RWT

SEC source: 0001233547-18-000002 · edgardoc.xml · derivative · entry 4

BAUM RICHARD · CIK 0001233547 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,016

Underlying: Common Stock · 6,016 shares

Expires not disclosed

F6 · derivative.exercise_price: Represents fair market value RWT common stock on transaction date under the 2014 Incentive Award Plan.

F7 · kind: This transaction relates to the grant of Deferred Stock Units.

F8 · shares: 100% vested at grant.

F9 · 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 May 21, 2021.

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

SEC source: 0001221603-18-000004 · edgardoc.xml · derivative · entry 1

PROCTOR GEORGANNE · CIK 0001221603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,016

Underlying: Common Stock · 6,016 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents fair market value RWT common stock on transaction 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 May 21, 2021.

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

SEC source: 0001564301-18-000002 · edgardoc.xml · derivative · entry 1

Debora Horvath D · CIK 0001564301 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,016

Underlying: Common Stock · 6,016 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents fair market value RWT common stock on transaction 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 May 21, 2021.

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

SEC source: 0001233565-18-000006 · edgardoc.xml · derivative · entry 1

KUBICEK GREG H · CIK 0001233565 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,016

Underlying: Common Stock · 6,016 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents fair market value RWT common stock on transaction 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 May 21, 2021.

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

SEC source: 0001716998-18-000002 · edgardoc.xml · derivative · entry 2

Robinson Dashiell I · CIK 0001716998 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,578

Underlying: Common Stock · 6,578 shares

Expires not disclosed

F5 · security: This transaction relates to the grant of Performance Stock Units ("PSUs"), which are performance-based equity awards. The number of underlying shares of common stock of Redwood Trust, Inc. ("Common Stock") that vest and that the recipient becomes entitled to receive at the time of vesting will generally range from 0% to 200% of a target number of PSUs granted, contingent on the achievement of a pre-established performance metric (with the target number of PSUs granted being adjusted to reflect the value of any dividends on Common Stock declared during the vesting period). Vesting of these PSUs will generally occur at the end of three years (on May 21, 2021) based on three-year total stockholder return. Please refer to Item 5.02(e) of the Current Report on Form 8-K filed on May 23, 2018 by Redwood Trust, Inc. for a description of the terms of these PSUs, which Item 5.02(e) qualifies, in its entirety, the description set forth in this footnote (5) and footnote (6) below.

F6 · derivative.exercise_price: Represents grant date fair value of the PSUs issued.

F2 · kind: This transaction relates to the grant of performance stock units or deferred stock units approved by the Compensation Committee of the Board of Directors to Mr. Robinson in connection with his promotion to the role of President, effective on May 22, 2018.

F7 · shares: Represents the target number of PSUs granted.

F8 · derivative.exercise_date: Vested shares, if any, will be delivered to the Participant no later than August 31, 2021.

F9 · derivative.expiration_date: No expiration date is applicable to performance stock units.

SEC source: 0001716998-18-000002 · edgardoc.xml · derivative · entry 1

Robinson Dashiell I · CIK 0001716998 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,017

Underlying: Common Stock · 6,017 shares

Expires not disclosed

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

F2 · kind: This transaction relates to the grant of performance stock units or deferred stock units approved by the Compensation Committee of the Board of Directors to Mr. Robinson in connection with his promotion to the role of President, effective on May 22, 2018.

F3 · derivative.exercise_date: 25% vests 7/1/2019, 6.25% every quarter thereafter. Fully vested 5/21/2022.

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

SEC source: 0001453409-18-000004 · edgardoc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,447

Underlying: Common Stock · 16,447 shares

Expires not disclosed

F5 · security: This transaction relates to the grant of Performance Stock Units ("PSUs"), which are performance-based equity awards. The number of underlying shares of common stock of Redwood Trust, Inc. ("Common Stock") that vest and that the recipient becomes entitled to receive at the time of vesting will generally range from 0% to 200% of a target number of PSUs granted, contingent on the achievement of a pre-established performance metric (with the target number of PSUs granted being adjusted to reflect the value of any dividends on Common Stock declared during the vesting period). Vesting of these PSUs will generally occur at the end of three years (on May 21, 2021) based on three-year total stockholder return. Please refer to Item 5.02(e) of the Current Report on Form 8-K filed on May 23, 2018 by Redwood Trust, Inc. for a description of the terms of these PSUs, which Item 5.02(e) qualifies, in its entirety, the description set forth in this footnote (5) and footnote (6) below.

F6 · derivative.exercise_price: Represents grant date fair value of the PSUs issued.

F2 · kind: This transaction relates to the grant of performance stock units or deferred stock units approved by the Compensation Committee of the Board of Directors to Mr. Abate in connection with his promotion to the role of Chief Executive Officer, effective on May 22, 2018.

