0001465740-18-000017.txt : 20180131 0001465740-18-000017.hdr.sgml : 20180131 20180131163548 ACCESSION NUMBER: 0001465740-18-000017 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180129 FILED AS OF DATE: 20180131 DATE AS OF CHANGE: 20180131 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROTH WILLIAM CENTRAL INDEX KEY: 0001474958 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34506 FILM NUMBER: 18563203 MAIL ADDRESS: STREET 1: TWO HARBORS INVESTMENT CORP. STREET 2: 601 CARLSON PARKWAY, SUITE 1400 CITY: MINNETONKA STATE: MN ZIP: 55305 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TWO HARBORS INVESTMENT CORP. CENTRAL INDEX KEY: 0001465740 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 270312904 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 590 MADISON AVENUE STREET 2: 36TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 612-629-2500 MAIL ADDRESS: STREET 1: 590 MADISON AVENUE STREET 2: 36TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: Two Harbors Investment Corp. DATE OF NAME CHANGE: 20090605 4 1 wf-form4_151743453359598.xml FORM 4 X0306 4 2018-01-29 0 0001465740 TWO HARBORS INVESTMENT CORP. TWO 0001474958 ROTH WILLIAM TWO HARBORS INVESTMENT CORP. 590 MADISON AVENUE, 36TH FLOOR NEW YORK NY 10022 1 1 0 0 Chief Investment Officer Common stock, par value $0.01 per share 2018-01-29 4 S 0 44028 15.1626 D 744845 D The transaction reported on this Form 4 was effected pursuant to trading instructions given by the reporting person on November 20, 2017 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934. The reporting person sold the shares to satisfy income tax liabilities incurred as a result of vestings that occurred on January 26, 2018 and January 27, 2018 of restricted stock awards previously granted to the reporting person. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.12 to $15.19, inclusive. The reporting person undertakes to provide to Two Harbors Investment Corp., any security holder of Two Harbors Investment Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. /s/ William Roth 2018-01-31