SEC Form 4 · accession 0001465740-18-000061
TWO HARBORS INVESTMENT CORP. · TWO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James J Bender
Director
Period of report
May 17, 2018
Accepted (ET)
May 21, 2018 · 4:43 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 17, 2018 | A | 7,105 | $15.48 | A | 30,367 | D | |
| Common stock, par value $0.01 per shareF3,F2 | May 17, 2018 | F | 2,842 | $15.48 | D | 27,525 | 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.
- F2On November 1, 2017, the Issuer effected a one-for-two reverse stock split of its outstanding shares of common stock. The amount of securities reported in this Form 4 has been adjusted to reflect the reverse stock split.
- F3The reporting person elected to forfeit shares to satisfy income tax liabilities incurred in connection with the May 17, 2018 common stock award, as approved by the Board of Directors of Two Harbors Investment Corp.