SEC Form 4/A · accession 0001144204-19-005107
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
Jeffrey T Pero
Director
Period of report
Dec 28, 2018
Accepted (ET)
Feb 5, 2019 · 7:59 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 | $15.18 | Dec 28, 2018 | A | 2,238 | A | — | — | Common Stock | 2,238 | 2,237 | D |
Explanation of responses
- F1This transaction relates to the acquisition of Deferred Stock Units in accordance with the deferral election made with respect to director compensation and/or dividend equivalent rights according to the terms and conditions of the Redwood Trust Inc. Amended and Restated Executive Deferred Compensation Plan.
- F2100% vested at grant.
- F3No expiration date is applicable to deferred stock units.
Remarks
This Form 4/A amends the Form 4 filed on December 31, 2018 (the "Original Form 4") to correct column 5, 7 and 9 of Table II of the Original Form 4. The Original Form 4 misreported 2,106.07 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 2,237.38.