0001144204-17-023942.txt : 20170502 0001144204-17-023942.hdr.sgml : 20170502 20170502161545 ACCESSION NUMBER: 0001144204-17-023942 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170501 FILED AS OF DATE: 20170502 DATE AS OF CHANGE: 20170502 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Stone Andrew P CENTRAL INDEX KEY: 0001487805 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13759 FILM NUMBER: 17805187 MAIL ADDRESS: STREET 1: 1 BELVEDERE PLACE, STE. 300 CITY: MILL VALLEY STATE: CA ZIP: 94941 4 1 v464972_4.xml OWNERSHIP DOCUMENT X0306 4 2017-05-01 0 0000930236 REDWOOD TRUST INC RWT 0001487805 Stone Andrew P 1 BELVEDERE PLACE SUITE 300 MILL VALLEY CA 94941 0 1 0 0 General Counsel Common Stock 2017-05-01 4 M 0 3730.00 17.07 A 49626.00 D Common Stock 2017-05-01 4 S 0 3730.00 17.24 D 45896.00 D Deferred Stock Units 19.2800 2017-05-01 4 F 0 4605.00 0.0000 D Common Stock 4605.00 3730.00 D Deferred Stock Units 19.2800 2017-05-01 4 M 0 3730.00 0.0000 D Common Stock 3730.00 0.00 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. Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person in February, 2017. This transaction was executed in multiple trades with prices ranging from $17.09 to $17.35, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Represents fair value of Deferred Stock Units, based on the original grant date fair market value. This disposition transaction represents a Compensation Committee approved withholding of securities incident to the payment of tax liability relating to the distribution and/or conversion of Deferred Stock Units in the Executive Deferred Compensation 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. Following these reported transactions, no other Deferred Stock Units with the same original grant date are beneficially owned. /s/ Andrew P. Stone 2017-05-01