Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Granite Point Mortgage Trust Inc.GPMT · Entity 7217 | Director | November 09, 2017 | November 13, 2017 |
| TWO HARBORS INVESTMENT CORP.TWO · Entity 9518 | Director · Chief Investment Officer | 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.
Granite Point Mortgage Trust Inc.
Report date November 09, 2017 · Filed November 13, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 151,329 |
Reported balance
After 2017-11-09 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2017-11-09 · Purchase · Acquired 7,500 · Balance 151,329 F1: Per share price reflects the weighted average price paid. The shares were purchased in multiple transactions at prices ranging from $17.55 to $17.60. The reporting person undertakes to provide, upon request, full information regarding the shares purchased in such transactions. F2: Includes 128,829 shares of the Issuer's common stock acquired by the Reporting Person in connection with the pro rata dividend, by Two Harbors Investment Corp. ("Two Harbors"), of the Issuer's common stock to the holders of Two Harbors common stock. This stock dividend, completed on November 1, 2017, was exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16a-9 promulgated thereunder. |
| Common StockSEC Table I · non-derivative | Direct | 153,829 |
Reported balance
After 2017-11-10 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2017-11-10 · Purchase · Acquired 2,500 · Balance 153,829 |
Filing footnotes · ownership attribution and instrument terms
F1: Per share price reflects the weighted average price paid. The shares were purchased in multiple transactions at prices ranging from $17.55 to $17.60. The reporting person undertakes to provide, upon request, full information regarding the shares purchased in such transactions.
F2: Includes 128,829 shares of the Issuer's common stock acquired by the Reporting Person in connection with the pro rata dividend, by Two Harbors Investment Corp. ("Two Harbors"), of the Issuer's common stock to the holders of Two Harbors common stock. This stock dividend, completed on November 1, 2017, was exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16a-9 promulgated thereunder.
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 | 691,497 |
Ending reported balance
After 2019-01-30 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2019-01-28 · Sale · Disposed 19,415 · Balance 730,122 F1: 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: 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 range set forth in this footnote. Row 2 · 2019-01-29 · Sale · Disposed 23,224 · Balance 706,898 F1: 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: 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 15,401 · Balance 691,497 F1: 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. 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 $14.55, 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 20, 2017 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 range 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 $14.55, 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 18:01 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | SaleCommon stock, par value $0.01 per share | 15,401 | $14.54 | $223,862.78 |
DisclosureSEC source: 0001465740-19-000016 · wf-form4_154888929134767.xml · nonDerivative · entry 3 ROTH WILLIAM · CIK 0001474958 · Director · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 691,497 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. 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 $14.55, 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 18:01 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | SaleCommon stock, par value $0.01 per share | 23,224 | $14.42 | $334,906.34 |
DisclosureSEC source: 0001465740-19-000016 · wf-form4_154888929134767.xml · nonDerivative · entry 2 ROTH WILLIAM · CIK 0001474958 · Director · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 706,898 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. 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 16:30 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | 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 30, 2019 18:01 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | 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 |
| May 15, 2018 Filed May 16, 2018 17:10 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | 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 |
| January 29, 2018 Filed Jan 29, 2018 18:48 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: 0001465740-18-000011 · 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 31, 2018 16:35 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | 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 |
| November 10, 2017 Filed Nov 13, 2017 16:52 UTC | Granite Point Mortgage Trust Inc. GPMT · Entity 7217 | PurchaseCommon Stock | 2,500 | $17.50 | $43,737.50 |
DisclosureSEC source: 0001474958-17-000002 · wf-form4_151060991524143.xml · nonDerivative · entry 2 ROTH WILLIAM · CIK 0001474958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,829 Read SEC document |
| November 09, 2017 Filed Nov 13, 2017 16:52 UTC | Granite Point Mortgage Trust Inc. GPMT · Entity 7217 | PurchaseCommon Stock | 7,500 | $17.58 | $131,874.75 |
DisclosureSEC source: 0001474958-17-000002 · wf-form4_151060991524143.xml · nonDerivative · entry 1 ROTH WILLIAM · CIK 0001474958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,329 F1 · price: Per share price reflects the weighted average price paid. The shares were purchased in multiple transactions at prices ranging from $17.55 to $17.60. The reporting person undertakes to provide, upon request, full information regarding the shares purchased in such transactions. F2 · balance_after: Includes 128,829 shares of the Issuer's common stock acquired by the Reporting Person in connection with the pro rata dividend, by Two Harbors Investment Corp. ("Two Harbors"), of the Issuer's common stock to the holders of Two Harbors common stock. This stock dividend, completed on November 1, 2017, was exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16a-9 promulgated thereunder. Read SEC document |
| June 28, 2017 Filed Jun 30, 2017 19:29 UTC | Granite Point Mortgage Trust Inc. GPMT · Entity 7217 | PurchaseCommon Stock | 15,000 | $19.50 | $292,500.00 |
DisclosureSEC source: 0001104659-17-043093 · a4.xml · nonDerivative · entry 1 ROTH WILLIAM · CIK 0001474958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 F1 · shares: Represents shares of common stock of Issuer purchased through a directed share program in connection with the intial public offering of the Issuer's common stock, which closed on June 28, 2017. The shares were purchased at the initial public offering price of $19.50 per share. The shares are subject to a lock-up provision for a period of 180 days, as required under a lock-up agreement with the underwriters of the initial public offering. Read SEC document |
| January 26, 2017 Filed Jan 30, 2017 16:37 UTC | TWO HARBORS INVESTMENT CORP. TWO · Entity 9518 | GrantCommon stock, par value $0.01 per share | 274,599 | $8.74 | $2,399,995.26 |
DisclosureSEC source: 0001465740-17-000003 · wf-form4_148581226676301.xml · nonDerivative · entry 1 ROTH WILLIAM · CIK 0001474958 · Director · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,359,674 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: This figure excludes 600 shares of common stock owned by an immediate family member of the reporting person that were included in the reporting person's stock ownership total in his most recent Form 4 filing dated January 28, 2016. The reporting person no longer has a beneficial interest in these shares. 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.