Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| REDWOOD TRUST INCRWT · Entity 5400 | Chief Investment Officer | December 20, 2019 | December 20, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
REDWOOD TRUST INC
Report date December 20, 2019 · Filed December 20, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 40,930 |
Reported balance
After 2019-12-20 transaction · row 1
1 source rowRow 1 · 2019-12-20 · Exercise / conversion · Acquired 10,241 · Balance 40,930 F1: This transaction relates to the distribution and/or conversion of Performance Stock Units to common stock under the Executive Deferred Compensation Plan. F2: Represents the value (per stock unit or share of common stock) of the distribution and/or conversion of Performance Stock Units to common stock under the Executive Deferred Compensation Plan, based on the fair market value of Redwood Trust, Inc. common stock on the transaction date. |
| Performance Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $13.24 | Direct | 11,387 |
Reported balance
After 2019-12-20 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-12-20 · Exercise / conversion · Disposed 10,241 · Balance 11,387 F3: Represents fair value per stock unit of Performance Stock Units based on the original grant date fair value determined at such time in accordance with FASB Accounting Standards Codification Topic 718. F1: This transaction relates to the distribution and/or conversion of Performance Stock Units to common stock under the Executive Deferred Compensation Plan. F4: Performance Stock Units were subject to a mandatory holding period and conversion and/or distribution to the Reporting Person is at the time provided in the applicable deferral election form, in accordance with the terms and conditions of the Executive Deferred Compensation Plan. F5: No expiration date is applicable to Performance Stock Units. |
| Performance Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $13.24 | Direct | 0 |
Reported balance
After 2019-12-20 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-12-20 · Tax withholding · Disposed 11,387 · Balance 0 F3: Represents fair value per stock unit of Performance Stock Units based on the original grant date fair value determined at such time in accordance with FASB Accounting Standards Codification Topic 718. F6: This disposition transaction represents a Compensation Committee approved withholding of securities incident to the payment of income tax liability relating to the distribution and/or conversion of Performance Stock Units under the Executive Deferred Compensation Plan. F1: This transaction relates to the distribution and/or conversion of Performance Stock Units to common stock under the Executive Deferred Compensation Plan. F4: Performance Stock Units were subject to a mandatory holding period and conversion and/or distribution to the Reporting Person is at the time provided in the applicable deferral election form, in accordance with the terms and conditions of the Executive Deferred Compensation Plan. F5: No expiration date is applicable to Performance Stock Units. F7: Following these reported transactions, no other Performance Stock Units with the same original grant date are beneficially owned. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction relates to the distribution and/or conversion of Performance Stock Units to common stock under the Executive Deferred Compensation Plan.
F2: Represents the value (per stock unit or share of common stock) of the distribution and/or conversion of Performance Stock Units to common stock under the Executive Deferred Compensation Plan, based on the fair market value of Redwood Trust, Inc. common stock on the transaction date.
F3: Represents fair value per stock unit of Performance Stock Units based on the original grant date fair value determined at such time in accordance with FASB Accounting Standards Codification Topic 718.
F4: Performance Stock Units were subject to a mandatory holding period and conversion and/or distribution to the Reporting Person is at the time provided in the applicable deferral election form, in accordance with the terms and conditions of the Executive Deferred Compensation Plan.
F5: No expiration date is applicable to Performance Stock Units.
F6: This disposition transaction represents a Compensation Committee approved withholding of securities incident to the payment of income tax liability relating to the distribution and/or conversion of Performance Stock Units under the Executive Deferred Compensation Plan.
