Last 12 months
Inside the activity.
0 purchase rows · 13 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 6 |
| Jan 2026 | 0 | 5 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 2 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 29, 2019 Filed Jan 30, 2019 22:57 UTC |
Sandberg Rebecca BGeneral Counsel and Secretary
|
SaleCommon stock, par value $0.01 per share | 4,570 | $14.39 | $65,775.55 |
DisclosureSEC source: 0001465740-19-000012 · wf-form4_154888903982417.xml · nonDerivative · entry 2 Sandberg Rebecca B · CIK 0001447307 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,578 F1 · kind: The transactions reported on this Form 4 were effected pursuant to trading instructions given by the reporting person on February 9, 2017 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934. F2 · shares: The reporting person sold the shares to satisfy income tax liabilities incurred as a result of vestings that occurred on January 26, 2019, and January 27, 2019 of restricted stock awards previously granted to the reporting person. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.39 to $14.40, inclusive. The reporting person undertakes to provide to Two Harbors Investment Corp., any security holder of Two Harbors Investment Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| January 29, 2019 Filed Jan 30, 2019 22:55 UTC |
Farrell BradCFO and Treasurer
|
SaleCommon stock, par value $0.01 per share | 8,741 | $14.42 | $126,048.72 |
DisclosureSEC source: 0001465740-19-000010 · wf-form4_154888893285085.xml · nonDerivative · entry 2 Farrell Brad · CIK 0001537872 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 256,346 F1 · kind: The transactions reported on this Form 4 were effected pursuant to trading instructions given by the reporting person on November 13, 2018 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934. F2 · shares: The reporting person sold the shares to satisfy income tax liabilities incurred as a result of vestings that occurred on January 26, 2019, and January 27, 2019 of restricted stock awards previously granted to the reporting person. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.37 to $14.48, inclusive. The reporting person undertakes to provide to Two Harbors Investment Corp., any security holder of Two Harbors Investment Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| January 28, 2019 Filed Jan 29, 2019 16:28 UTC |
SIERING THOMASDirector · CEO & President
|
GrantCommon stock, par value $0.01 per share | 20,833 | $14.40 | $299,995.20 |
DisclosureSEC source: 0001465740-19-000006 · wf-form4_154879730173701.xml · nonDerivative · entry 1 SIERING THOMAS · CIK 0001474897 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,100,842 F1 · shares: Represents a restricted stock award issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. This award vests in three equal annual installments commencing on the first anniversary of the grant date. Read SEC document |
| January 28, 2019 Filed Jan 29, 2019 16:30 UTC |
ROTH WILLIAMDirector · Chief Investment Officer
|
GrantCommon stock, par value $0.01 per share | 20,833 | $14.40 | $299,995.20 |
DisclosureSEC source: 0001465740-19-000008 · wf-form4_154879741284300.xml · nonDerivative · entry 1 ROTH WILLIAM · CIK 0001474958 · Director · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 749,537 F1 · shares: Represents a restricted stock award issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. This award vests in three equal annual installments commencing on the first anniversary of the grant date. Read SEC document |
| January 28, 2019 Filed Jan 29, 2019 21:26 UTC |
Sandberg Rebecca BGeneral Counsel and Secretary
|
GrantCommon stock, par value $0.01 per share | 52,083 | $14.40 | $749,995.20 |
DisclosureSEC source: 0001465740-19-000004 · wf-form4_154879718565122.xml · nonDerivative · entry 1 Sandberg Rebecca B · CIK 0001447307 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,573 F1 · shares: Represents a restricted stock award issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. This award vests in three equal annual installments commencing on the first anniversary of the grant date. Read SEC document |
| January 28, 2019 Filed Jan 29, 2019 21:24 UTC |
RISKEY MARY KATHRYNActing Chief Financial Officer
|
GrantCommon stock, par value $0.01 per share | 34,722 | $14.40 | $499,996.80 |
DisclosureSEC source: 0001465740-19-000002 · wf-form4_154879705687014.xml · nonDerivative · entry 1 RISKEY MARY KATHRYN · CIK 0001661925 · Acting Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,726 F1 · shares: Represents a restricted stock award issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. This award vests in three equal annual installments commencing on the first anniversary of the grant date. Read SEC document |
| January 28, 2019 Filed Jan 30, 2019 23:00 UTC |
RISKEY MARY KATHRYNActing Chief Financial Officer
|
SaleCommon stock, par value $0.01 per share | 1,524 | $14.43 | $21,994.52 |
