SEC Form 4 · accession 0001465740-16-000150
TWO HARBORS INVESTMENT CORP. · TWO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Siering
Officer — CEO & President · Director
Period of report
May 10, 2016
Accepted (ET)
May 11, 2016 · 5:21 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 shareF1,F2 | May 10, 2016 | P | 5,000 | $8.3716 | A | 858,553 | D | |
| Common stock, par value $0.01 per share | holding | — | — | — | 544,362 | I | By grantor retained annuity trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.3699 to $8.3785, 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 purchased at each separate price within the range set forth in this footnote (1).
- F2Does not include 544,362 shares reported on this Form 4 as indirectly owned by the reporting person through the Thomas E. Siering 2016 Grantor Annuity Trust I, for which the reporting person is the sole trustee and annuitant. These shares were previously reported by the reporting person as directly owned prior to their contribution to the Trust.