SEC Form 4/A · accession 0001104659-26-109010
REDWOOD TRUST INC · RWT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Christopher J Abate
Officer — Chief Executive Officer · Director
Period of report
Sep 15, 2026
Accepted (ET)
Sep 18, 2026 · 8:27 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0000930236
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 15, 2026 | P | 100,000 | $3.839 | A | 679,283 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF2,F3,F4,F5 | $5.63 | holding | — | — | — | — | — | Common Stock | 115,896 | 115,896 | D |
| Deferred Stock UnitsF2,F3,F6,F5 | $6.64 | holding | — | — | — | — | — | Common Stock | 98,268 | 98,268 | D |
| Deferred Stock UnitsF2,F3,F7,F5 | $7.79 | holding | — | — | — | — | — | Common Stock | 118,421 | 118,421 | D |
Explanation of responses
- F1This amendment is being filed solely to correct the nature of ownership of the reported shares, which were directly owned by Mr. Abate at the time of the reported transaction.
- F2This transaction relates to the grant of Deferred Stock Units.
- F3Represents grant date fair value of the DSUs issued, based on the fair market value of RWT common stock on the transaction date under the 2014 Incentive Award Plan.
- F425% vests 1/31/2027, 6.25% every quarter thereafter (beginning with 4/1/2027). Fully vested 12/11/2029.
- F5No expiration date is applicable to deferred stock units.
- F625% vests 1/31/2026, 6.25% every quarter thereafter (beginning with 4/1/2026). Fully vested 12/18/2028.
- F725% vests 1/31/2025, 6.25% every quarter thereafter (beginning with 4/1/2025). Fully vested 12/14/2027.