SEC Form 4 · accession 0001465740-18-000037
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
Apr 2, 2018
Accepted (ET)
Apr 4, 2018 · 4:30 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 | Apr 2, 2018 | J | 172,826 | $15.23 | A | 1,071,509 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On April 2, 2018, 172,826 shares held by the reporting person through the Thomas E. Siering 2016 Grantor Annuity Trust I ("GRAT"), for which the reporting person is the sole trustee and annuitant, were transferred back to the reporting person in exchange for cash. As a result of the transfer, the reporting person now holds these shares directly.
- F2This acquisition does not result in a change in the aggregate holdings of the reporting person, as all shares held in the GRAT were previously disclosed as beneficially owned by the reporting person.