SEC Form 4 · accession 0001221603-16-000019
REDWOOD TRUST INC · RWT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Georganne Proctor
Director
Period of report
Sep 30, 2016
Accepted (ET)
Oct 4, 2016 · 5:00 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 | $14.03 | Sep 30, 2016 | A | 1,128 | A | — | — | Common Stock | 1,128 | 1,128 | 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.