DisclosureSEC source: 0001465740-19-000014 · wf-form4_154888918553067.xml · nonDerivative · entry 1 RISKEY MARY KATHRYN · CIK 0001661925 · Acting Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,202 F1 · kind: The transactions reported on this Form 4 were effected pursuant to trading instructions given by the reporting person on May 21, 2015 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934. F2 · shares: The reporting person sold the shares to satisfy income tax liabilities incurred as a result of vestings that occurred on January 26, 2019 and January 27, 2019 of restricted stock awards previously granted to the reporting person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.40 to $14.48, inclusive. The reporting person undertakes to provide to Two Harbors Investment Corp., any security holder of Two Harbors Investment Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| January 28, 2019 Filed Jan 30, 2019 18:01 UTC |
ROTH WILLIAMDirector · Chief Investment Officer
|
SaleCommon stock, par value $0.01 per share | 19,415 | $14.44 | $280,325.42 |
DisclosureSEC source: 0001465740-19-000016 · wf-form4_154888929134767.xml · nonDerivative · entry 1 ROTH WILLIAM · CIK 0001474958 · Director · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 730,122 F1 · kind: The transactions reported on this Form 4 were effected pursuant to trading instructions given by the reporting person on November 20, 2017 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934. F2 · shares: The reporting person sold the shares to satisfy income tax liabilities incurred as a result of vestings that occurred on January 26, 2019 and January 27, 2019 of restricted stock awards previously granted to the reporting person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.40 to $14.48, inclusive. The reporting person undertakes to provide to Two Harbors Investment Corp., any security holder of Two Harbors Investment Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 28, 2019 Filed Jan 30, 2019 22:57 UTC |
Sandberg Rebecca BGeneral Counsel and Secretary
|
SaleCommon stock, par value $0.01 per share | 4,425 | $14.43 | $63,864.26 |
DisclosureSEC source: 0001465740-19-000012 · wf-form4_154888903982417.xml · nonDerivative · entry 1 Sandberg Rebecca B · CIK 0001447307 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,148 F1 · kind: The transactions reported on this Form 4 were effected pursuant to trading instructions given by the reporting person on February 9, 2017 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934. F2 · shares: The reporting person sold the shares to satisfy income tax liabilities incurred as a result of vestings that occurred on January 26, 2019, and January 27, 2019 of restricted stock awards previously granted to the reporting person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.40 to $14.48, inclusive. The reporting person undertakes to provide to Two Harbors Investment Corp., any security holder of Two Harbors Investment Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| January 28, 2019 Filed Jan 30, 2019 22:55 UTC |
Farrell BradCFO and Treasurer
|
SaleCommon stock, par value $0.01 per share | 5,925 | $14.44 | $85,548.71 |
DisclosureSEC source: 0001465740-19-000010 · wf-form4_154888893285085.xml · nonDerivative · entry 1 Farrell Brad · CIK 0001537872 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 265,087 F1 · kind: The transactions reported on this Form 4 were effected pursuant to trading instructions given by the reporting person on November 13, 2018 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934. F2 · shares: The reporting person sold the shares to satisfy income tax liabilities incurred as a result of vestings that occurred on January 26, 2019, and January 27, 2019 of restricted stock awards previously granted to the reporting person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.40 to $14.48, inclusive. The reporting person undertakes to provide to Two Harbors Investment Corp., any security holder of Two Harbors Investment Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| November 15, 2018 Filed Nov 19, 2018 21:22 UTC |
Farrell BradCFO and Treasurer
|
SaleCommon stock, par value $0.01 per share | 4,000 | $14.28 | $57,121.20 |
DisclosureSEC source: 0001465740-18-000131 · wf-form4_154266250830771.xml · nonDerivative · entry 1 Farrell Brad · CIK 0001537872 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,012 Read SEC document |
| November 12, 2018 Filed Nov 13, 2018 16:20 UTC |
SIERING THOMASDirector · CEO & President
|
PurchaseCommon stock, par value $0.01 per share | 3,500 | $14.41 | $50,417.50 |
DisclosureSEC source: 0001465740-18-000129 · wf-form4_154214400591963.xml · nonDerivative · entry 1 SIERING THOMAS · CIK 0001474897 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,080,009 Read SEC document |
| August 17, 2018 Filed Aug 20, 2018 20:38 UTC |
BENDER JAMES JDirector
|
SaleCommon stock, par value $0.01 per share | 3,460 | $15.60 | $53,976.00 |
DisclosureSEC source: 0001465740-18-000115 · wf-form4_153479750735877.xml · nonDerivative · entry 1 BENDER JAMES J · CIK 0001218336 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,065 Read SEC document |
| August 15, 2018 Filed Aug 16, 2018 16:23 UTC |
SIERING THOMASDirector · CEO & President
|
PurchaseCommon stock, par value $0.01 per share | 5,000 | $15.41 | $77,041.00 |
