UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Deferred Stock Units | Â (1) | Â (2) | Common Stock | 8,355 (3) | $ 14.96 (4) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lola Bondar 1 BELVEDERE PLACE SUITE 300 MILL VALLEY, CA 94941 |
 |  |  Controller, Managing Director |  |
/s/ Lola Bondar | 08/02/2018 | |
**Signature of Reporting Person | Date |
* | 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) | Deferred Stock Units are subject to a mandatory holding period and will be delivered to the Participant at the time provided in a related Deferral Election Form, according to the terms and conditions of the Executive Deferred Compensation Plan. |
(2) | No expiration date is applicable to deferred stock units. |
(3) | Includes a grant of deferred stock units that was awarded in 2018, with a four-year vesting schedule. |
(4) | Represents fair market value RWT common stock on the grant date under the 2014 Incentive Award Plan. |