Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| REDWOOD TRUST INCRWT · Entity 5400 | Chief Legal Officer | September 21, 2026 | September 21, 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 21, 2026 · Filed September 21, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 183,631 |
Reported balance
After 2026-09-21 transaction · row 1
1 source rowRow 1 · 2026-09-21 · Purchase · Acquired 5,000 · Balance 183,631 |
| Deferred Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $5.63 | Direct | 39,964 |
Reported balance
Holding disclosure · report date 2026-09-21 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 39,964 F1: This transaction relates to the grant of Deferred Stock Units. F4: 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. F2: 25% vests 1/31/2027, 6.25% every quarter thereafter (beginning with 4/1/2027). Fully vested 12/11/2029 F3: No expiration date is applicable to deferred stock units. |
| Deferred Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $6.64 | Direct | 38,403 |
Reported balance
Holding disclosure · report date 2026-09-21 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 38,403 F1: This transaction relates to the grant of Deferred Stock Units. F4: 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 F3: No expiration date is applicable to deferred stock units. |
| Deferred Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $7.44 | Direct | 42,002 |
Reported balance
Holding disclosure · report date 2026-09-21 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 42,002 F1: This transaction relates to the grant of Deferred Stock Units. F4: 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 1/31/2024, 6.25% every quarter thereafter (beginning with 4/1/2024). Fully vested 12/14/2026 F3: No expiration date is applicable to deferred stock units. |
| Deferred Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $7.79 | Direct | 48,138 |
Reported balance
Holding disclosure · report date 2026-09-21 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 48,138 F1: This transaction relates to the grant of Deferred Stock Units. F4: 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. F7: 25% vests 1/31/2025, 6.25% every quarter thereafter (beginning with 4/1/2025). Fully vested 12/14/2027 F3: No expiration date is applicable to deferred stock units. |
| Deferred Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
Holding disclosure · report date 2026-09-21 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 0 F8: No exercise price is applicable to deferred stock units. F3: 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: 25% vests 1/31/2027, 6.25% every quarter thereafter (beginning with 4/1/2027). Fully vested 12/11/2029
F3: No expiration date is applicable to deferred stock units.
F4: 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
F6: 25% vests 1/31/2024, 6.25% every quarter thereafter (beginning with 4/1/2024). Fully vested 12/14/2026
F7: 25% vests 1/31/2025, 6.25% every quarter thereafter (beginning with 4/1/2025). Fully vested 12/14/2027
F8: No exercise price 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 |
|---|---|---|---|---|---|---|
| December 19, 2018 Filed Dec 19, 2018 23:57 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionPerformance Stock Units · Derivative | 28,707 | $0.00 Strike: $9.46 | $0.00 |
DisclosureSEC source: 0001144204-18-065467 · tv509542_4.xml · derivative · entry 3 Stone Andrew P · CIK 0001487805 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,920 Underlying: Common Stock · 28,707 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. F5 · 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. F6 · 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. F7 · 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 23:57 UTC | REDWOOD TRUST INC RWT · Entity 5400 | SaleCommon Stock | 15,000 | $15.25 | $228,750.00 |
DisclosureSEC source: 0001144204-18-065467 · tv509542_4.xml · nonDerivative · entry 2 Stone Andrew P · CIK 0001487805 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,062 F3 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person earlier in 2018. F4 · price: This transaction was executed in multiple trades with prices ranging from $15.10 to $15.40, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| December 19, 2018 Filed Dec 19, 2018 23:57 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionCommon Stock | 37,047 | $15.21 | $563,484.87 |
DisclosureSEC source: 0001144204-18-065467 · tv509542_4.xml · nonDerivative · entry 1 Stone Andrew P · CIK 0001487805 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,062 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 23:11 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantDeferred Stock Units · Derivative | 29,357 | $0.00 Strike: $16.18 | $0.00 |