F7: Following these reported transactions, no other Performance Stock Units with the same original grant date are beneficially owned.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 20, 2019 Filed Dec 20, 2019 23:13 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Tax withholdingPerformance Stock Units · Derivative | 11,387 | $0.00 Strike: $13.24 | $0.00 |
DisclosureSEC source: 0001104659-19-075170 · tm19263762_form4.xml · derivative · entry 3 Stern Shoshone (Bo) · CIK 0001681908 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,387 shares Expires not disclosed F3 · derivative.exercise_price: Represents fair value per stock unit of Performance Stock Units based on the original grant date fair value determined at such time in accordance with FASB Accounting Standards Codification Topic 718. F6 · kind: This disposition transaction represents a Compensation Committee approved withholding of securities incident to the payment of income tax liability relating to the distribution and/or conversion of Performance Stock Units under the Executive Deferred Compensation Plan. F1 · price: This transaction relates to the distribution and/or conversion of Performance Stock Units to common stock under the Executive Deferred Compensation Plan. F4 · derivative.exercise_date: Performance Stock Units were subject to a mandatory holding period and conversion and/or distribution to the Reporting Person is at the time provided in the applicable deferral election form, in accordance with the terms and conditions of the Executive Deferred Compensation Plan. F5 · derivative.expiration_date: No expiration date is applicable to Performance Stock Units. F7 · balance_after: Following these reported transactions, no other Performance Stock Units with the same original grant date are beneficially owned. Read SEC document |
| December 20, 2019 Filed Dec 20, 2019 23:13 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionPerformance Stock Units · Derivative | 10,241 | $0.00 Strike: $13.24 | $0.00 |
DisclosureSEC source: 0001104659-19-075170 · tm19263762_form4.xml · derivative · entry 2 Stern Shoshone (Bo) · CIK 0001681908 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,387 Underlying: Common Stock · 10,241 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Represents fair value per stock unit of Performance Stock Units based on the original grant date fair value determined at such time in accordance with FASB Accounting Standards Codification Topic 718. F1 · kind: This transaction relates to the distribution and/or conversion of Performance Stock Units to common stock under the Executive Deferred Compensation Plan. F1 · price: This transaction relates to the distribution and/or conversion of Performance Stock Units to common stock under the Executive Deferred Compensation Plan. F4 · derivative.exercise_date: Performance Stock Units were subject to a mandatory holding period and conversion and/or distribution to the Reporting Person is at the time provided in the applicable deferral election form, in accordance with the terms and conditions of the Executive Deferred Compensation Plan. F5 · derivative.expiration_date: No expiration date is applicable to Performance Stock Units. Read SEC document |
| December 20, 2019 Filed Dec 20, 2019 23:13 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionCommon Stock | 10,241 | $16.64 | $170,410.24 |
DisclosureSEC source: 0001104659-19-075170 · tm19263762_form4.xml · nonDerivative · entry 1 Stern Shoshone (Bo) · CIK 0001681908 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,930 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction relates to the distribution and/or conversion of Performance Stock Units to common stock under the Executive Deferred Compensation Plan. F2 · price: Represents the value (per stock unit or share of common stock) of the distribution and/or conversion of Performance Stock Units to common stock under the Executive Deferred Compensation Plan, based on the fair market value of Redwood Trust, Inc. common stock on the transaction date. Read SEC document |
| December 12, 2019 Filed Dec 13, 2019 22:59 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantDeferred Stock Units · Derivative | 27,272 | $0.00 Strike: $16.50 | $0.00 |
DisclosureSEC source: 0001681908-19-000004 · edgardoc.xml · derivative · entry 1 Stern Shoshone (Bo) · CIK 0001681908 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,272 Underlying: Common Stock · 27,272 shares Expires not disclosed F1 · security: This transaction relates to the grant of Deferred Stock Units. F2 · derivative.exercise_price: Represents grant date fair value of the DSUs issued, based on the fair market value of RWT common stock on the transaction date under the 2014 Incentive Award Plan. F3 · derivative.exercise_date: 25% vests 1/31/2021, 6.25% every quarter thereafter (beginning with 4/1/2021). Fully vested 12/11/2023. F4 · derivative.expiration_date: No expiration date is applicable to deferred stock units. Read SEC document |