DisclosureSEC source: 0001465740-18-000113 · wf-form4_153445099768612.xml · nonDerivative · entry 1 SIERING THOMAS · CIK 0001474897 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,076,509 F1 · price: Per share price reflects the weighted average price paid. The shares were purchased in multiple transactions at prices ranging from $15.4001 to $15.41. The reporting person undertakes to provide, upon request, full information regarding the shares purchased in such transactions. Read SEC document |
| July 31, 2018 Filed Aug 2, 2018 21:06 UTC |
STERN JAMES ADirector
|
GrantCommon stock, par value $0.01 per share | 7,799 | $15.50 | $120,884.50 |
DisclosureSEC source: 0001465740-18-000105 · wf-form4_153324397673485.xml · nonDerivative · entry 3 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Shares Held in trust for which the reporting person's brother is trustee. Disclosed balance after: 7,799 F2 · shares: On July 31, 2018, pursuant to the Agreement and Plan of Merger, dated April 25, 2018 (the "Merger Agreement"), among the Issuer, Eiger Merger Subsidiary LLC, a wholly owned subsidiary of the Issuer ("Merger Sub"), and CYS Investments, Inc. ("CYS"), Merger Sub merged with and into CYS (the "Merger"), with CYS surviving the Merger as a wholly owned subsidiary of the Issuer. At the effective time of the merger, each share of CYS common stock outstanding immediately prior to the effective time was converted into the right to receive 0.4680 shares of Two Harbors common stock as well as cash consideration of $0.0965 per share. As of the date of this report, the final merger consideration allocable to the reporting person is not available. The reporting person undertakes to amend the report if the number of shares resulting from the final calculation differs materially from the estimated number of shares reported as beneficially owned herein. Read SEC document |
| July 31, 2018 Filed Aug 2, 2018 21:06 UTC |
STERN JAMES ADirector
|
GrantCommon stock, par value $0.01 per share | 63,348 | $15.50 | $981,894.00 |
DisclosureSEC source: 0001465740-18-000105 · wf-form4_153324397673485.xml · nonDerivative · entry 2 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,002 F2 · shares: On July 31, 2018, pursuant to the Agreement and Plan of Merger, dated April 25, 2018 (the "Merger Agreement"), among the Issuer, Eiger Merger Subsidiary LLC, a wholly owned subsidiary of the Issuer ("Merger Sub"), and CYS Investments, Inc. ("CYS"), Merger Sub merged with and into CYS (the "Merger"), with CYS surviving the Merger as a wholly owned subsidiary of the Issuer. At the effective time of the merger, each share of CYS common stock outstanding immediately prior to the effective time was converted into the right to receive 0.4680 shares of Two Harbors common stock as well as cash consideration of $0.0965 per share. As of the date of this report, the final merger consideration allocable to the reporting person is not available. The reporting person undertakes to amend the report if the number of shares resulting from the final calculation differs materially from the estimated number of shares reported as beneficially owned herein. Read SEC document |
| July 31, 2018 Filed Aug 2, 2018 21:06 UTC |
STERN JAMES ADirector
|
GrantCommon stock, par value $0.01 per share | 5,654 | $15.50 | $87,637.00 |
DisclosureSEC source: 0001465740-18-000105 · wf-form4_153324397673485.xml · nonDerivative · entry 1 STERN JAMES A · CIK 0001193798 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,654 F1 · shares: Represents a common stock award for service as a director, issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. Read SEC document |
| July 31, 2018 Filed Aug 2, 2018 21:04 UTC |
Hammond KarenDirector
|
GrantCommon stock, par value $0.01 per share | 27,769 | $15.50 | $430,419.50 |
DisclosureSEC source: 0001465740-18-000103 · wf-form4_153324385605778.xml · nonDerivative · entry 2 Hammond Karen · CIK 0001621626 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,423 F2 · shares: On July 31, 2018, pursuant to the Agreement and Plan of Merger, dated April 25, 2018 (the "Merger Agreement"), among the Issuer, Eiger Merger Subsidiary LLC, a wholly owned subsidiary of the Issuer ("Merger Sub"), and CYS Investments, Inc. ("CYS"), Merger Sub merged with and into CYS (the "Merger"), with CYS surviving the Merger as a wholly owned subsidiary of the Issuer. At the effective time of the merger, each share of CYS common stock outstanding immediately prior to the effective time was converted into the right to receive 0.4680 shares of Two Harbors common stock as well as cash consideration of $0.0965 per share. As of the date of this report, the final merger consideration allocable to the reporting person is not available. The reporting person undertakes to amend the report if the number of shares resulting from the final calculation differs materially from the estimated number of shares reported as beneficially owned herein. Read SEC document |
| July 31, 2018 Filed Aug 2, 2018 21:04 UTC |
Hammond KarenDirector
|
GrantCommon stock, par value $0.01 per share | 5,654 | $15.50 | $87,637.00 |