F7 · shares: Represents the target number of PSUs granted.

F8 · derivative.exercise_date: Vested shares, if any, will be delivered to the Participant no later than August 31, 2021.

F9 · derivative.expiration_date: No expiration date is applicable to performance stock units.

SEC source: 0001453409-18-000004 · edgardoc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,042

Underlying: Common Stock · 15,042 shares

Expires not disclosed

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

F2 · kind: This transaction relates to the grant of performance stock units or deferred stock units approved by the Compensation Committee of the Board of Directors to Mr. Abate in connection with his promotion to the role of Chief Executive Officer, effective on May 22, 2018.

F3 · derivative.exercise_date: 25% vests 7/1/2019, 6.25% every quarter thereafter. Fully vested 5/21/2022.

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

SEC source: 0001474435-18-000006 · edgardoc.xml · derivative · entry 2

Pero Jeffrey T · CIK 0001474435 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,124 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.

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: 0001474435-18-000006 · edgardoc.xml · nonDerivative · entry 1

Pero Jeffrey T · CIK 0001474435 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,749.42

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: 0001466030-18-000002 · edgardoc.xml · derivative · entry 2

Pallotta Karen R · CIK 0001466030 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,124 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.

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: 0001466030-18-000002 · edgardoc.xml · nonDerivative · entry 1

Pallotta Karen R · CIK 0001466030 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by IRA

Disclosed balance after: 9,928

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: 0001233537-18-000002 · 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 · 5,124 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.

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: 0001233537-18-000002 · edgardoc.xml · nonDerivative · entry 1

HANSEN DOUGLAS B · CIK 0001233537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 338,570.43

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: 0001233561-18-000002 · edgardoc.xml · derivative · entry 2

Byerwalter Mariann H · CIK 0001233561 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,124 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.

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: 0001233561-18-000002 · edgardoc.xml · nonDerivative · entry 1

Byerwalter Mariann H · CIK 0001233561 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 15,437.7

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: 0001233547-18-000002 · edgardoc.xml · derivative · entry 3

BAUM RICHARD · CIK 0001233547 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,124 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.

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: 0001233547-18-000002 · edgardoc.xml · nonDerivative · entry 1

BAUM RICHARD · CIK 0001233547 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,547.14

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: 0001144204-18-024458 · tv492211_4.xml · derivative · entry 3

Pallotta Karen R · CIK 0001466030 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,777 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.

F4 · derivative.exercise_date: Deferred Stock Units are subject to a mandatory holding period and will be 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: 0001144204-18-024458 · tv492211_4.xml · nonDerivative · entry 1

Pallotta Karen R · CIK 0001466030 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,777

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: 0001474435-19-000002 · edgardoc.xml · nonDerivative · entry 1

Pero Jeffrey T · CIK 0001474435 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,625.43

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: 0001221603-18-000002 · edgardoc.xml · derivative · entry 1

PROCTOR GEORGANNE · CIK 0001221603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,149.69

Underlying: Common Stock · 1,149.69 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: 0001233565-18-000004 · edgardoc.xml · derivative · entry 1

KUBICEK GREG H · CIK 0001233565 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,466.09

Underlying: Common Stock · 4,466.09 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: 0001474435-18-000004 · edgardoc.xml · derivative · entry 1

Pero Jeffrey T · CIK 0001474435 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,959.5

Underlying: Common Stock · 1,959.5 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: 0001233565-19-000002 · edgardoc.xml · nonDerivative · entry 1

KUBICEK GREG H · CIK 0001233565 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 75,455.69

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: 0001706281-18-000002 · edgardoc.xml · derivative · entry 1

Kanouse Garnet W · CIK 0001706281 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,217

Underlying: Common Stock · 2,217 shares

Expires not disclosed

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

F2 · shares: Represents the portion of 2017 performance-based annual bonus paid in the form of fully vested deferred stock units, instead of cash. Please refer to Item 11 "Executive Compensation" of Form 10-k filed on February 28, 2018 for further details.

F3 · derivative.exercise_date: Shares are subject to a three-year mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 1, 2021.

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

SEC source: 0001513564-18-000002 · edgardoc.xml · derivative · entry 1

COCHRANE COLLIN LEE · CIK 0001513564 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59

Underlying: Common Stock · 59 shares

Expires not disclosed

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

F2 · shares: Represents the portion of 2017 performance-based annual bonus paid in the form of fully vested deferred stock units, instead of cash. Please refer to Item 11 "Executive Compensation" of Form 10-k filed on February 28, 2018 for further details.

F3 · derivative.exercise_date: Shares are subject to a three-year mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 1, 2021.

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

SEC source: 0001681908-18-000002 · edgardoc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80

Underlying: Common Stock · 80 shares

Expires not disclosed

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

F2 · shares: Represents the portion of 2017 performance-based annual bonus paid in the form of fully vested deferred stock units, instead of cash. Please refer to Item 11 "Executive Compensation" of Form 10-k filed on February 28, 2018 for further details.

