-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, FrHUJezrrC54qg2j47ngJ0MkQ3gjkmpb6lz3HKFooM8HchkdBpoeNSXulqa+6WHB q2BgnaKlIlP5ldrK8ny6EA== 0000940180-97-000713.txt : 19970818 0000940180-97-000713.hdr.sgml : 19970818 ACCESSION NUMBER: 0000940180-97-000713 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970815 SROS: NASD SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-45335 FILM NUMBER: 97664508 BUSINESS ADDRESS: STREET 1: 591 REDWOOD HWY STREET 2: STE 3100 CITY: MILL VALLEY STATE: CA ZIP: 94941 BUSINESS PHONE: 4153897373 MAIL ADDRESS: STREET 1: 591 REDWOOD HIGHWAY STREET 2: STE 3100 CITY: MILL VALLEY STATE: CA ZIP: 94941 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ZWEIG DIMENNA PARTNERS L P CENTRAL INDEX KEY: 0000740450 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133185100 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 900 THIRD AVENUE STREET 2: 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2127559860 MAIL ADDRESS: STREET 1: 900 THIRD AVENUE STREET 2: 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 SC 13D/A 1 AMENDMENT NO.1 TO SCHEDULE 13D --------------------------- OMB APPROVAL --------------------------- OMB number: 3235-0145 Expires: December 31, 1997 Estimated average burden hours per response... 14.90 --------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Redwood Trust, Inc. ------------------------------------------------------------- (Name of Issuer) Common Stock --------------------------------------------------- (Title of Class of Securities) 758075402 ----------------------------------------- (CUSIP Number) Stuart B. Panish c/o Zweig-DiMenna Associates LLC, 900 Third Avenue New York, New York 10022 (212) 451-1100 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) August 13, 1997 ------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [_]. Check the following box if a fee is being paid with this statement [_]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). SCHEDULE 13D CUSIP No. 758075402 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Zweig-DiMenna Special Opportunities, L.P. Zweig-DiMenna Partners, L.P. Zweig-DiMenna International Limited Zweig-DiMenna International Managers, Inc., on behalf of a discretionary account Gotham Advisors, Inc., on behalf of a discretionary account 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] 3 SEC USE ONLY 4 SOURCE OF FUNDS* WC 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] 6 CITIZENSHIP OR PLACE OF ORGANIZATION Zweig-DiMenna Special Opportunities, L.P. - Delaware Zweig-DiMenna Partners, L.P. - New York Zweig-DiMenna International Limited - British Virgin Islands Zweig-DiMenna International Managers, Inc. - Delaware Gotham Advisors, Inc. - Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER Zweig-DiMenna Special Opportunities, L.P.- 166,100 Zweig-DiMenna International Limited-596,400 Zweig-DiMenna International Managers, Inc., on behalf of a discretionary account-135,600 Zweig-DiMenna Partners, L.P.-268,300 Gotham Advisors, Inc., on behalf of a discretionary account-75,100 8 SHARED VOTING POWER 0 9 SOLE DISPOSITIVE POWER Zweig-DiMenna Special Opportunities, L.P.- 166,100 Zweig-DiMenna International Limited-596,400 Zweig-DiMenna International Managers, Inc., on behalf of a discretionary account-135,600 Zweig-DiMenna Partners, L.P.-268,300 Gotham Advisors, Inc., on behalf of a discretionary account-75,100 10 SHARED DISPOSITIVE POWER 0 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Zweig-DiMenna Special Opportunities, L.P.- 166,100 Zweig-DiMenna International Limited-596,400 Zweig-DiMenna International Managers, Inc., on behalf of a discretionary account-135,600 Zweig-DiMenna Partners, L.P.-268,300 Gotham Advisors, Inc., on behalf of a discretionary account-75,100 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 Total-8.4% Zweig-DiMenna Special Opportunities, L.P.-1.1% Zweig-DiMenna International Limited-4.1% Zweig-DiMenna International Managers, Inc., on behalf of a discretionary account-0.9% Zweig-DiMenna Partners, L.P.