SEC Form 4 · accession 0001465740-15-000047
TWO HARBORS INVESTMENT CORP. · TWO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Roth
Officer — Chief Investment Officer · Director
Period of report
Jun 1, 2015
Accepted (ET)
Jun 2, 2015 · 4:57 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001465740
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stock, par value $0.01 per shareF2,F3 | Jun 1, 2015 | S | 30,000 | $10.69 | D | 748,254 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The transaction reported on this Form 4 was effected pursuant to trading instructions given by the reporting person on November 20, 2014 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934.
- F2The reporting person sold the shares to satisfy income tax liabilities incurred as a result of the vesting on May 29, 2015 of a restricted stock award previously granted to the reporting person.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.67 to $10.73, inclusive. The reporting person undertakes to provide to Two Harbors Investment Corp., any security holder of Two Harbors Investment Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4.