DisclosureSEC source: 0001487805-18-000004 · edgardoc.xml · derivative · entry 1 Stone Andrew P · CIK 0001487805 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,357 Underlying: Common Stock · 29,357 shares Expires not disclosed F1 · security: This transaction relates to the grant of Deferred Stock Units. F2 · derivative.exercise_price: Represents grant date fair value of the DSUs issued, based on the fair market value of RWT common stock on the transaction date under the 2014 Incentive Award Plan. F3 · derivative.exercise_date: 25% vests 1/31/2020, 6.25% every quarter thereafter (beginning with 4/1/2020). Fully vested 12/11/2022. F4 · derivative.expiration_date: No expiration date is applicable to deferred stock units. Read SEC document |
| March 01, 2018 Filed Mar 1, 2018 23:58 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantDeferred Stock Units · Derivative | 75 | $0.00 Strike: $14.66 | $0.00 |
DisclosureSEC source: 0001487805-18-000002 · edgardoc.xml · derivative · entry 1 Stone Andrew P · CIK 0001487805 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75 Underlying: Common Stock · 75 shares Expires not disclosed F1 · derivative.exercise_price: Represents fair market value RWT common stock on transaction date under the 2014 Incentive Award Plan. F2 · shares: Represents the portion of 2017 performance-based annual bonus paid in the form of fully vested deferred stock units, instead of cash. Please refer to Item 11 "Executive Compensation" of Form 10-k filed on February 28, 2018 for further details. F3 · derivative.exercise_date: Shares are subject to a three-year mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 1, 2021. F4 · derivative.expiration_date: No expiration date is applicable to deferred stock units. Read SEC document |
| December 20, 2017 Filed Dec 21, 2017 22:08 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionDeferred Stock Units · Derivative | 7,119 | $0.00 Strike: $18.86 | $0.00 |
DisclosureSEC source: 0001487805-17-000004 · edgardoc.xml · derivative · entry 4 Stone Andrew P · CIK 0001487805 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,119 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. F5 · 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. F7 · 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. F8 · derivative.expiration_date: No expiration date is applicable to deferred stock units. F9 · balance_after: Following these reported transactions, no other Deferred Stock Units with the same original grant date are beneficially owned. Read SEC document |
| December 20, 2017 Filed Dec 21, 2017 22:08 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Tax withholdingDeferred Stock Units · Derivative | 8,788 | $0.00 Strike: $18.86 | $0.00 |
DisclosureSEC source: 0001487805-17-000004 · edgardoc.xml · derivative · entry 3 Stone Andrew P · CIK 0001487805 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,119 Underlying: Common Stock · 0 shares Expires not disclosed F5 · derivative.exercise_price: Represents fair value of Deferred Stock Units, based on the original grant date fair market value. F6 · 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. F7 · 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. F8 · derivative.expiration_date: No expiration date is applicable to deferred stock units. Read SEC document |
| December 20, 2017 Filed Dec 21, 2017 22:08 UTC | REDWOOD TRUST INC RWT · Entity 5400 | SaleCommon Stock | 5,000 | $14.87 | $74,351.00 |
DisclosureSEC source: 0001487805-17-000004 · edgardoc.xml · nonDerivative · entry 2 Stone Andrew P · CIK 0001487805 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,015 F3 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person in August, 2017. F4 · price: This transaction was executed in multiple trades with prices ranging from $14.78 to $14.97, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| December 20, 2017 Filed Dec 21, 2017 22:08 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionCommon Stock | 7,119 | $14.76 | $105,076.44 |
DisclosureSEC source: 0001487805-17-000004 · edgardoc.xml · nonDerivative · entry 1 Stone Andrew P · CIK 0001487805 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,015 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 21:44 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantPerformance Stock Units · Derivative | 38,049 | $0.00 Strike: $11.17 | $0.00 |
DisclosureSEC source: 0001487805-17-000002 · edgardoc.xml · derivative · entry 2 Stone Andrew P · CIK 0001487805 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,049 Underlying: Common Stock · 38,049 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 21:44 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantDeferred Stock Units · Derivative | 27,978 | $0.00 Strike: $15.19 | $0.00 |
DisclosureSEC source: 0001487805-17-000002 · edgardoc.xml · derivative · entry 1 Stone Andrew P · CIK 0001487805 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,978 Underlying: Common Stock · 27,978 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 20:15 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionDeferred Stock Units · Derivative | 3,730 | $0.00 Strike: $19.28 | $0.00 |