| February 28, 2019 Filed Mar 1, 2019 23:53 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionDeferred Stock Units · Derivative | 9,911 | $0.00 Strike: $19.11 | $0.00 |
DisclosureSEC source: 0001681908-19-000002 · 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 · 9,911 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. Read SEC document |
| February 28, 2019 Filed Mar 1, 2019 23:53 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Tax withholdingDeferred Stock Units · Derivative | 11,020 | $0.00 Strike: $19.11 | $0.00 |
DisclosureSEC source: 0001681908-19-000002 · edgardoc.xml · derivative · entry 2 Stern Shoshone (Bo) · CIK 0001681908 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,911 Underlying: Common Stock · 11,020 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. Read SEC document |
| February 28, 2019 Filed Mar 1, 2019 23:53 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionCommon Stock | 9,911 | $15.44 | $153,025.84 |
DisclosureSEC source: 0001681908-19-000002 · edgardoc.xml · nonDerivative · entry 1 Stern Shoshone (Bo) · CIK 0001681908 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,689 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. Read SEC document |
| December 12, 2018 Filed Dec 13, 2018 23:19 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantDeferred Stock Units · Derivative | 26,266 | $0.00 Strike: $16.18 | $0.00 |
DisclosureSEC source: 0001681908-18-000004 · edgardoc.xml · derivative · entry 1 Stern Shoshone (Bo) · CIK 0001681908 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,266 Underlying: Common Stock · 26,266 shares Expires not disclosed F1 · security: This transaction relates to the grant of Deferred Stock Units. F2 · derivative.exercise_price: Represents grant date fair value of the DSUs issued, based on the fair market value of RWT common stock on the transaction date under the 2014 Incentive Award Plan. F3 · derivative.exercise_date: 25% vests 1/31/2020, 6.25% every quarter thereafter (beginning with 4/1/2020). Fully vested 12/11/2022. F4 · derivative.expiration_date: No expiration date is applicable to deferred stock units. Read SEC document |
| March 01, 2018 Filed Mar 2, 2018 00:07 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantDeferred Stock Units · Derivative | 80 | $0.00 Strike: $14.66 | $0.00 |
DisclosureSEC 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. Read SEC document |
| December 20, 2017 Filed Dec 21, 2017 22:02 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionDeferred Stock Units · Derivative | 4,746 | $0.00 Strike: $18.86 | $0.00 |
DisclosureSEC 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. Read SEC document |
| December 20, 2017 Filed Dec 21, 2017 22:02 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Tax withholdingDeferred Stock Units · Derivative | 5,858 | $0.00 Strike: $18.86 | $0.00 |
DisclosureSEC 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. Read SEC document |
| December 20, 2017 Filed Dec 21, 2017 22:02 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionCommon Stock | 4,746 | $14.76 | $70,050.96 |
DisclosureSEC 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. Read SEC document |
| December 13, 2017 Filed Dec 14, 2017 21:51 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantPerformance Stock Units · Derivative | 33,572 | $0.00 Strike: $11.17 | $0.00 |
DisclosureSEC source: 0001681908-17-000004 · edgardoc.xml · derivative · entry 2 Stern Shoshone (Bo) · CIK 0001681908 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,572 Underlying: Common Stock · 33,572 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 December 12, 2020) based on three-year total stockholder return. Please refer to Item 5.02(e) of the Current Report on Form 8-K filed on December 14, 2017 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 (7) below. F6 · derivative.exercise_price: Represents grant date fair value of the PSUs issued. 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 December 31, 2020. F9 · derivative.expiration_date: No expiration date is applicable to performance stock units. Read SEC document |
| December 13, 2017 Filed Dec 14, 2017 21:51 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantDeferred Stock Units · Derivative | 24,687 | $0.00 Strike: $15.19 | $0.00 |
