-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Ls6MyjX83VAqsiE+KWwv9KkNtA/V2OwM85xxS0hJiWHQ0FGzar/oltRd/Ok5r8/a 4l4Fo0N8i8J9Czz1YjnqIw== 0000950149-98-000013.txt : 19980108 0000950149-98-000013.hdr.sgml : 19980108 ACCESSION NUMBER: 0000950149-98-000013 CONFORMED SUBMISSION TYPE: 8-A12B PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980107 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: REDWOOD TRUST INC CENTRAL INDEX KEY: 0000930236 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 680329422 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-A12B SEC ACT: SEC FILE NUMBER: 001-13759 FILM NUMBER: 98501993 BUSINESS ADDRESS: STREET 1: 591 REDWOOD HWY STREET 2: STE 3100 CITY: MILL VALLEY STATE: CA ZIP: 94941 BUSINESS PHONE: 4153897373 MAIL ADDRESS: STREET 1: 591 REDWOOD HIGHWAY STREET 2: STE 3100 CITY: MILL VALLEY STATE: CA ZIP: 94941 8-A12B 1 FORM 8-A FILED PURSUANT TO RULE 12B 1 As filed with the Securities and Exchange Commission on January 7, 1998 Registration No. - -------------------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 --------------- FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) or 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 REDWOOD TRUST, INC. ------------------- (Exact Name of registrant as specified in its charter) Maryland 68-0329422 -------- ---------- (State of incorporation or organization) (I.R.S. Employer Identification No.) 591 Redwood Highway, Suite 3100 Mill Valley, California 94941 ----------------------- ----- (Address of principal Executive Offices) (Zip Code) If this Form relates to the registration of a If this Form relates to the registration of a class of securities pursuant to Section 12(b) of class of securities pursuant to Section 12(g) of the Exchange Act and is effective upon filing the Exchange Act and is effective pursuant to pursuant to General Instruction A.(c), please General Instruction A.(d), please check the check the following box. [ X ] following box. [ ]
Securities Act registration statement file number to which this form relates: N/A ------- (if applicable) Securities to be registered pursuant to Section 12(b) of the Act: Title of each class Name of each exchange on which to be so registered each class is to be registered - ------------------- ------------------------------ Common Stock, par value $.01 per share New York Stock Exchange - -------------------------------------- ----------------------- Class B 9.74% Cumulative Convertible Preferred - ---------------------------------------------- Stock, par value $0.01 per share New York Stock Exchange - -------------------------------- ----------------------- Securities to be registered pursuant to Section 12(g) of the Act: Not applicable (Title of class) 2 INFORMATION REQUIRED IN REGISTRATION STATEMENT Item 1. DESCRIPTION OF REGISTRANT'S SECURITIES TO BE REGISTERED The title of the common stock of the Registrant being registered hereby is Common Stock, par value $.01 per share (the "Common Stock"). The description of the Common Stock is contained in the Registrant's Registration Statement on Form S-11, filed with the Securities and Exchange Commission on June 30, 1995 (33-94160), under the captions "Prospectus Summary," "Description of Capital Stock" and "Certain Federal Income Tax Considerations," which description is hereby incorporated herein by reference thereto. The title of the preferred stock of the Registrant being registered hereby is Class B 9.74% Cumulative Convertible Preferred Stock, par value $.01 per share (the "Preferred Stock"). The description of the Preferred Stock is contained in the Registrant's 424(b)(1) Prospectus filed with the Securities and Exchange Commission on August 12, 1996, under the captions "Prospectus Summary," "Description of Capital Stock" and "Certain Federal Income Tax Considerations," which description is hereby incorporated herein by reference thereto. Item 2. Exhibits Instruments defining the rights of holders of the securities being registered hereunder: 3.1* Articles of Amendment and Restatement of the Registrant 3.3* Bylaws of the Registrant 4.2** Specimen Common Stock Certificate 4.3*** Specimen Preferred Stock Certificate ______________________________ * Previously filed and incorporated by reference to the correspondingly numbered exhibit to the Company's most recent Form 10-K (Commission No. 0-26436) filed by the Registrant with the Securities and Exchange Commission. ** Previously filed and incorporated by reference to the correspondingly numbered exhibit to the Registration Statement on Form S-11 (33-92272) filed by the Registrant with the Securities and Exchange Commission. *** Previously filed and incorporated by reference to the correspondingly numbered exhibit to the Registration Statement on Form S-11 (333-08363) filed by the Registrant with the Securities and Exchange Commission. 3 SIGNATURE Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized. Date: January 7, 1998 REDWOOD TRUST, INC. By: /s/ Vickie L. Rath ----------------------------- Vickie L. Rath Vice President, Treasurer and Controller 4 EXHIBIT INDEX Exhibit Number - -------------- 3.1* Articles of Amendment and Restatement of the Registrant 3.3* Bylaws of the Registrant 4.2** Specimen Common Stock Certificate 4.3*** Specimen Common Stock Certificate ______________________________ * Previously filed and incorporated by reference to the correspondingly numbered exhibit to the Company's most recent Form 10-K (Commission No. 0-26436) filed by the Registrant with the Securities and Exchange Commission. ** Previously filed and incorporated by reference to the correspondingly numbered exhibit to the Registration Statement on Form S-11 (33-92272) filed by the Registrant with the Securities and Exchange Commission. *** Previously filed and incorporated by reference to the correspondingly numbered exhibit to the Registration Statement on Form S-11 (333-08363) filed by the Registrant with the Securities and Exchange Commission. -----END PRIVACY-ENHANCED MESSAGE-----