DisclosureSEC source: 0001144204-17-023942 · v464972_4.xml · derivative · entry 4 Stone Andrew P · CIK 0001487805 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,730 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. F5 · 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. F7 · 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. F8 · derivative.expiration_date: No expiration date is applicable to deferred stock units. F9 · 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 20:15 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Tax withholdingDeferred Stock Units · Derivative | 4,605 | $0.00 Strike: $19.28 | $0.00 |
DisclosureSEC source: 0001144204-17-023942 · v464972_4.xml · derivative · entry 3 Stone Andrew P · CIK 0001487805 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,730 Underlying: Common Stock · 4,605 shares Expires not disclosed F5 · derivative.exercise_price: Represents fair value of Deferred Stock Units, based on the original grant date fair market value. F6 · 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. F7 · 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. F8 · derivative.expiration_date: No expiration date is applicable to deferred stock units. Read SEC document |
| May 01, 2017 Filed May 2, 2017 20:15 UTC | REDWOOD TRUST INC RWT · Entity 5400 | SaleCommon Stock | 3,730 | $17.24 | $64,305.20 |
DisclosureSEC source: 0001144204-17-023942 · v464972_4.xml · nonDerivative · entry 2 Stone Andrew P · CIK 0001487805 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,896 F3 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person in February, 2017. F4 · price: This transaction was executed in multiple trades with prices ranging from $17.09 to $17.35, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| May 01, 2017 Filed May 2, 2017 20:15 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionCommon Stock | 3,730 | $17.07 | $63,671.10 |
DisclosureSEC source: 0001144204-17-023942 · v464972_4.xml · nonDerivative · entry 1 Stone Andrew P · CIK 0001487805 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,626 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 22:26 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionDeferred Stock Units · Derivative | 5,434 | $0.00 Strike: $16.47 | $0.00 |
DisclosureSEC source: 0001487805-16-000007 · edgardoc.xml · derivative · entry 4 Stone Andrew P · CIK 0001487805 · General Counsel 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. F5 · 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. F7 · 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. F8 · derivative.expiration_date: No expiration date is applicable to deferred stock units. F9 · 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 22:26 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Tax withholdingDeferred Stock Units · Derivative | 6,709 | $0.00 Strike: $16.47 | $0.00 |
DisclosureSEC source: 0001487805-16-000007 · edgardoc.xml · derivative · entry 3 Stone Andrew P · CIK 0001487805 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,434 Underlying: Common Stock · 6,709 shares Expires not disclosed F5 · derivative.exercise_price: Represents fair value of Deferred Stock Units, based on the original grant date fair market value. F6 · 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. F7 · 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. F8 · derivative.expiration_date: No expiration date is applicable to deferred stock units. Read SEC document |
| December 19, 2016 Filed Dec 20, 2016 22:26 UTC | REDWOOD TRUST INC RWT · Entity 5400 | SaleCommon Stock | 5,000 | $15.30 | $76,500.00 |
DisclosureSEC source: 0001487805-16-000007 · edgardoc.xml · nonDerivative · entry 2 Stone Andrew P · CIK 0001487805 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,896 F3 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person in August, 2016. F4 · price: This transaction was executed in multiple trades with prices ranging from $15.21 to $15.40, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| December 19, 2016 Filed Dec 20, 2016 22:26 UTC | REDWOOD TRUST INC RWT · Entity 5400 | Exercise / conversionCommon Stock | 5,434 | $15.16 | $82,379.44 |
DisclosureSEC source: 0001487805-16-000007 · edgardoc.xml · nonDerivative · entry 1 Stone Andrew P · CIK 0001487805 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,896 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 22:46 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantPerformance Stock Units · Derivative | 30,211 | $0.00 Strike: $13.24 | $0.00 |
DisclosureSEC source: 0001487805-16-000005 · edgardoc.xml · derivative · entry 2 Stone Andrew P · CIK 0001487805 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,211 Underlying: Common Stock · 30,211 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 22:46 UTC | REDWOOD TRUST INC RWT · Entity 5400 | GrantDeferred Stock Units · Derivative | 26,178 | $0.00 Strike: $15.28 | $0.00 |
DisclosureSEC source: 0001487805-16-000005 · edgardoc.xml · derivative · entry 1 Stone Andrew P · CIK 0001487805 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,178 Underlying: Common Stock · 26,178 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.