0001104659-23-055030.txt : 20230502 0001104659-23-055030.hdr.sgml : 20230502 20230502161656 ACCESSION NUMBER: 0001104659-23-055030 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230501 FILED AS OF DATE: 20230502 DATE AS OF CHANGE: 20230502 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schwartz Faith A CENTRAL INDEX KEY: 0001853040 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13759 FILM NUMBER: 23879258 MAIL ADDRESS: STREET 1: 1 BELVEDERE PLCAE, SUITE 300 STREET 2: C/O REDWOOD TRUST, INC. CITY: MILL VALLEY STATE: CA ZIP: 94941 ISSUER: 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 BUSINESS ADDRESS: STREET 1: ONE BELVEDERE PLACE STREET 2: SUITE 300 CITY: MILL VALLEY STATE: CA ZIP: 94941 BUSINESS PHONE: (415) 380-2317 MAIL ADDRESS: STREET 1: ONE BELVEDERE PLACE STREET 2: SUITE 300 CITY: MILL VALLEY STATE: CA ZIP: 94941 4 1 tm2314331-2_4seq1.xml OWNERSHIP DOCUMENT X0407 4 2023-05-01 0 0000930236 REDWOOD TRUST INC RWT 0001853040 Schwartz Faith A 1 BELVEDERE PLACE, SUITE 300 MILL VALLEY CA 94941 1 0 0 0 0 Common Stock 2023-05-01 4 M 0 6756 6.28 A 6756 D Deferred Stock Units 12.00 2021-06-30 4 M 0 2265 0 D Common Stock 2265 0 D Deferred Stock Units 12.97 2021-09-30 4 M 0 2321 0 D Common Stock 2321 0 D Deferred Stock Units 13.25 2021-12-28 4 M 0 2170 0 D Common Stock 2170 0 D This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan. Represents the value (per stock unit or share of common stock) of the distribution and/or conversion of Deferred Stock Units, including to common stock under the Executive Deferred Compensation Plan, based on the fair market value of Redwood Trust, Inc. common stock on the transaction date. Represents fair market value RWT common stock on the grant date under the 2014 Incentive Award Plan. Deferred Stock Units were subject to a mandatory holding period and are being delivered to the Participant at the time provided in the Deferral Election Form, according to the terms and conditions of the Executive Deferred Compensation Plan. No expiration date is applicable to deferred stock units. Attorney-In-Fact: /s/ Andrew P. Stone 2023-05-02