-----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, VQCUk5W6ZNup+rqyXu6LuPaeFQkPLuISFhGWAm6CqzIZ/87SFZr/evwQZdHVmaA2 3o+UW/PP6q9NNUmYS5omZg== 0001047469-99-035350.txt : 19990913 0001047469-99-035350.hdr.sgml : 19990913 ACCESSION NUMBER: 0001047469-99-035350 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19990910 SUBJECT COMPANY: 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: SC 13G SEC ACT: SEC FILE NUMBER: 005-45335 FILM NUMBER: 99709276 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MARTIN CURRIE INC CENTRAL INDEX KEY: 0001034883 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 980038240 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 53 FOREST AVE STREET 2: OLD GREENWICH CITY: GREENWICH STATE: CT ZIP: 06840 BUSINESS PHONE: 2036989031 MAIL ADDRESS: STREET 1: MARTIN CURRIE INC STREET 2: 53 FOREST AVE CITY: GREENWICH STATE: CT ZIP: 06840 SC 13G 1 13G SCHEDULE 13G ----------------------------- OMB APPROVAL ---------------------- UNITED STATES OMB Number:3235-0145 SECURITIES AND EXCHANGE COMMISSION Expires: September 30, 1988 WASHINGTON, DC 20549 Estimated average burden hours per response .... 14.90 -----------------------------
SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. _____________)* - -------------------------------------------------------------------------------- Redwood Trust Inc - -------------------------------------------------------------------------------- Common Stock $0.01 ----------------------- 758075402 Check the following box if a fee is being paid with this statement / /. (A fee is not required if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent to the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent of less of such class.) (See Rule 13d - 7). * The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). SEC 1745 (6-88)
- ------------------------------------------- --------------------------------------- CUSIP NO. 758 075 402 13G Page ____ of ____ Pages - ------------------------------------------- --------------------------------------- - ---------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON SS OR IRS IDENTIFICATION NO OF ABOVE PERSON Martin Currie Limited - ---------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF GROUP* (a)/ / (b)/ / - ---------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANISATION United Kingdom - ---------------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 0 ----------------------------------------------------------------------------------------- SHARES 6 SHARE VOTING POWER BENEFICIALLY OWNED BY ----------------------------------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 0 PERSON ----------------------------------------------------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER - ---------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ---------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * - ---------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0% - ---------------------------------------------------------------------------------------------------------------- 12 TYPE OF PERSON REPORTING * CO - ----------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
- ------------------------------------------- --------------------------------------- CUSIP NO. 758 075 402 13G Page ____ of ____ Pages - ------------------------------------------- --------------------------------------- - ---------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON SS OR IRS IDENTIFICATION NO OF ABOVE PERSON Martin Currie Investment Management Limited - ---------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF GROUP* (a)/ / (b)/ / - ---------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANISATION United Kingdom - ---------------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 0 ----------------------------------------------------------------------------------------- SHARES 6 SHARE VOTING POWER BENEFICIALLY OWNED BY ----------------------------------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 0 PERSON ----------------------------------------------------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER - ---------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ---------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * - ---------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0% - ---------------------------------------------------------------------------------------------------------------- 12 TYPE OF PERSON REPORTING * CO - ----------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
- ------------------------------------------- --------------------------------------- CUSIP NO. 758 075 402 13G Page ____ of ____ Pages - ------------------------------------------- --------------------------------------- - ---------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON SS OR IRS IDENTIFICATION NO OF ABOVE PERSON Martin Currie Inc - ---------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF GROUP* (a)/ / (b)/ / - ---------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANISATION New York - ---------------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 0 ----------------------------------------------------------------------------------------- SHARES 6 SHARE VOTING POWER BENEFICIALLY OWNED BY ----------------------------------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 0 PERSON ----------------------------------------------------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER - ---------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ---------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * - ---------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0% - ---------------------------------------------------------------------------------------------------------------- 12 TYPE OF PERSON REPORTING * IA - ----------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT! SCHEDULE 13G Item 1(a) Name of issuer: Redwood Trust Inc 1(b) Address of issuers principal executive offices: 591 Redwood Highway Suite 3100 Mill Valley CA 94941 USA Item 2(a) Name of person filing: Martin Currie Limited Martin Currie Inc