F3 · derivative.exercise_date: Shares are subject to a three-year mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 1, 2021.

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

SEC source: 0001487805-18-000002 · edgardoc.xml · derivative · entry 1

Stone Andrew P · CIK 0001487805 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75

Underlying: Common Stock · 75 shares

Expires not disclosed

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

F2 · shares: Represents the portion of 2017 performance-based annual bonus paid in the form of fully vested deferred stock units, instead of cash. Please refer to Item 11 "Executive Compensation" of Form 10-k filed on February 28, 2018 for further details.

F3 · derivative.exercise_date: Shares are subject to a three-year mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 1, 2021.

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

SEC source: 0001453409-18-000002 · edgardoc.xml · derivative · entry 1

Abate Christopher J · CIK 0001453409 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141

Underlying: Common Stock · 141 shares

Expires not disclosed

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

F2 · shares: Represents the portion of 2017 performance-based annual bonus paid in the form of fully vested deferred stock units, instead of cash. Please refer to Item 11 "Executive Compensation" of Form 10-k filed on February 28, 2018 for further details.

F3 · derivative.exercise_date: Shares are subject to a three-year mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 1, 2021.

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

SEC source: 0001024553-18-000002 · edgardoc.xml · derivative · entry 3

Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,181

Underlying: Common Stock · 56,181 shares

Expires not disclosed

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

F2 · shares: Represents the portion of 2017 performance-based annual bonus paid in the form of fully vested deferred stock units, instead of cash. Please refer to Item 11 "Executive Compensation" of Form 10-k filed on February 28, 2018 for further details.

F3 · derivative.exercise_date: Shares are subject to a three-year mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 1, 2021.

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

SEC source: 0001024553-18-000002 · edgardoc.xml · nonDerivative · entry 1

Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 681,579

SEC source: 0001474435-18-000002 · edgardoc.xml · nonDerivative · entry 4

Pero Jeffrey T · CIK 0001474435 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,745.06

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: 0001221603-17-000017 · edgardoc.xml · derivative · entry 1

PROCTOR GEORGANNE · CIK 0001221603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,153.45

Underlying: Common Stock · 1,153.45 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: 0001233565-17-000014 · edgardoc.xml · derivative · entry 1

KUBICEK GREG H · CIK 0001233565 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,480.72

Underlying: Common Stock · 4,480.72 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: 0001487805-17-000004 · edgardoc.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 · 7,119 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 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.

F7 · 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.

F8 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

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

SEC source: 0001487805-17-000004 · edgardoc.xml · derivative · entry 3

Stone Andrew P · CIK 0001487805 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,119

Underlying: Common Stock · 0 shares

Expires not disclosed

F5 · derivative.exercise_price: Represents fair value of Deferred Stock Units, based on the original grant date fair market value.

F6 · 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.

F7 · 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.

F8 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001487805-17-000004 · edgardoc.xml · nonDerivative · entry 2

Stone Andrew P · CIK 0001487805 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,015

F3 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person in August, 2017.

F4 · price: 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.

SEC source: 0001487805-17-000004 · edgardoc.xml · nonDerivative · entry 1

Stone Andrew P · CIK 0001487805 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,015

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: 0001681908-17-000006 · edgardoc.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 · 4,746 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: 0001681908-17-000006 · edgardoc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,746

Underlying: Common Stock · 5,858 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: 0001681908-17-000006 · edgardoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,778

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: 0001706281-17-000007 · edgardoc.xml · derivative · entry 5

Kanouse Garnet W · CIK 0001706281 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 0 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: 0001706281-17-000007 · edgardoc.xml · derivative · entry 4

Kanouse Garnet W · CIK 0001706281 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,675

Underlying: Common Stock · 4,278 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: 0001706281-17-000007 · edgardoc.xml · nonDerivative · entry 1

Kanouse Garnet W · CIK 0001706281 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,947

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: 0001513564-17-000008 · edgardoc.xml · derivative · entry 3

COCHRANE COLLIN LEE · CIK 0001513564 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,559 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.

SEC source: 0001513564-17-000008 · edgardoc.xml · derivative · entry 2

COCHRANE COLLIN LEE · CIK 0001513564 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,559

Underlying: Common Stock · 4,394 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: 0001513564-17-000008 · edgardoc.xml · nonDerivative · entry 1

COCHRANE COLLIN LEE · CIK 0001513564 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,397

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: 0001453409-17-000004 · edgardoc.xml · derivative · entry 3

Abate Christopher J · CIK 0001453409 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,712 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: 0001453409-17-000004 · edgardoc.xml · derivative · entry 2

Abate Christopher J · CIK 0001453409 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,712

Underlying: Common Stock · 9,520 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.