Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| REDWOOD TRUST INCRWT · Entity 5400 | Director · Chief Executive Officer | September 15, 2026 | September 15, 2026 |
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 September 15, 2026 · Filed September 15, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Indirectby Trust | 679,283 |
Reported balance
After 2026-09-15 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2026-09-15 · Purchase · Acquired 100,000 · Balance 679,283 |
| Deferred Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $5.63 | Direct | 115,896 |
Reported balance
Holding disclosure · report date 2026-09-15 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 115,896 F1: This transaction relates to the grant of Deferred Stock Units. F2: 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: 25% vests 1/31/2027, 6.25% every quarter thereafter (beginning with 4/1/2027). Fully vested 12/11/2029 F4: No expiration date is applicable to deferred stock units. |
| Deferred Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $6.64 | Direct | 98,268 |
Reported balance
Holding disclosure · report date 2026-09-15 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 98,268 F1: This transaction relates to the grant of Deferred Stock Units. F2: 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. F5: 25% vests 1/31/2026, 6.25% every quarter thereafter (beginning with 4/1/2026). Fully vested 12/18/2028 F4: No expiration date is applicable to deferred stock units. |
| Deferred Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $7.79 | Direct | 118,421 |
Reported balance
Holding disclosure · report date 2026-09-15 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 118,421 F1: This transaction relates to the grant of Deferred Stock Units. F2: 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. F6: 25% vests 1/31/2025, 6.25% every quarter thereafter (beginning with 4/1/2025). Fully vested 12/14/2027 F4: No expiration date is applicable to deferred stock units. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction relates to the grant of Deferred Stock Units.
F2: 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: 25% vests 1/31/2027, 6.25% every quarter thereafter (beginning with 4/1/2027). Fully vested 12/11/2029
F4: No expiration date is applicable to deferred stock units.
F5: 25% vests 1/31/2026, 6.25% every quarter thereafter (beginning with 4/1/2026). Fully vested 12/18/2028
F6: 25% vests 1/31/2025, 6.25% every quarter thereafter (beginning with 4/1/2025). Fully vested 12/14/2027
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
HERITAGE COMMERCE CORP
Report date April 17, 2026 · Filed April 17, 2026
Section 16 reporting ended · disclosed 2026-04-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, No Par ValueSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2026-04-17 transaction · row 1
1 source rowRow 1 · 2026-04-17 · Disposition to issuer · Disposed 6,980 · Balance 0 F1: On April 17, 2026 (the "Effective Time"), upon consummation of the transactions contemplated by the Agreement and Plan of Reorganization and Merger (the "Merger Agreement"), dated as of December 17, 2025, by and between Heritage Commerce Corp (the "Company"), a California corporation and CVB Financial Corp. ("CVBF"), a California corporation, and subject to the terms and conditions set forth in the Merger Agreement, each share of the Company's common stock outstanding immediately prior to the Effective Time was cancelled and converted into the right to receive 0.65 shares (the "Exchange Ratio") of CVBF's common stock, without interest thereon (the "Merger Consideration"). F2: At the Effective Time, each outstanding restricted stock award granted under any Company stock plan accelerated in full, and such restricted stock awards were converted into, and became exchanged for, the Merger Consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: On April 17, 2026 (the "Effective Time"), upon consummation of the transactions contemplated by the Agreement and Plan of Reorganization and Merger (the "Merger Agreement"), dated as of December 17, 2025, by and between Heritage Commerce Corp (the "Company"), a California corporation and CVB Financial Corp. ("CVBF"), a California corporation, and subject to the terms and conditions set forth in the Merger Agreement, each share of the Company's common stock outstanding immediately prior to the Effective Time was cancelled and converted into the right to receive 0.65 shares (the "Exchange Ratio") of CVBF's common stock, without interest thereon (the "Merger Consideration").
F2: At the Effective Time, each outstanding restricted stock award granted under any Company stock plan accelerated in full, and such restricted stock awards were converted into, and became exchanged for, the Merger Consideration.
