SEC Form 4 · accession 0001465740-17-000003
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
Jan 26, 2017
Accepted (ET)
Jan 30, 2017 · 4:37 pm EST
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 | Jan 26, 2017 | A | 274,599 | $8.74 | A | 1,359,674 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a restricted stock award issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. This award vests in three equal annual installments commencing on the first anniversary of the grant date.
- F2This figure excludes 600 shares of common stock owned by an immediate family member of the reporting person that were included in the reporting person's stock ownership total in his most recent Form 4 filing dated January 28, 2016. The reporting person no longer has a beneficial interest in these shares.