock on the grant date under the 2014 Incentive Award Plan.

F2 · kind: This transaction relates to the grant of Deferred Stock Units.

F3 · shares: 100% vested at grant.

F4 · derivative.exercise_date: 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 June 12, 2023.

F5 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001488500-20-000004 · edgardoc.xml · derivative · entry 1

Matera Fred · CIK 0001488500 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,459

Underlying: Common Stock · 12,459 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents fair market value RWT common stock on the grant date under the 2014 Incentive Award Plan.

F2 · kind: This transaction relates to the grant of Deferred Stock Units.

F3 · shares: 100% vested at grant.

F4 · derivative.exercise_date: 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 June 12, 2023.

F5 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001474435-20-000006 · edgardoc.xml · derivative · entry 1

Pero Jeffrey T · CIK 0001474435 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,459

Underlying: Common Stock · 12,459 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents fair market value RWT common stock on the grant date under the 2014 Incentive Award Plan.

F2 · kind: This transaction relates to the grant of Deferred Stock Units.

F3 · shares: 100% vested at grant.

F4 · derivative.exercise_date: 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 June 12, 2023.

F5 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001233561-20-000002 · edgardoc.xml · nonDerivative · entry 2

Byerwalter Mariann H · CIK 0001233561 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 11,969.7

F3 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person in May, 2019.

F4 · price: This transaction was executed in multiple trades in prices ranging from $4.51 to $4.54 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.

SEC source: 0001233547-20-000002 · edgardoc.xml · derivative · entry 3

BAUM RICHARD · CIK 0001233547 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,778 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Represents fair market value RWT common stock on the grant date under the 2014 Incentive Award Plan.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F1 · price: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F4 · derivative.exercise_date: 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.

F5 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001233547-20-000002 · edgardoc.xml · nonDerivative · entry 1

BAUM RICHARD · CIK 0001233547 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,635.14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F2 · price: 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.

SEC source: 0001233537-20-000002 · edgardoc.xml · derivative · entry 2

HANSEN DOUGLAS B · CIK 0001233537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,778 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Represents fair market value RWT common stock on the grant date under the 2014 Incentive Award Plan.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F1 · price: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F4 · derivative.exercise_date: 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.

F5 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001233537-20-000002 · edgardoc.xml · nonDerivative · entry 1

HANSEN DOUGLAS B · CIK 0001233537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,658.43

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F2 · price: 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.

SEC source: 0001564301-20-000002 · edgardoc.xml · derivative · entry 3

Debora Horvath D · CIK 0001564301 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,778 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Represents fair market value RWT common stock on the grant date under the 2014 Incentive Award Plan.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F1 · price: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F4 · derivative.exercise_date: 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.

F5 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001564301-20-000002 · edgardoc.xml · nonDerivative · entry 1

Debora Horvath D · CIK 0001564301 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 13,088

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F2 · price: 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.

SEC source: 0001233561-20-000002 · edgardoc.xml · derivative · entry 3

Byerwalter Mariann H · CIK 0001233561 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,778 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Represents fair market value RWT common stock on the grant date under the 2014 Incentive Award Plan.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F1 · price: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F6 · derivative.exercise_date: 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.

F7 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001233561-20-000002 · edgardoc.xml · nonDerivative · entry 1

Byerwalter Mariann H · CIK 0001233561 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 17,747.7

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F2 · price: 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.

SEC source: 0001488500-20-000002 · edgardoc.xml · nonDerivative · entry 1

Matera Fred · CIK 0001488500 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 25,792

SEC source: 0001474435-21-000002 · edgardoc.xml · nonDerivative · entry 2

Pero Jeffrey T · CIK 0001474435 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,470.01

F1 · kind: Purchases were a result of prior election to reinvest dividends to purchase additional shares of the Redwood Trust, Inc. on dividend payable dates approved and declared by the Board of Directors.

F2 · shares: Transactions are rounded to to the nearest hundredth decimal.

SEC source: 0001474435-20-000004 · edgardoc.xml · derivative · entry 1

Pero Jeffrey T · CIK 0001474435 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,124.62

Underlying: Common Stock · 1,124.62 shares

Expires not disclosed

F1 · shares: This transaction relates to the acquisition of Deferred Stock Units in accordance with the deferral election made with respect to dividend equivalent rights according to the terms and conditions of the Redwood Trust Inc. Amended and Restated Executive Deferred Compensation Plan.

