SEC Form 4 · accession 0001233565-17-000008
REDWOOD TRUST INC · RWT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Greg H Kubicek
Director
Period of report
May 18, 2017
Accepted (ET)
May 19, 2017 · 5:54 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 UnitsF3,F1,F4,F5 | $16.44 | May 18, 2017 | A | 5,778 | A | — | — | Common Stock | 5,778 | 5,778 | D |
Explanation of responses
- F1Represents fair market value RWT common stock on transaction date under the 2014 Incentive Award Plan.
- F2This transaction relates to the grant of Deferred Stock Units.
- F3100% vested at grant.
- F4Shares 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 20, 2020.
- F5No expiration date is applicable to deferred stock units.