1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Incentive Stock Option (right to buy)
|
Â
(1)
|
04/03/2010 |
Common Stock
|
4,000
|
$
14.8125
|
D
|
Â
|
Incentive Stock Option (right to buy)
|
Â
(1)
|
12/14/2010 |
Common Stock
|
5,000
|
$
17.625
|
D
|
Â
|
Non-Qualified Stock Option (right to buy)
|
Â
(1)
|
12/10/2013 |
Common Stock
|
7,500
|
$
52.46
|
D
|
Â
|
Non-Qualified Stock Option (right to buy)
|
Â
(1)
|
12/01/2014 |
Common Stock
|
5,152
|
$
58.23
|
D
|
Â
|
Non-Qualified Stock Option (right to buy)
|
Â
(1)
|
12/17/2011 |
Common Stock
|
416
|
$
58.87
|
D
|
Â
|
Stock Units in Deferred Compensation Plan
|
Â
(2)
|
Â
(3)
|
Common Stock
|
80,007.05
(4)
|
$
0
(5)
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
Options are currently exercisable |
(2) |
This transaction relates to the acquisition of Deferred Stock Units in accordance with the deferral election made according to the terms and conditions of the Redwood Trust Inc. Executive Deferred Compensation Plan. |
(3) |
No expiration date is applicable to deferred stock units. |
(4) |
Includes grants awarded annually from 2004 to 2009 with four year vesting schedule and voluntary deferrals of cash compensation in 2008 and 2009 into the Redwood Trust Executive Deferred Compensation Plan. |
(5) |
No exercise price is applicable to deferred stock units. |