DisclosureSEC source: 0001465740-18-000103 · wf-form4_153324385605778.xml · nonDerivative · entry 1 Hammond Karen · CIK 0001621626 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,654 F1 · shares: Represents a common stock award for service as a director, issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. Read SEC document |
| May 17, 2018 Filed May 21, 2018 16:39 UTC |
SANDERS WILLIAM REIDDirector
|
GrantCommon stock, par value $0.01 per share | 7,105 | $15.48 | $109,985.40 |
DisclosureSEC source: 0001465740-18-000057 · wf-form4_152693516911128.xml · nonDerivative · entry 1 SANDERS WILLIAM REID · CIK 0001052783 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,712 F1 · shares: Represents a common stock award for service as a director, issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. Read SEC document |
| May 17, 2018 Filed May 21, 2018 20:32 UTC |
POLLINA LISA ADirector
|
Tax withholdingCommon Stock | 2,132 | $15.48 | $33,003.36 |
DisclosureSEC source: 0001465740-18-000051 · wf-form4_152693476254760.xml · nonDerivative · entry 2 POLLINA LISA A · CIK 0001658268 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,813 F3 · shares: The reporting person elected to forfeit shares to satisfy income tax liabilities incurred in connection with the May 17, 2018 common stock award, as approved by the Board of Directors of Two Harbors Investment Corp. F2 · balance_after: On November 1, 2017, the Issuer effected a one-for-two reverse stock split of its outstanding shares of common stock. The amount of securities reported in this Form 4 has been adjusted to reflect the reverse stock split. Read SEC document |
| May 17, 2018 Filed May 21, 2018 20:32 UTC |
POLLINA LISA ADirector
|
GrantCommon Stock | 7,105 | $15.48 | $109,985.40 |
DisclosureSEC source: 0001465740-18-000051 · wf-form4_152693476254760.xml · nonDerivative · entry 1 POLLINA LISA A · CIK 0001658268 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,945 F1 · shares: Represents a common stock award for service as a director, issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. F2 · balance_after: On November 1, 2017, the Issuer effected a one-for-two reverse stock split of its outstanding shares of common stock. The amount of securities reported in this Form 4 has been adjusted to reflect the reverse stock split. Read SEC document |
| May 17, 2018 Filed May 21, 2018 20:43 UTC |
BENDER JAMES JDirector
|
Tax withholdingCommon stock, par value $0.01 per share | 2,842 | $15.48 | $43,994.16 |
DisclosureSEC source: 0001465740-18-000061 · wf-form4_152693538711906.xml · nonDerivative · entry 2 BENDER JAMES J · CIK 0001218336 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,525 F3 · shares: The reporting person elected to forfeit shares to satisfy income tax liabilities incurred in connection with the May 17, 2018 common stock award, as approved by the Board of Directors of Two Harbors Investment Corp. F2 · balance_after: On November 1, 2017, the Issuer effected a one-for-two reverse stock split of its outstanding shares of common stock. The amount of securities reported in this Form 4 has been adjusted to reflect the reverse stock split. Read SEC document |
| May 17, 2018 Filed May 21, 2018 20:43 UTC |
BENDER JAMES JDirector
|
GrantCommon stock, par value $0.01 per share | 7,105 | $15.48 | $109,985.40 |
DisclosureSEC source: 0001465740-18-000061 · wf-form4_152693538711906.xml · nonDerivative · entry 1 BENDER JAMES J · CIK 0001218336 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,367 F1 · shares: Represents a common stock award for service as a director, issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. F2 · balance_after: On November 1, 2017, the Issuer effected a one-for-two reverse stock split of its outstanding shares of common stock. The amount of securities reported in this Form 4 has been adjusted to reflect the reverse stock split. Read SEC document |
| May 17, 2018 Filed May 21, 2018 20:41 UTC |
Abraham SpencerDirector
|
Tax withholdingCommon stock, par value $0.01 per share | 2,132 | $15.48 | $33,003.36 |
DisclosureSEC source: 0001465740-18-000059 · wf-form4_152693529161545.xml · nonDerivative · entry 2 Abraham Spencer · CIK 0001326633 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,205 F3 · shares: The reporting person elected to forfeit shares to satisfy income tax liabilities incurred in connection with the May 17, 2018 common stock award, as approved by the Board of Directors of Two Harbors Investment Corp. F2 · balance_after: On November 1, 2017, the Issuer effected a one-for-two reverse stock split of its outstanding shares of common stock. The amount of securities reported in this Form 4 has been adjusted to reflect the reverse stock split. Read SEC document |
| May 17, 2018 Filed May 21, 2018 20:41 UTC |
Abraham SpencerDirector
|
GrantCommon stock, par value $0.01 per share | 7,105 | $15.48 | $109,985.40 |
DisclosureSEC source: 0001465740-18-000059 · wf-form4_152693529161545.xml · nonDerivative · entry 1 Abraham Spencer · CIK 0001326633 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,337 F1 · shares: Represents a common stock award for service as a director, issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. F2 · balance_after: On November 1, 2017, the Issuer effected a one-for-two reverse stock split of its outstanding shares of common stock. The amount of securities reported in this Form 4 has been adjusted to reflect the reverse stock split. Read SEC document |
