SEC Form 4 · accession 0001465740-17-000068
TWO HARBORS INVESTMENT CORP. · TWO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lisa A Pollina
Director
Period of report
May 17, 2017
Accepted (ET)
May 18, 2017 · 5:19 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 StockF1 | May 17, 2017 | A | 11,099 | $9.91 | A | 27,010 | D | |
| Common StockF2 | May 17, 2017 | F | 3,330 | $9.91 | D | 23,680 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a common stock award for service as a director, issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan.
- F2The reporting person elected to forfeit shares to satisfy income tax liabilities incurred in connection with the May 17, 2017 common stock award, as approved by the Board of Directors of Two Harbors Investment Corp.