0001233547-16-000004.txt : 20160517 0001233547-16-000004.hdr.sgml : 20160517 20160517190029 ACCESSION NUMBER: 0001233547-16-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160516 FILED AS OF DATE: 20160517 DATE AS OF CHANGE: 20160517 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: BAUM RICHARD CENTRAL INDEX KEY: 0001233547 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13759 FILM NUMBER: 161658978 MAIL ADDRESS: STREET 1: 572 SUMMIT AVE CITY: MILL VALLEY STATE: CA ZIP: 94941 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2016-05-16 0 0000930236 REDWOOD TRUST INC RWT 0001233547 BAUM RICHARD 1 BELVEDERE PLACE SUITE 300 MILL VALLEY CA 94941 1 0 0 0 Common Stock 2016-05-16 4 M 0 3666.0 13.31 A 25794.14 D Common Stock 1758 I by IRA Deferred Stock Units 13.47 2016-05-16 4 A 0 6310.0 0.0 A Common Stock 6310 6310 D Deferred Stock Units 20.46 2016-05-16 4 M 0 3666.0 0.0 D Common Stock 3666 0 D This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock in 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 transaction date under the 2014 Incentive Award Plan. This transaction relates to the grant of Deferred Stock Units. 100% vested at grant. Shares are subject to a minimum mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 15, 2019. No expiration date is applicable to deferred stock units. Represents fair value of Deferred Stock Units, based on the original grant date fair market value. Shares are subject to a minimum mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 16, 2016. Attorney-In-Fact: Andrew P. Stone 2016-05-17