F2 · derivative.exercise_date: 100% vested at grant.

F3 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001233565-20-000006 · edgardoc.xml · derivative · entry 1

KUBICEK GREG H · CIK 0001233565 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,462.78

Underlying: Common Stock · 14,462.78 shares

Expires not disclosed

F1 · shares: This transaction relates to the acquisition of Deferred Stock Units in accordance with the deferral election made with respect to dividend equivalent rights according to the terms and conditions of the Redwood Trust Inc. Amended and Restated Executive Deferred Compensation Plan.

F2 · derivative.exercise_date: 100% vested at grant.

F3 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001221603-20-000002 · edgardoc.xml · derivative · entry 1

PROCTOR GEORGANNE · CIK 0001221603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,455.24

Underlying: Common Stock · 5,455.24 shares

Expires not disclosed

F1 · shares: This transaction relates to the acquisition of Deferred Stock Units in accordance with the deferral election made with respect to dividend equivalent rights according to the terms and conditions of the Redwood Trust Inc. Amended and Restated Executive Deferred Compensation Plan.

F2 · derivative.exercise_date: 100% vested at grant.

F3 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001104659-20-055537 · tm2018377d1_4.xml · derivative · entry 2

Pero Jeffrey T · CIK 0001474435 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,571 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Represents average grant date fair value of Deferred Stock Units acquired based on the fair market value of Redwood Trust, Inc. common stock on the acquisition dates.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock in accordance with the deferral election made with respect to director compensation and dividend equivalent rights according to the terms and conditions of the Redwood Trust Inc. Amended and Restated Executive Deferred Compensation Plan.

F1 · price: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock in accordance with the deferral election made with respect to director compensation and dividend equivalent rights according to the terms and conditions of the Redwood Trust Inc. Amended and Restated Executive Deferred Compensation Plan.

F4 · derivative.exercise_date: 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 Redwood Trust, Inc. Amended and Restated Executive Deferred Compensation Plan.

F5 · derivative.expiration_date: No expiration date is applicable to Deferred Stock Units.

SEC source: 0001104659-20-055537 · tm2018377d1_4.xml · nonDerivative · entry 1

Pero Jeffrey T · CIK 0001474435 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,501.88

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock in accordance with the deferral election made with respect to director compensation and dividend equivalent rights according to the terms and conditions of the Redwood Trust Inc. Amended and Restated Executive Deferred Compensation Plan.

F2 · price: Represents the value 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.

SEC source: 0001233565-20-000004 · edgardoc.xml · derivative · entry 1

KUBICEK GREG H · CIK 0001233565 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,816.54

Underlying: Common Stock · 7,816.54 shares

Expires not disclosed

F1 · shares: This transaction relates to the acquisition of Deferred Stock Units in accordance with the deferral election made with respect to director compensation according to the terms and conditions of the Redwood Trust Inc. Amended and Restated Executive Deferred Compensation Plan.

F2 · derivative.exercise_date: 100% vested at grant.

F3 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001758710-21-000002 · edgardoc.xml · nonDerivative · entry 1

Macomber Sasha G. · CIK 0001758710 · Chief Human Resource Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139

F1 · kind: Shares purchased through the 2002 Redwood Trust, Inc. Employee Stock Purchase Plan

SEC source: 0001758710-20-000002 · edgardoc.xml · derivative · entry 1

Macomber Sasha G. · CIK 0001758710 · Chief Human Resource Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,997

Underlying: Common Stock · 16,997 shares

Expires not disclosed

F1 · security: This transaction relates to the grant of Deferred Stock Units.

F2 · derivative.exercise_price: Represents grant date fair value of the DSUs issued, based on the fair market value of RWT common stock on the transaction date under the 2014 Incentive Award Plan.

F3 · derivative.exercise_date: 25% vests 4/1/2021, 6.25% every quarter thereafter (beginning with 7/1/2021). Fully vested 3/1/2024.

F4 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001513564-20-000002 · edgardoc.xml · derivative · entry 3

COCHRANE COLLIN L. · CIK 0001513564 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,744 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Represents fair value of Deferred Stock Units, based on the original grant date fair market value.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F1 · price: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F5 · derivative.exercise_date: 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.

