Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| TWO HARBORS INVESTMENT CORP.TWO · Entity 9518 | CFO and Treasurer | January 28, 2019 | January 30, 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.
TWO HARBORS INVESTMENT CORP.
Report date January 28, 2019 · Filed January 30, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 241,917 |
Ending reported balance
After 2019-01-30 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2019-01-28 · Sale · Disposed 5,925 · Balance 265,087 F1: 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: 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: 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. Row 2 · 2019-01-29 · Sale · Disposed 8,741 · Balance 256,346 F1: 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: 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: 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. Row 3 · 2019-01-30 · Sale · Disposed 14,429 · Balance 241,917 F1: 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. F5: The reporting person sold the shares to satisfy income tax liabilities incurred as a result of a vesting that occurred on January 29, 2019 of a restricted stock award previously granted to the reporting person. F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.52 to $14.58, 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: 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: 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.
F4: 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.
F5: The reporting person sold the shares to satisfy income tax liabilities incurred as a result of a vesting that occurred on January 29, 2019 of a restricted stock award previously granted to the reporting person.
F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.52 to $14.58, 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.
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 |
|---|---|---|---|---|---|---|
| January 30, 2019 Filed Jan 30, 2019 22:55 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | SaleCommon stock, par value $0.01 per share | 14,429 | $14.54 | $209,770.24 |
DisclosureSEC source: 0001465740-19-000010 · wf-form4_154888893285085.xml · nonDerivative · entry 3 Farrell Brad · CIK 0001537872 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 241,917 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. F5 · shares: The reporting person sold the shares to satisfy income tax liabilities incurred as a result of a vesting that occurred on January 29, 2019 of a restricted stock award previously granted to the reporting person. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.52 to $14.58, 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 29, 2019 Filed Jan 30, 2019 22:55 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | 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 30, 2019 22:55 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | 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 | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | 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 |
| May 15, 2018 Filed May 16, 2018 21:15 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | 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 |
| January 29, 2018 Filed Jan 29, 2018 23:37 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | 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 31, 2018 21:31 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | 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 |
| August 24, 2017 Filed Aug 28, 2017 20:18 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | 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 |
| May 15, 2017 Filed May 16, 2017 20:53 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | SaleCommon stock, par value $0.01 per share | 19,663 | $9.86 | $193,900.78 |
DisclosureSEC source: 0001465740-17-000051 · wf-form4_149496800451257.xml · nonDerivative · entry 1 Farrell Brad · CIK 0001537872 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 410,727 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 the vesting on May 14, 2017 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 $9.86 to $9.865, 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 06, 2017 Filed Feb 7, 2017 21:28 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | SaleCommon stock, par value $0.01 per share | 15,937 | $8.81 | $140,411.34 |
DisclosureSEC source: 0001465740-17-000026 · wf-form4_148650289121849.xml · nonDerivative · entry 1 Farrell Brad · CIK 0001537872 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 430,390 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 the vesting on February 5, 2017 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 $8.8102 to $8.815, 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 30, 2017 Filed Jan 31, 2017 22:36 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | SaleCommon stock, par value $0.01 per share | 28,901 | $8.58 | $248,039.94 |
DisclosureSEC source: 0001465740-17-000015 · wf-form4_148590219192069.xml · nonDerivative · entry 1 Farrell Brad · CIK 0001537872 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 446,327 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 the vesting on January 27, 2017 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 $8.58 to $8.595, 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 footnote (3) to this Form 4. Read SEC document |
| January 26, 2017 Filed Jan 30, 2017 21:54 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | GrantCommon stock, par value $0.01 per share | 114,416 | $8.74 | $999,995.84 |
DisclosureSEC source: 0001465740-17-000011 · wf-form4_148581325034261.xml · nonDerivative · entry 1 Farrell Brad · CIK 0001537872 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 475,228 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.