| May 17, 2018 Filed May 21, 2018 20:35 UTC |
Woodhouse Hope BDirector
|
GrantCommon stock, par value $0.01 per share | 7,105 | $15.48 | $109,985.40 |
DisclosureSEC source: 0001465740-18-000053 · wf-form4_152693489020435.xml · nonDerivative · entry 1 Woodhouse Hope B · CIK 0001529759 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,406 F1 · shares: Represents a common stock award for service as a director, issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. F2 · balance_after: On November 1, 2017, the Issuer effected a one-for-two reverse stock split of its outstanding shares of common stock. The amount of securities reported in this Form 4 has been adjusted to reflect the reverse stock split. Read SEC document |
| May 17, 2018 Filed May 21, 2018 20:37 UTC |
KASNET STEPHEN GDirector
|
Tax withholdingCommon Stock | 3,052 | $15.48 | $47,244.96 |
DisclosureSEC source: 0001465740-18-000055 · wf-form4_152693501662584.xml · nonDerivative · entry 2 KASNET STEPHEN G · CIK 0001232379 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,116 F3 · shares: The reporting person elected to forfeit shares to satisfy income tax liabilities incurred in connection with the May 17, 2018 common stock award, as approved by the Board of Directors of Two Harbors Investment Corp. F2 · balance_after: On November 1, 2017, the Issuer effected a one-for-two reverse stock split of its outstanding shares of common stock. The amount of securities reported in this Form 4 has been adjusted to reflect the reverse stock split. Read SEC document |
| May 17, 2018 Filed May 21, 2018 20:37 UTC |
KASNET STEPHEN GDirector
|
GrantCommon Stock | 8,720 | $15.48 | $134,985.60 |
DisclosureSEC source: 0001465740-18-000055 · wf-form4_152693501662584.xml · nonDerivative · entry 1 KASNET STEPHEN G · CIK 0001232379 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,168 F1 · shares: Represents a common stock award for service as a director, issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. F2 · balance_after: On November 1, 2017, the Issuer effected a one-for-two reverse stock split of its outstanding shares of common stock. The amount of securities reported in this Form 4 has been adjusted to reflect the reverse stock split. Read SEC document |
| May 15, 2018 Filed May 16, 2018 17:10 UTC |
ROTH WILLIAMDirector · Chief Investment Officer
|
SaleCommon stock, par value $0.01 per share | 16,141 | $15.55 | $250,990.94 |
DisclosureSEC source: 0001465740-18-000047 · wf-form4_152650500251530.xml · nonDerivative · entry 1 ROTH WILLIAM · CIK 0001474958 · Director · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 728,704 F1 · kind: The transaction reported on this Form 4 was effected pursuant to trading instructions given by the reporting person on November 20, 2017 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934. F2 · shares: The reporting person sold the shares to satisfy income tax liabilities incurred as a result of a vesting that occurred on May 14, 2018 of a restricted stock award previously granted to the reporting person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.54 to $15.56, inclusive. The reporting person undertakes to provide to Two Harbors Investment Corp., any security holder of Two Harbors Investment Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 15, 2018 Filed May 16, 2018 21:15 UTC |
Farrell BradCFO and Treasurer
|
SaleCommon stock, par value $0.01 per share | 9,966 | $15.55 | $154,971.30 |
DisclosureSEC source: 0001465740-18-000049 · wf-form4_152650526336002.xml · nonDerivative · entry 1 Farrell Brad · CIK 0001537872 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 275,012 F1 · kind: The transaction reported on this Form 4 was effected pursuant to trading instructions given by the reporting person on May 9, 2016 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934. F2 · shares: The reporting person sold the shares to satisfy income tax liabilities incurred as a result of vestings that occurred on May 14, 2018 of restricted stock awards previously granted to the reporting person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.54 to $15.57, inclusive. The reporting person undertakes to provide to Two Harbors Investment Corp., any security holder of Two Harbors Investment Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 15, 2018 Filed May 16, 2018 21:08 UTC |
Sandberg Rebecca BGeneral Counsel and Secretary
|
SaleCommon stock, par value $0.01 per share | 2,818 | $15.55 | $43,821.87 |
DisclosureSEC source: 0001465740-18-000045 · wf-form4_152650482451465.xml · nonDerivative · entry 1 Sandberg Rebecca B · CIK 0001447307 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,490 F1 · kind: The transaction reported on this Form 4 was effected pursuant to trading instructions given by the reporting person on February 9, 2017 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934. F2 · shares: The reporting person sold the shares to satisfy income tax liabilities incurred as a result of a vesting that occurred on May 14, 2018 of a restricted stock award previously granted to the reporting person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.54 to $15.57, inclusive. The reporting person undertakes to provide to Two Harbors Investment Corp., any security holder of Two Harbors Investment Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 16:30 UTC |