F6 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

F7 · balance_after: Following these reported transactions, no other Deferred Stock Units with the same original grant date are beneficially owned.

SEC source: 0001513564-20-000002 · edgardoc.xml · derivative · entry 2

COCHRANE COLLIN L. · CIK 0001513564 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,744

Underlying: Common Stock · 14,169 shares

Expires not disclosed

F3 · derivative.exercise_price: Represents fair value of Deferred Stock Units, based on the original grant date fair market value.

F4 · kind: 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.

F1 · price: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F5 · derivative.exercise_date: 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.

F6 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001513564-20-000002 · edgardoc.xml · nonDerivative · entry 1

COCHRANE COLLIN L. · CIK 0001513564 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,052

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F2 · price: 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.

SEC source: 0001474435-21-000002 · edgardoc.xml · nonDerivative · entry 1

Pero Jeffrey T · CIK 0001474435 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,620.87

F1 · kind: Purchases were a result of prior election to reinvest dividends to purchase additional shares of the Redwood Trust, Inc. on dividend payable dates approved and declared by the Board of Directors.

F2 · shares: Transactions are rounded to to the nearest hundredth decimal.

SEC source: 0001221603-19-000013 · edgardoc.xml · derivative · entry 1

Pero Jeffrey T · CIK 0001474435 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,427.93

Underlying: Common Stock · 2,427.93 shares

Expires not disclosed

F1 · shares: This transaction relates to the acquisition of Deferred Stock Units in accordance with the deferral election made with respect to director compensation and/or dividend equivalent rights according to the terms and conditions of the Redwood Trust Inc. Amended and Restated Executive Deferred Compensation Plan.

F2 · derivative.exercise_date: 100% vested at grant.

F3 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001233565-19-000010 · edgardoc.xml · derivative · entry 1

KUBICEK GREG H · CIK 0001233565 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,237.74

Underlying: Common Stock · 5,237.74 shares

Expires not disclosed

F1 · shares: This transaction relates to the acquisition of Deferred Stock Units in accordance with the deferral election made with respect to director compensation and/or dividend equivalent rights according to the terms and conditions of the Redwood Trust Inc. Amended and Restated Executive Deferred Compensation Plan.

F2 · derivative.exercise_date: 100% vested at grant.

F3 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001221603-19-000011 · edgardoc.xml · derivative · entry 1

PROCTOR GEORGANNE · CIK 0001221603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,283.08

Underlying: Common Stock · 1,283.08 shares

Expires not disclosed

F1 · shares: This transaction relates to the acquisition of Deferred Stock Units in accordance with the deferral election made with respect to director compensation and/or dividend equivalent rights according to the terms and conditions of the Redwood Trust Inc. Amended and Restated Executive Deferred Compensation Plan.

F2 · derivative.exercise_date: 100% vested at grant.

F3 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001104659-19-076467 · tm1927518d1_4.xml · nonDerivative · entry 1

PROCTOR GEORGANNE · CIK 0001221603 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 8,645

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person earlier in 2019.

SEC source: 0001104659-19-075171 · tm19263763_form4.xml · derivative · entry 6

Stone Andrew P · CIK 0001487805 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,152 shares

Expires not disclosed

F5 · derivative.exercise_price: 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.

F8 · kind: 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.

F1 · price: 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.

F6 · derivative.exercise_date: 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.

F7 · derivative.expiration_date: No expiration date is applicable to Performance Stock Units and Deferred Stock Units.

F9 · balance_after: Following these reported transactions, no other Performance Stock Units and/or Deferred Stock Units with the same original grant date are beneficially owned.

SEC source: 0001104659-19-075171 · tm19263763_form4.xml · derivative · entry 5

Stone Andrew P · CIK 0001487805 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,152

Underlying: Common Stock · 12,728 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: 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.

F1 · kind: 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.

F1 · price: 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.

F6 · derivative.exercise_date: 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.

F7 · derivative.expiration_date: No expiration date is applicable to Performance Stock Units and Deferred Stock Units.

SEC source: 0001104659-19-075171 · tm19263763_form4.xml · derivative · entry 4

Stone Andrew P · CIK 0001487805 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,219 shares

Expires not disclosed

F5 · derivative.exercise_price: 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.