Martin Currie Investment Management Limited 2(b) Address of principal business office or, if none, residence: Saltire Court 20 Castle Terrace Edinburgh EH1 2ES 2(c) Citizenship: Martin Currie Limited - UK Martin Currie Inc - New York Martin Currie Investment Management Limited - UK 2(d) Title of Class of Securities: Common Stock $0.01 2(e) CUSIP Number 758 075 402 Item 3 This statement is filed pursuant to Rule 13d-1(c) with respect to Martin Currie Ltd and Martin Currie Investment Management Limited. This statement is file pursuant to Rule 13d-1(b)(1)(ii)(E) with respect to Martin Currie Inc, and investment adviser registered under Section 203 of the Investment Advisers Act of 1940. Item 4 Ownership: NOTE: This statement is filed on behalf of Martin Currie Ltd, a corporation organised under the laws of the Untied Kingdom, and its wholly-owned subsidiaries, Martin Currie Investment Management Ltd, a corporation formed under the laws of the United Kingdom and Martin Currie Inc, a corporation formed under the laws of the State of New York and an investment adviser registered under Section 203 of the Investment Advisers Act of 1940. As investment advisers to investment companies, institutions and individuals, Martin Currie Investment Management Ltd, and Martin Currie Inc, in some cases hold voting power and dispositive power over shares of Redwood Trust Inc reported in this statement and they may be deemed to be the beneficial owner of the shares of Redwood Trust Inc held by such Advisory Clients pursuant to Rule 13d-3. As parent corporation to Martin Currie Investment Management Ltd and Martin Currie Inc, Martin Currie Ltd may be deemed to be the beneficial owner of the shares of Redwood Trust Inc, held by such Advisory Client pursuant to Rule 13d-3. 4(a) Amount beneficially owned: see item 9 of the cover pages (pp 2-4) 4(b) Percent of class: see item 11 of the cover pages (pp 2-4) 4(c) Number of shares as to which such person has: (i) sole power to vote or direct the vote see item 5 of the cover pages (pp 2-4) (ii) shared power to vote or to direct the vote: --------------- (iii) sole power to dispose or to direct the disposition of: see item 7 of the cover pages (pp 2-4) (iv) shared power to dispose or to direct the disposition of: --------------- Item 5 Ownership of five percent or less of a class: Not applicable Item 6 Ownership of more than five percent on behalf of another person: Martin Currie Investment Management Ltd and Martin Currie Inc, are both wholly-owned subsidiaries of Martin Currie Ltd, are investment advisers to investment companies, institutions and individuals (the "Advisory Clients") and all shares of Redwood Trust Inc reported in this Statement are owned by the Advisory Clients. Martin Currie Investment Management Ltd, and Martin Currie Inc in some cases hold voting power and dispositive power over shares of Redwood Trust Inc reported in this statement and they may be deemed to be the beneficial owner of the shares of held by such Advisory Clients pursuant to Rule 13d-3. As parent corporation to Martin Currie Investment Management Ltd and Martin Currie Inc, Martin Currie Ltd may be deemed to be the beneficial owner of the shares of Redwood Trust Inc held by such Advisory Client pursuant to Rule 13d-3. The Advisory Clients have the right to receive or the power to direct the receipt of dividends form or the proceeds for the sale of the shares reported in this statement. No individual Advisory Client owns more than five percent of the class. Item 7 Identification and classification of the subsidiary which acquired the security being reported on by the parent holding company: Martin Currie Investment Management Ltd, is a corporation organised under the laws of the United Kingdom. Martin Currie Inc is a New York corporation and is an investment adviser registered pursuant to Section 203 of the Investment Advisers Act of 1940. Item 8 Identification and classification of members of the group: Not applicable Item 9 Notice of dissolution of group: Not applicable Item 10 Certification: By signing below the undersigned Martin Currie Inc certifies that, to the best of its knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing control of the issuer of such securities and were not acquired and are not held in connection with or as a participant in any transaction having such purpose or effect. By signing below each of the undersigned Martin Currie Ltd and Martin Currie Investment Management Ltd certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. MARTIN CURRIE LTD By: /s/ James Fairweather ---------------------------- Name: James Fairweather Title: Chief Investment Officer MARTIN CURRIE INVESTMENT MANAGEMENT LTD By: /s/ James Fairweather ---------------------------- Name: James Fairweather Title:Chief Investment Officer MARTIN CURRIE INC By: /s/ James Fairweather ---------------------------- Name: James Fairweather Title:Chief Investment Officer Date: 20 August 1999 -------------- INDEX OF EXHIBITS Exhibit No Exhibits 99 Joint filing agreement among Martin Currie Ltd, Martin Currie Investment Management Ltd and Martin Currie Inc. EX-99 2 EXHIBIT 99 EXHIBIT 99 In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, the undersigned agree to the joint filing of a Statement of Schedule on 13G (including any and all amendments thereto) with respect o the Common Stock, par value $0.001 per share, of Redwood Trust Inc. and further agree to the filing of this agreement as an Exhibit thereto. In addition each party to this agreement expressly authorises each other party to this agreement to file on its behalf any and all amendments to such Statement on Schedule 13G. MARTIN CURRIE LTD By: /s/ James Fairweather --------------------------- Name: James Fairweather Title: Chief Investment Officer MARTIN CURRIE INVESTMENT MANAGEMENT LTD By: /s/ James Fairweather --------------------------- Name: James Fairweather Title: Chief Investment Officer MARTIN CURRIE INC By: /s/ James Fairweather --------------------------- Name: James Fairweather Title: Chief Investment Officer Date: 20 August 1999 ---------------- -----END PRIVACY-ENHANCED MESSAGE-----