SIERING THOMASDirector · CEO & President
|
OtherCommon stock, par value $0.01 per share | 172,826 | $15.23 | $2,632,139.98 |
DisclosureSEC source: 0001465740-18-000037 · wf-form4_152287377654064.xml · nonDerivative · entry 1 SIERING THOMAS · CIK 0001474897 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,071,509 F1 · kind: On April 2, 2018, 172,826 shares held by the reporting person through the Thomas E. Siering 2016 Grantor Annuity Trust I ("GRAT"), for which the reporting person is the sole trustee and annuitant, were transferred back to the reporting person in exchange for cash. As a result of the transfer, the reporting person now holds these shares directly. F2 · acquired: This acquisition does not result in a change in the aggregate holdings of the reporting person, as all shares held in the GRAT were previously disclosed as beneficially owned by the reporting person. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 21:08 UTC |
RISKEY MARY KATHRYNChief Accounting Officer
|
SaleCommon stock, par value $0.01 per share | 620 | $15.08 | $9,349.97 |
DisclosureSEC source: 0001465740-18-000029 · wf-form4_151872891414379.xml · nonDerivative · entry 1 RISKEY MARY KATHRYN · CIK 0001661925 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,004 F1 · kind: The transaction reported on this Form 4 was effected pursuant to trading instructions given by the reporting person on May 21, 2015 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934. F2 · shares: The reporting person sold the shares to satisfy income tax liabilities incurred as a result of the vesting that occurred on February 12, 2018 of a restricted stock award previously granted to the reporting person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.06 to $15.10, inclusive. The reporting person undertakes to provide to Two Harbors Investment Corp., any security holder of Two Harbors Investment Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| February 12, 2018 Filed Feb 13, 2018 16:23 UTC |
SIERING THOMASDirector · CEO & President
|
PurchaseCommon stock, par value $0.01 per share | 3,000 | $14.85 | $44,547.90 |
DisclosureSEC source: 0001465740-18-000025 · wf-form4_151855695309303.xml · nonDerivative · entry 1 SIERING THOMAS · CIK 0001474897 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 898,683 F1 · price: Per share price reflects the weighted average price paid. The shares were purchased in multiple transactions at prices ranging from $14.8491 to $14.8494. The reporting person undertakes to provide, upon request, full information regarding the shares purchased in such transactions. Read SEC document |
| January 29, 2018 Filed Jan 29, 2018 17:25 UTC |
SIERING THOMASDirector · CEO & President
|
GrantCommon stock, par value $0.01 per share | 218,253 | $15.12 | $3,299,985.36 |
DisclosureSEC source: 0001465740-18-000002 · wf-form4_151726472178457.xml · nonDerivative · entry 1 SIERING THOMAS · CIK 0001474897 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 895,683 F1 · shares: Represents a restricted stock award issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. This award vests in three equal annual installments commencing on the first anniversary of the grant date. Read SEC document |
| January 29, 2018 Filed Jan 29, 2018 18:48 UTC |
ROTH WILLIAMDirector · Chief Investment Officer
|
GrantCommon stock, par value $0.01 per share | 109,126 | $15.12 | $1,649,985.12 |
DisclosureSEC source: 0001465740-18-000011 · wf-form4_151726966984105.xml · nonDerivative · entry 1 ROTH WILLIAM · CIK 0001474958 · Director · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 788,873 F1 · shares: Represents a restricted stock award issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. This award vests in three equal annual installments commencing on the first anniversary of the grant date. F2 · balance_after: On November 1, 2017, the Issuer effected a one-for-two reverse stock split of its outstanding shares of common stock. The amount of securities reported in this Form 4 has been adjusted to reflect the reverse stock split. The total share amount also excludes 90 shares of common stock owned by family members of the reporting person for which he no longer has a beneficial interest. Read SEC document |
| January 29, 2018 Filed Jan 29, 2018 23:37 UTC |
Farrell BradCFO and Treasurer
|
GrantCommon stock, par value $0.01 per share | 109,126 | $15.12 | $1,649,985.12 |
DisclosureSEC source: 0001465740-18-000009 · wf-form4_151726902848574.xml · nonDerivative · entry 1 Farrell Brad · CIK 0001537872 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 309,739 F1 · shares: Represents a restricted stock award issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. This award vests in three equal annual installments commencing on the first anniversary of the grant date. F2 · balance_after: On November 1, 2017, the Issuer effected a one-for-two reverse stock split of its outstanding shares of common stock. The amount of securities reported in this Form 4 has been adjusted to reflect the reverse stock split. Read SEC document |
