Form Type: 4

SEC EDGAR Link
Accession Number:0001853040-21-000009
Date:2021-08-27
Issuer: REDWOOD TRUST INC (RWT)
Original Submission Date:

Reporting Person:

SCHWARTZ FAITH A
1 BELVEDERE PLACE
SUITE 300 MILL VALLEY, CA 94941

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
DEFERRED STOCK UNITS 12.46 2021-08-27 deemed execution date A 1,203 (a) common stock 1,203 $12.46 1,203 direct
Footnotes
IDfootnote
f1 represents fair market value rwt common stock on the grant date under the 2014 incentive award plan.
f2 this transaction relates to the grant of deferred stock units as part of annual equity-based compensation for service on the board of directors.
f3 100% vested at grant.
f4 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 26, 2025.
f5 no expiration date is applicable to deferred stock units.
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