SEC Form 4/A · accession 0001144204-18-064652
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
Sasha G. Macomber
Officer — Chief Human Resource Officer
Period of report
Dec 12, 2018
Accepted (ET)
Dec 14, 2018 · 4:15 pm EST
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 | $16.18 | Dec 12, 2018 | A | 15,451 | A | — | — | Common Stock | 15,451 | 15,451 | D |
Explanation of responses
- F1This transaction relates to the grant of Deferred Stock Units.
- F2Represents 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.
- F325% vests 1/31/2020, 6.25% every quarter thereafter (beginning with 4/1/2020). Fully vested 12/11/2022.
- F4No expiration date is applicable to deferred stock units.
Remarks
This Form 4/A amends the Form 4 filed on December 13, 2018 (the "Original Form 4") to correct an error in columns 5, 7, and 9 of Table II of the Original Form 4. The Original Form 4 reported 7,725 as (i) the number of derivative securities acquired, (ii) as the amount of securities underlying derivative security, and (iii) as the number of derivative securities beneficially owned following reported transaction(s). In each case, the correct number, as reported in this amended Form 4, is 15,451.