F8 · kind: 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.

F1 · price: 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.

F6 · derivative.exercise_date: 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.

F7 · derivative.expiration_date: No expiration date is applicable to Performance Stock Units and Deferred Stock Units.

F9 · balance_after: Following these reported transactions, no other Performance Stock Units and/or Deferred Stock Units with the same original grant date are beneficially owned.

SEC source: 0001104659-19-075171 · tm19263763_form4.xml · derivative · entry 3

Stone Andrew P · CIK 0001487805 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,219

Underlying: Common Stock · 16,385 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: 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.

F1 · kind: 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.

F1 · price: 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.

F6 · derivative.exercise_date: 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.

F7 · derivative.expiration_date: No expiration date is applicable to Performance Stock Units and Deferred Stock Units.

SEC source: 0001104659-19-075171 · tm19263763_form4.xml · nonDerivative · entry 2

Stone Andrew P · CIK 0001487805 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,176

F3 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person earlier in 2019.

F4 · price: This transaction was executed in multiple trades with prices ranging from $16.55 to $16.68, 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.

SEC source: 0001104659-19-075171 · tm19263763_form4.xml · nonDerivative · entry 1

Stone Andrew P · CIK 0001487805 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,176

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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.

F2 · price: 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.

SEC source: 0001104659-19-075170 · tm19263762_form4.xml · derivative · entry 3

Stern Shoshone (Bo) · CIK 0001681908 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,387 shares

Expires not disclosed

F3 · derivative.exercise_price: Represents fair value per stock unit of Performance Stock Units based on the original grant date fair value determined at such time in accordance with FASB Accounting Standards Codification Topic 718.

F6 · kind: 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 under the Executive Deferred Compensation Plan.

F1 · price: This transaction relates to the distribution and/or conversion of Performance Stock Units to common stock under the Executive Deferred Compensation Plan.

F4 · derivative.exercise_date: Performance 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.

F5 · derivative.expiration_date: No expiration date is applicable to Performance Stock Units.

F7 · balance_after: Following these reported transactions, no other Performance Stock Units with the same original grant date are beneficially owned.

SEC source: 0001104659-19-075170 · tm19263762_form4.xml · derivative · entry 2

Stern Shoshone (Bo) · CIK 0001681908 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,387

Underlying: Common Stock · 10,241 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Represents fair value per stock unit of Performance Stock Units based on the original grant date fair value determined at such time in accordance with FASB Accounting Standards Codification Topic 718.

F1 · kind: This transaction relates to the distribution and/or conversion of Performance Stock Units to common stock under the Executive Deferred Compensation Plan.

F1 · price: This transaction relates to the distribution and/or conversion of Performance Stock Units to common stock under the Executive Deferred Compensation Plan.

F4 · derivative.exercise_date: Performance 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.

F5 · derivative.expiration_date: No expiration date is applicable to Performance Stock Units.

SEC source: 0001104659-19-075170 · tm19263762_form4.xml · nonDerivative · entry 1

Stern Shoshone (Bo) · CIK 0001681908 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,930

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction relates to the distribution and/or conversion of Performance Stock Units to common stock under the Executive Deferred Compensation Plan.

F2 · price: Represents the value (per stock unit or share of common stock) of the distribution and/or conversion of Performance 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.

SEC source: 0001104659-19-075161 · tm1926376-1_form4.xml · derivative · entry 5

Abate Christopher J · CIK 0001453409 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,240 shares

Expires not disclosed

F3 · derivative.exercise_price: 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.

F6 · kind: 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.

F1 · price: 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.

F4 · derivative.exercise_date: 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.

F5 · derivative.expiration_date: No expiration date is applicable to Performance Stock Units and Deferred Stock Units.

F7 · balance_after: Following these reported transactions, no other Performance Stock Units and/or Deferred Stock Units with the same original grant date are beneficially owned.

SEC source: 0001104659-19-075161 · tm1926376-1_form4.xml · derivative · entry 4

Abate Christopher J · CIK 0001453409 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,240

Underlying: Common Stock · 20,002 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: 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.

F1 · kind: 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.

F1 · price: 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.

F4 · derivative.exercise_date: 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.

F5 · derivative.expiration_date: No expiration date is applicable to Performance Stock Units and Deferred Stock Units.