Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| REDWOOD TRUST INCRWT · Entity 5400 | Director · Chief Executive Officer | March 01, 2018 | March 01, 2018 |
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 March 01, 2018 · Filed March 01, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Indirectby Trust | 681,579 |
Reported balance
After 2018-03-01 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2018-03-01 · Gift · Disposed 1,150 · Balance 681,579 |
| Deferred Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $14.66 | Direct | 56,181 |
Reported balance
After 2018-03-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-03-01 · Grant · Acquired 56,181 · Balance 56,181 F1: Represents fair market value RWT common stock on transaction date under the 2014 Incentive Award Plan. F2: 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: 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: No expiration date is applicable to deferred stock units. |
| Common StockSEC Table I · non-derivative | Indirectby Spouse | 5,000 |
Reported balance
Holding disclosure · report date 2018-03-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 5,000 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents fair market value RWT common stock on transaction date under the 2014 Incentive Award Plan.
F2: 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: 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: No expiration date is applicable to deferred stock units.
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 |
|---|---|---|---|---|---|---|
| March 01, 2018 Filed Mar 1, 2018 23:51 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantDeferred Stock Units · Derivative | 56,181 | $0.00 Strike: $14.66 | $0.00 |
DisclosureSEC source: 0001024553-18-000002 · edgardoc.xml · derivative · entry 3 Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,181 Underlying: Common Stock · 56,181 shares Expires not disclosed F1 · derivative.exercise_price: Represents fair market value RWT common stock on transaction date under the 2014 Incentive Award Plan. F2 · shares: Represents the portion of 2017 performance-based annual bonus paid in the form of fully vested deferred stock units, instead of cash. Please refer to Item 11 "Executive Compensation" of Form 10-k filed on February 28, 2018 for further details. F3 · derivative.exercise_date: Shares are subject to a three-year mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 1, 2021. F4 · derivative.expiration_date: No expiration date is applicable to deferred stock units. Read SEC document |
| March 01, 2018 Filed Mar 1, 2018 23:51 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GiftCommon Stock | 1,150 | $0.00 | $0.00 |
DisclosureSEC source: 0001024553-18-000002 · edgardoc.xml · nonDerivative · entry 1 Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 681,579 Read SEC document |
| December 20, 2017 Filed Dec 21, 2017 21:46 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionDeferred Stock Units · Derivative | 29,660 | $0.00 Strike: $18.86 | $0.00 |
DisclosureSEC source: 0001024553-17-000002 · edgardoc.xml · derivative · entry 4 Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 29,660 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 21:46 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Tax withholdingDeferred Stock Units · Derivative | 36,618 | $0.00 Strike: $18.86 | $0.00 |
DisclosureSEC source: 0001024553-17-000002 · edgardoc.xml · derivative · entry 3 Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,660 Underlying: Common Stock · 36,618 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 21:46 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionCommon Stock | 29,660 | $14.76 | $437,781.60 |
DisclosureSEC source: 0001024553-17-000002 · edgardoc.xml · nonDerivative · entry 1 Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 682,729 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 |
| May 01, 2017 Filed May 2, 2017 20:17 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionDeferred Stock Units · Derivative | 13,056 | $0.00 Strike: $19.28 | $0.00 |
DisclosureSEC source: 0001144204-17-023947 · v464975_4.xml · derivative · entry 4 Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,056 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 |
| May 01, 2017 Filed May 2, 2017 20:17 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Tax withholdingDeferred Stock Units · Derivative | 16,118 | $0.00 Strike: $19.28 | $0.00 |
DisclosureSEC source: 0001144204-17-023947 · v464975_4.xml · derivative · entry 3 Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,056 Underlying: Common Stock · 16,118 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 |
| May 01, 2017 Filed May 2, 2017 20:17 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionCommon Stock | 13,056 | $17.07 | $222,865.92 |
DisclosureSEC source: 0001144204-17-023947 · v464975_4.xml · nonDerivative · entry 1 Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 653,069 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, Read SEC document |
| December 19, 2016 Filed Dec 20, 2016 22:45 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionDeferred Stock Units · Derivative | 31,247 | $0.00 Strike: $16.47 | $0.00 |
DisclosureSEC source: 0001024553-16-000008 · edgardoc.xml · derivative · entry 4 Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 31,247 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 22:45 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Tax withholdingDeferred Stock Units · Derivative | 38,577 | $0.00 Strike: $16.47 | $0.00 |
DisclosureSEC source: 0001024553-16-000008 · edgardoc.xml · derivative · entry 3 Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,247 Underlying: Common Stock · 38,577 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 22:45 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionCommon Stock | 31,247 | $15.16 | $473,704.52 |
DisclosureSEC source: 0001024553-16-000008 · edgardoc.xml · nonDerivative · entry 1 Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 640,013 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 22:32 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantPerformance Stock Units · Derivative | 94,410 | $0.00 Strike: $13.24 | $0.00 |
DisclosureSEC source: 0001024553-16-000006 · edgardoc.xml · derivative · entry 2 Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,410 Underlying: Common Stock · 94,410 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 22:32 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantDeferred Stock Units · Derivative | 81,807 | $0.00 Strike: $15.28 | $0.00 |
DisclosureSEC source: 0001024553-16-000006 · edgardoc.xml · derivative · entry 1 Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,807 Underlying: Common Stock · 81,807 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.