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 12, 2019 Filed Dec 13, 2019 22:38 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantDeferred Stock Units · Derivative | 113,636 | $0.00 Strike: $16.50 | $0.00 |
DisclosureSEC source: 0001453409-19-000002 · edgardoc.xml · derivative · entry 1 Abate Christopher J · CIK 0001453409 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,636 Underlying: Common Stock · 113,636 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 |
| December 19, 2018 Filed Dec 19, 2018 23:58 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Tax withholdingDeferred Stock Units · Derivative | 13,248 | $0.00 Strike: $19.87 | $0.00 |
DisclosureSEC source: 0001144204-18-065468 · tv509545_4.xml · derivative · entry 5 Abate Christopher J · CIK 0001453409 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,248 shares Expires not disclosed F3 · derivative.exercise_price: Represents fair value per stock unit of Performance Stock Units or Deferred 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 and/or Deferred Stock Units under the Executive Deferred Compensation Plan. F1 · price: This transaction relates to the distribution and/or conversion of Performance Stock Units and Deferred Stock Units to common stock under the Executive Deferred Compensation Plan. F4 · derivative.exercise_date: Performance Stock Units and Deferred 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 and Deferred Stock Units. F7 · balance_after: Following these reported transactions, no other Performance Stock Units and/or Deferred Stock Units with the same original grant date are beneficially owned. Read SEC document |
| December 19, 2018 Filed Dec 19, 2018 23:58 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionDeferred Stock Units · Derivative | 11,915 | $0.00 Strike: $19.87 | $0.00 |
DisclosureSEC source: 0001144204-18-065468 · tv509545_4.xml · derivative · entry 4 Abate Christopher J · CIK 0001453409 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,248 Underlying: Common Stock · 11,915 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 or Deferred 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 and Deferred 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 and Deferred Stock Units to common stock under the Executive Deferred Compensation Plan. F4 · derivative.exercise_date: Performance Stock Units and Deferred 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 and Deferred Stock Units. Read SEC document |
| December 19, 2018 Filed Dec 19, 2018 23:58 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Tax withholdingPerformance Stock Units · Derivative | 50,161 | $0.00 Strike: $9.46 | $0.00 |
DisclosureSEC source: 0001144204-18-065468 · tv509545_4.xml · derivative · entry 3 Abate Christopher J · CIK 0001453409 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,161 shares Expires not disclosed F3 · derivative.exercise_price: Represents fair value per stock unit of Performance Stock Units or Deferred 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 and/or Deferred Stock Units under the Executive Deferred Compensation Plan. F1 · price: This transaction relates to the distribution and/or conversion of Performance Stock Units and Deferred Stock Units to common stock under the Executive Deferred Compensation Plan. F4 · derivative.exercise_date: Performance Stock Units and Deferred 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 and Deferred Stock Units. F7 · balance_after: Following these reported transactions, no other Performance Stock Units and/or Deferred Stock Units with the same original grant date are beneficially owned. Read SEC document |
| December 19, 2018 Filed Dec 19, 2018 23:58 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionPerformance Stock Units · Derivative | 45,112 | $0.00 Strike: $9.46 | $0.00 |
DisclosureSEC source: 0001144204-18-065468 · tv509545_4.xml · derivative · entry 2 Abate Christopher J · CIK 0001453409 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,161 Underlying: Common Stock · 45,112 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 or Deferred 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 and Deferred 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 and Deferred Stock Units to common stock under the Executive Deferred Compensation Plan. F4 · derivative.exercise_date: Performance Stock Units and Deferred 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 and Deferred Stock Units. Read SEC document |
| December 19, 2018 Filed Dec 19, 2018 23:58 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionCommon Stock | 57,027 | $15.21 | $867,380.67 |
DisclosureSEC source: 0001144204-18-065468 · tv509545_4.xml · nonDerivative · entry 1 Abate Christopher J · CIK 0001453409 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,183 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 and 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 Performance Stock Units and Deferred 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, 2018 Filed Dec 13, 2018 22:58 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantDeferred Stock Units · Derivative | 77,255 | $0.00 Strike: $16.18 | $0.00 |
DisclosureSEC source: 0001453409-18-000006 · edgardoc.xml · derivative · entry 1 Abate Christopher J · CIK 0001453409 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,255 Underlying: Common Stock · 77,255 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 |
| May 22, 2018 Filed May 24, 2018 21:08 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantPerformance Stock Units · Derivative | 16,447 | $0.00 Strike: $15.20 | $0.00 |
DisclosureSEC source: 0001453409-18-000004 · edgardoc.xml · derivative · entry 2 Abate Christopher J · CIK 0001453409 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,447 Underlying: Common Stock · 16,447 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 May 21, 2021) based on three-year total stockholder return. Please refer to Item 5.02(e) of the Current Report on Form 8-K filed on May 23, 2018 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 (6) below. F6 · derivative.exercise_price: Represents grant date fair value of the PSUs issued. F2 · kind: This transaction relates to the grant of performance stock units or deferred stock units approved by the Compensation Committee of the Board of Directors to Mr. Abate in connection with his promotion to the role of Chief Executive Officer, effective on May 22, 2018. 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 August 31, 2021. F9 · derivative.expiration_date: No expiration date is applicable to performance stock units. Read SEC document |
