SEC Form 4/A · accession 0001144204-15-043473
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
Richard Baum
Director
Period of report
May 1, 2015
Accepted (ET)
Jul 21, 2015 · 5:10 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000930236
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF1,F2,F3,F4 | $15.19 | May 1, 2015 | M | 4,937 | D | — | — | Common Stock | 4,937 | 0 | D |
Explanation of responses
- F1This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.
- F2Represents fair value per stock unit of Deferred Stock Units based on the weighted average of the original grant date fair market values.
- F3Shares are subject to a minimum mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 1, 2015.
- F4No expiration date is applicable to Deferred Stock Units.
Remarks
This Form 4/A amends the Form 4 filed on May 5, 2015 (the "Original Form 4") to reflect (i) the disposition of 4,937 deferred stock units which were erroneously reported as an acquisition in Column 5 in the Original Form 4, and (ii) that no derivative securities with the same original grant date were beneficially owned following the reported transaction on May 1, 2015, which was also erroneously reported in Column 9 in the Original Form 4.