| January 29, 2018 Filed Jan 29, 2018 22:33 UTC |
RISKEY MARY KATHRYNChief Accounting Officer
|
GrantCommon stock, par value $0.01 per share | 17,096 | $15.12 | $258,491.52 |
DisclosureSEC source: 0001465740-18-000007 · wf-form4_151726521752402.xml · nonDerivative · entry 1 RISKEY MARY KATHRYN · CIK 0001661925 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,810 F1 · shares: Represents a restricted stock award issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. This award vests in three equal annual installments commencing on the first anniversary of the grant date. F2 · balance_after: On November 1, 2017, the Issuer effected a one-for-two reverse stock split of its outstanding shares of common stock. The amount of securities reported in this Form 4 has been adjusted to reflect the reverse stock split. Read SEC document |
| January 29, 2018 Filed Jan 29, 2018 22:27 UTC |
Sandberg Rebecca BGeneral Counsel and Secretary
|
GrantCommon stock, par value $0.01 per share | 47,883 | $15.12 | $723,990.96 |
DisclosureSEC source: 0001465740-18-000004 · wf-form4_151726484263959.xml · nonDerivative · entry 1 Sandberg Rebecca B · CIK 0001447307 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,616 F1 · shares: Represents a restricted stock award issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. This award vests in three equal annual installments commencing on the first anniversary of the grant date. F2 · balance_after: On November 1, 2017, the Issuer effected a one-for-two reverse stock split of its outstanding shares of common stock. The amount of securities reported in this Form 4 has been adjusted to reflect the reverse stock split. Read SEC document |
| January 29, 2018 Filed Jan 31, 2018 16:35 UTC |
ROTH WILLIAMDirector · Chief Investment Officer
|
SaleCommon stock, par value $0.01 per share | 44,028 | $15.16 | $667,578.95 |
DisclosureSEC source: 0001465740-18-000017 · wf-form4_151743453359598.xml · nonDerivative · entry 1 ROTH WILLIAM · CIK 0001474958 · Director · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 744,845 F1 · kind: The transaction reported on this Form 4 was effected pursuant to trading instructions given by the reporting person on November 20, 2017 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934. F2 · shares: The reporting person sold the shares to satisfy income tax liabilities incurred as a result of vestings that occurred on January 26, 2018 and January 27, 2018 of restricted stock awards previously granted to the reporting person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.12 to $15.19, inclusive. The reporting person undertakes to provide to Two Harbors Investment Corp., any security holder of Two Harbors Investment Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| January 29, 2018 Filed Jan 31, 2018 21:37 UTC |
RISKEY MARY KATHRYNChief Accounting Officer
|
SaleCommon stock, par value $0.01 per share | 3,186 | $15.16 | $48,310.91 |
DisclosureSEC source: 0001465740-18-000019 · wf-form4_151743464122863.xml · nonDerivative · entry 1 RISKEY MARY KATHRYN · CIK 0001661925 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,624 F1 · kind: The transaction reported on this Form 4 was effected pursuant to trading instructions given by the reporting person on May 21, 2015 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934. F2 · shares: The reporting person sold the shares to satisfy income tax liabilities incurred as a result of vestings that occurred on January 26, 2018 and January 27, 2018 of restricted stock awards previously granted to the reporting person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.12 to $15.19, inclusive. The reporting person undertakes to provide to Two Harbors Investment Corp., any security holder of Two Harbors Investment Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| January 29, 2018 Filed Jan 31, 2018 21:33 UTC |
Sandberg Rebecca BGeneral Counsel and Secretary
|
SaleCommon stock, par value $0.01 per share | 9,308 | $15.16 | $141,113.93 |
DisclosureSEC source: 0001465740-18-000015 · wf-form4_151743439634199.xml · nonDerivative · entry 1 Sandberg Rebecca B · CIK 0001447307 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,308 F1 · kind: The transaction reported on this Form 4 was effected pursuant to trading instructions given by the reporting person on February 9, 2017 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934. F2 · shares: The reporting person sold the shares to satisfy income tax liabilities incurred as a result of vestings that occurred on January 26, 2018 and January 27, 2018 of restricted stock awards previously granted to the reporting person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.12 to $15.19, inclusive. The reporting person undertakes to provide to Two Harbors Investment Corp., any security holder of Two Harbors Investment Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| January 29, 2018 Filed Jan 31, 2018 21:31 UTC |
Farrell BradCFO and Treasurer
|