DisclosureSEC source: 0001681908-17-000004 · edgardoc.xml · derivative · entry 1 Stern Shoshone (Bo) · CIK 0001681908 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,687 Underlying: Common Stock · 24,687 shares Expires not disclosed F1 · security: This transaction relates to the grant of Deferred Stock Units. F2 · derivative.exercise_price: Represents grant date fair value of the DSUs issued, based on the fair market value of RWT common stock on the transaction date under the 2014 Incentive Award Plan. F3 · derivative.exercise_date: 25% vests 1/31/2019, 6.25% every quarter thereafter (beginning with the quarter end 3/31/2019). Fully vested 12/12/2021. F4 · derivative.expiration_date: No expiration date is applicable to deferred stock units. Read SEC document |
| December 30, 2016 Filed Feb 14, 2017 22:55 UTC | REDWOOD TRUST INC RWT · Entity 5400 | OtherCommon Stock | 473 | $11.22 | $5,307.06 |
DisclosureSEC source: 0001681908-17-000002 · edgardoc.xml · nonDerivative · entry 2 Stern Shoshone (Bo) · CIK 0001681908 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,032 F1 · kind: Shares purchased through the 2002 Redwood Trust, Inc. Employee Stock Purchase Plan Read SEC document |
| December 19, 2016 Filed Dec 20, 2016 22:51 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionDeferred Stock Units · Derivative | 5,434 | $0.00 Strike: $16.47 | $0.00 |
DisclosureSEC source: 0001681908-16-000010 · 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 · 5,434 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. Read SEC document |
| December 19, 2016 Filed Dec 20, 2016 22:51 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Tax withholdingDeferred Stock Units · Derivative | 6,709 | $0.00 Strike: $16.47 | $0.00 |
DisclosureSEC source: 0001681908-16-000010 · edgardoc.xml · derivative · entry 2 Stern Shoshone (Bo) · CIK 0001681908 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,434 Underlying: Common Stock · 6,709 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. Read SEC document |
| December 19, 2016 Filed Dec 20, 2016 22:51 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionCommon Stock | 5,434 | $15.16 | $82,379.44 |
DisclosureSEC source: 0001681908-16-000010 · edgardoc.xml · nonDerivative · entry 1 Stern Shoshone (Bo) · CIK 0001681908 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,086 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. Read SEC document |
| December 14, 2016 Filed Dec 16, 2016 22:51 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantPerformance Stock Units · Derivative | 18,882 | $0.00 Strike: $13.24 | $0.00 |
DisclosureSEC source: 0001681908-16-000008 · edgardoc.xml · derivative · entry 2 Stern Shoshone (Bo) · CIK 0001681908 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,882 Underlying: Common Stock · 18,882 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 December 13, 2019) based on total stockholder return over four staggered two-year performance measurement periods and continued employment through December 13, 2019. F6 · derivative.exercise_price: Represents grant date fair value of the PSUs issued. 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 December 31, 2019. F9 · derivative.expiration_date: No expiration date is applicable to performance stock units. Read SEC document |
| December 14, 2016 Filed Dec 16, 2016 22:51 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantDeferred Stock Units · Derivative | 16,361 | $0.00 Strike: $15.28 | $0.00 |
DisclosureSEC source: 0001681908-16-000008 · edgardoc.xml · derivative · entry 1 Stern Shoshone (Bo) · CIK 0001681908 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,361 Underlying: Common Stock · 16,361 shares Expires not disclosed F1 · security: This transaction relates to the grant of Deferred Stock Units. F2 · derivative.exercise_price: Represents grant date fair value of the DSUs issued, based on the fair market value of RWT common stock on the transaction date under the 2014 Incentive Award Plan. F3 · derivative.exercise_date: 25% vests 1/31/2018, 6.25% every quarter thereafter (beginning with the quarter end 3/31/2018). Fully vested 12/13/2020. F4 · derivative.expiration_date: No expiration date is applicable to deferred stock units. Read SEC document |
| September 30, 2016 Filed Feb 14, 2017 22:55 UTC | REDWOOD TRUST INC RWT · Entity 5400 | OtherCommon Stock | 473 | $11.22 | $5,307.06 |
DisclosureSEC source: 0001681908-17-000002 · edgardoc.xml · nonDerivative · entry 1 Stern Shoshone (Bo) · CIK 0001681908 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,125 F1 · kind: Shares purchased through the 2002 Redwood Trust, Inc. Employee Stock Purchase Plan 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.