| May 22, 2018 Filed May 24, 2018 21:08 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantDeferred Stock Units · Derivative | 15,042 | $0.00 Strike: $16.62 | $0.00 |
DisclosureSEC source: 0001453409-18-000004 · edgardoc.xml · derivative · entry 1 Abate Christopher J · CIK 0001453409 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,042 Underlying: Common Stock · 15,042 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 · kind: This transaction relates to the grant of performance stock units or deferred stock units approved by the Compensation Committee of the Board of Directors to Mr. Abate in connection with his promotion to the role of Chief Executive Officer, effective on May 22, 2018. F3 · derivative.exercise_date: 25% vests 7/1/2019, 6.25% every quarter thereafter. Fully vested 5/21/2022. F4 · derivative.expiration_date: No expiration date is applicable to deferred stock units. Read SEC document |
| March 01, 2018 Filed Mar 1, 2018 23:55 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantDeferred Stock Units · Derivative | 141 | $0.00 Strike: $14.66 | $0.00 |
DisclosureSEC source: 0001453409-18-000002 · edgardoc.xml · derivative · entry 1 Abate Christopher J · CIK 0001453409 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141 Underlying: Common Stock · 141 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 21:50 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionDeferred Stock Units · Derivative | 7,712 | $0.00 Strike: $18.86 | $0.00 |
DisclosureSEC source: 0001453409-17-000004 · edgardoc.xml · derivative · entry 3 Abate Christopher J · CIK 0001453409 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,712 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 21:50 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Tax withholdingDeferred Stock Units · Derivative | 9,520 | $0.00 Strike: $18.86 | $0.00 |
DisclosureSEC source: 0001453409-17-000004 · edgardoc.xml · derivative · entry 2 Abate Christopher J · CIK 0001453409 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,712 Underlying: Common Stock · 9,520 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 21:50 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionCommon Stock | 7,712 | $14.76 | $113,829.12 |
DisclosureSEC source: 0001453409-17-000004 · edgardoc.xml · nonDerivative · entry 1 Abate Christopher J · CIK 0001453409 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,156 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 21:35 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantPerformance Stock Units · Derivative | 67,144 | $0.00 Strike: $11.17 | $0.00 |
DisclosureSEC source: 0001453409-17-000002 · edgardoc.xml · derivative · entry 2 Abate Christopher J · CIK 0001453409 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,144 Underlying: Common Stock · 67,144 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 21:35 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantDeferred Stock Units · Derivative | 49,374 | $0.00 Strike: $15.19 | $0.00 |
DisclosureSEC source: 0001453409-17-000002 · edgardoc.xml · derivative · entry 1 Abate Christopher J · CIK 0001453409 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,374 Underlying: Common Stock · 49,374 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 |
| May 01, 2017 Filed May 2, 2017 20:16 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionDeferred Stock Units · Derivative | 11,451 | $0.00 Strike: $19.28 | $0.00 |
DisclosureSEC source: 0001144204-17-023943 · v464973_4.xml · derivative · entry 3 Abate Christopher J · CIK 0001453409 · President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,451 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 20:16 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Tax withholdingDeferred Stock Units · Derivative | 14,317 | $0.00 Strike: $19.28 | $0.00 |
DisclosureSEC source: 0001144204-17-023943 · v464973_4.xml · derivative · entry 2 Abate Christopher J · CIK 0001453409 · President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,451 Underlying: Common Stock · 14,317 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 20:16 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionCommon Stock | 11,451 | $17.07 | $195,468.57 |
DisclosureSEC source: 0001144204-17-023943 · v464973_4.xml · nonDerivative · entry 1 Abate Christopher J · CIK 0001453409 · President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,444 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 19, 2016 Filed Dec 20, 2016 22:39 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionDeferred Stock Units · Derivative | 5,434 | $0.00 Strike: $16.47 | $0.00 |
DisclosureSEC source: 0001453409-16-000009 · edgardoc.xml · derivative · entry 3 Abate Christopher J · CIK 0001453409 · President & CFO 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 22:39 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Tax withholdingDeferred Stock Units · Derivative | 6,709 | $0.00 Strike: $16.47 | $0.00 |
DisclosureSEC source: 0001453409-16-000009 · edgardoc.xml · derivative · entry 2 Abate Christopher J · CIK 0001453409 · President & CFO 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 22:39 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionCommon Stock | 5,434 | $15.16 | $82,379.44 |
DisclosureSEC source: 0001453409-16-000009 · edgardoc.xml · nonDerivative · entry 1 Abate Christopher J · CIK 0001453409 · President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,993 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 22:39 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantPerformance Stock Units · Derivative | 50,981 | $0.00 Strike: $13.24 | $0.00 |
DisclosureSEC source: 0001453409-16-000007 · edgardoc.xml · derivative · entry 2 Abate Christopher J · CIK 0001453409 · President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,981 Underlying: Common Stock · 50,981 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 22:39 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantDeferred Stock Units · Derivative | 44,176 | $0.00 Strike: $15.28 | $0.00 |
DisclosureSEC source: 0001453409-16-000007 · edgardoc.xml · derivative · entry 1 Abate Christopher J · CIK 0001453409 · President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,176 Underlying: Common Stock · 44,176 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.