SaleCommon stock, par value $0.01 per share | 24,761 | $15.17 | $375,718.46 |
DisclosureSEC source: 0001465740-18-000013 · wf-form4_151743428732359.xml · nonDerivative · entry 1 Farrell Brad · CIK 0001537872 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 284,978 F1 · kind: The transaction reported on this Form 4 was effected pursuant to trading instructions given by the reporting person on May 9, 2016 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934. F2 · shares: The reporting person sold the shares to satisfy income tax liabilities incurred as a result of vestings that occurred on January 26, 2018 and January 27, 2018 of restricted stock awards previously granted to the reporting person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.17 to $15.19, inclusive. The reporting person undertakes to provide to Two Harbors Investment Corp., any security holder of Two Harbors Investment Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| November 16, 2017 Filed Nov 20, 2017 22:57 UTC |
TAYLOR BRIANDirector
|
PurchaseCommon stock, par value $0.01 per share | 9,500 | $15.64 | $148,578.10 |
DisclosureSEC source: 0001465740-17-000118 · wf-form4_151121865786652.xml · nonDerivative · entry 1 TAYLOR BRIAN · CIK 0001387809 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,432 F1 · price: Per share price reflects the weighted average price paid. The shares were purchased in multiple transactions at prices ranging from $15.635 to $15.64. The reporting person undertakes to provide, upon request, full information regarding the shares purchased in such transactions. F2 · balance_after: On November 1, 2017, the Issuer effected a one-for-two reverse stock split of its outstanding shares of common stock. The amount of securities reported in this Form 4 has been adjusted to reflect the reverse stock split. Read SEC document |
| November 14, 2017 Filed Nov 15, 2017 16:54 UTC |
SANDERS WILLIAM REIDDirector
|
PurchaseCommon stock, par value $0.01 per share | 5,000 | $15.53 | $77,644.00 |
DisclosureSEC source: 0001465740-17-000112 · wf-form4_151078287111333.xml · nonDerivative · entry 1 SANDERS WILLIAM REID · CIK 0001052783 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,607 F1 · price: Per share price reflects the weighted average price paid. The shares were purchased in multiple transactions at prices ranging from $15.525 to $15.529. The reporting person undertakes to provide, upon request, full information regarding the shares purchased in such transactions. F2 · balance_after: On November 1, 2017, the Issuer effected a one-for-two reverse stock split of its outstanding shares of common stock. The amount of securities reported in this Form 4 has been adjusted to reflect the reverse stock split. Read SEC document |
| November 13, 2017 Filed Nov 15, 2017 16:51 UTC |
SIERING THOMASDirector · CEO & President
|
PurchaseCommon stock, par value $0.01 per share | 3,500 | $15.30 | $53,539.50 |
DisclosureSEC source: 0001465740-17-000110 · wf-form4_151078265312086.xml · nonDerivative · entry 1 SIERING THOMAS · CIK 0001474897 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 677,430 F1 · balance_after: On November 1, 2017, the Issuer effected a one-for-two reverse stock split of its outstanding shares of common stock. The amount of securities reported in this Form 4 has been adjusted to reflect the reverse stock split. Read SEC document |
| August 24, 2017 Filed Aug 28, 2017 20:18 UTC |
Farrell BradCFO and Treasurer
|
GiftCommon stock, par value $0.01 per share | 9,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001465740-17-000090 · wf-form4_150395148630280.xml · nonDerivative · entry 1 Farrell Brad · CIK 0001537872 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 401,227 F1 · shares: Represents shares of common stock donated as a gift to a donor-advised charitable fund. The reporting person disclaims any beneficial ownership of these shares. Read SEC document |
| August 15, 2017 Filed Aug 17, 2017 20:58 UTC |
TAYLOR BRIANDirector
|
PurchaseCommon stock, par value $0.01 per share | 32,000 | $10.06 | $321,920.00 |
DisclosureSEC source: 0001387809-17-000004 · wf-form4_150300351072675.xml · nonDerivative · entry 1 TAYLOR BRIAN · CIK 0001387809 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,865 F1 · price: Per share price reflects the weighted average price paid. The shares were purchased in multiple transactions at prices ranging from $10.04 to $10.075. The reporting person undertakes to provide, upon request, full information regarding the shares purchased in such transactions. Read SEC document |
| August 14, 2017 Filed Aug 16, 2017 16:06 UTC |
SIERING THOMASDirector · CEO & President
|
PurchaseCommon stock, par value $0.01 per share | 5,000 | $10.14 | $50,675.00 |
DisclosureSEC source: 0001465740-17-000087 · wf-form4_150291398812706.xml · nonDerivative · entry 1 SIERING THOMAS · CIK 0001474897 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,347,863 F1 · balance_after: Includes 198,711 shares that were previously reported as indirectly owned by the reporting person through the Thomas E. Siering 2016 Grantor Annuity Trust I and are now directly owned by the reporting person. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.