-1.8% Gotham Advisors, Inc., on behalf of a discretionary account-0.5% 14 TYPE OF REPORTING PERSON* Zweig-DiMenna Special Opportunities, L.P. - PN Zweig-DiMenna Partners, L.P. - PN Zweig-DiMenna International Limited - CO Zweig-DiMenna International Managers, Inc. - CO Gotham Advisors, Inc. - CO SCHEDULE 13D - AMENDMENT NO. 1 Zweig-DiMenna Special Opportunities, L.P., Zweig-DiMenna International Limited, Zweig-DiMenna Partners, L.P., Zweig-DiMenna International Managers, Inc. and Gotham Advisors, Inc. hereby amend the Schedule 13D, filed with respect to shares of common stock, par value $.01 per share ("Shares") of Redwood Trust, Inc. ITEM 3 SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATIONS The first sentence of Item 3 is amended to read as follows: "The securities of Redwood Trust, Inc. were purchased at an aggregate cost of $53,574,908 with the investment capital of Zweig-DiMenna Special Opportunities, L.P., Zweig-DiMenna International Limited, Zweig-DiMenna Partners, L.P., the discretionary account managed by Zweig-DiMenna International Managers, Inc. (the "ZDIM Account") and the discretionary account managed by Gotham Advisors, Inc. (the "Gotham Account")." ITEM 5 INTEREST IN SECURITIES OF THE ISSUER The answer to Item 5 is amended to read as follows: a. Aggregate number of shares beneficially owned: Zweig-DiMenna Special Opportunities, L.P. - 166,100 Zweig-DiMenna International Limited - 596,400 Zweig-DiMenna Partners, L.P. - 268,300 ZDIM Account - 135,600 Gotham Account - 75,100 Percent of class beneficially owned: Zweig-DiMenna Special Opportunities, L.P. - 1.1% Zweig-DiMenna International Limited - 4.1% Zweig-DiMenna Partners, L.P. - 1.8% ZDIM Account - 0.9% Gotham Account - 0.5% b. Number of shares as to which there is sole power to vote: Zweig-DiMenna Special Opportunities, L.P. - 166,100 Zweig-DiMenna International Limited - 596,400 Zweig-DiMenna Partners, L.P. - 268,300 ZDIM Account - 135,600 Gotham Account - 75,100 Number of shares as to which there is shared power to vote or to direct the vote: Zweig-DiMenna Special Opportunities, L.P. - 0 Zweig-DiMenna International Limited - 0 Zweig-DiMenna Partners, L.P. - 0 ZDIM Account - 0 Gotham Account - 0 Number of shares as to which there is sole power to dispose or to direct the disposition: Zweig-DiMenna Special Opportunities, L.P. - 166,100 Zweig-DiMenna International Limited - 596,400 Zweig-DiMenna Partners, L.P. - 268,300 ZDIM Account - 135,600 Gotham Account - 75,100 Number of shares as to which there is shared power to dispose or to direct the disposition: Zweig-DiMenna Special Opportunities, L.P. - 0 Zweig-DiMenna International Limited - 0 Zweig-DiMenna Partners, L.P. - 0 ZDIM Account - 0 Gotham Account - 0 c. Since August 5, 1997, the date of our last 13D filing for Redwood Trust Inc., Zweig-DiMenna Special Opportunities, L.P., Zweig-DiMenna International Limited, Zweig-DiMenna Partners, L.P., the ZDIM Account and the Gotham Account purchased the Shares on the open market on the following dates and at the following prices and in the following amounts: ZWEIG-DIMENNA SPECIAL OPPORTUNITIES, L.P. DATE DESCRIPTION OF PURCHASE 8/8/97 Purchased 2,300 shares at $40.9286 a share 8/8/97 Purchased 4,000 shares at $40.7083 a share 8/11/97 Purchased 2,000 shares at $39.2083 a share 8/11/97 Purchased 2,700 shares at $39.4063 a share 8/12/97 Purchased 1,300 shares at $39.8125 a share 8/13/97 Purchased 13,400 shares at $36.6250 a share 8/14/97 Purchased 6,700 shares at $36.625 a share ZWEIG-DIMENNA INTERNATIONAL LIMITED DATE DESCRIPTION OF PURCHASE 8/8/97 Purchased 8,400 shares at $40.9286 a share 8/8/97 Purchased 14,500 shares at $40.7083 a share 8/11/97 Purchased 7,300 shares at $39.2083 a share 8/11/97 Purchased 9,600 shares at $39.4063 a share 8/12/97 Purchased 4,800 shares at $39.8125 a share 8/13/97 Purchased 48,000 shares at $36.6250 a share 8/14/97 Purchased 24,100 shares at $36.625 a share ZWEIG-DIMENNA PARTNERS, L.P. DATE DESCRIPTION OF PURCHASE 8/8/97 Purchased 3,800 shares at $40.9286 a share 8/8/97 Purchased 6,500 shares at $40.7083 a share 8/11/97 Purchased 3,200 shares at $39.2083 a share 8/11/97 Purchased 4,300 shares at $39.4063 a share 8/12/97 Purchased 2,200 shares at $39.8125 a share 8/13/97 Purchased 21,700 shares at $36.6250 a share 8/14/97 Purchased 10,800 shares at $36.625 a share ZDIM ACCOUNT DATE DESCRIPTION OF PURCHASE 8/8/97 Purchased 1,900 shares at $40.9286 a share 8/8/97 Purchased 3,200 shares at $40.7083 a share 8/11/97 Purchased 1,600 shares at $39.2083 a share 8/11/97 Purchased 2,200 shares at $39.4063 a share 8/12/97 Purchased 1,100 shares at $39.8125 a share 8/13/97 Purchased 10,800 shares at $36.6250 a share 8/14/97 Purchased 5,400 shares at $36.625 a share GOTHAM ACCOUNT DATE DESCRIPTION OF PURCHASE 8/8/97 Purchased 1,100 shares at $40.9286 a share 8/8/97 Purchased 1,800 shares at $40.7083 a share 8/11/97 Purchased 900 shares at $39.2083 a share 8/11/97 Purchased 1,200 shares at $39.4063 a share 8/12/97 Purchased 600 shares at $39.8125 a share 8/13/97 Purchased 6,100 shares at $36.6250 a share 8/14/97 Purchased 3,000 shares at $36.625 a share SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: August 14, 1997 ZWEIG-DiMENNA SPECIAL OPPORTUNITIES, L.P. By: Zweig-DiMenna Associates LLC, Managing General Partner By: /s/ Joseph A. DiMenna ---------------------- Name: Joseph A. DiMenna Title: A Managing Director of the Managing General Partner ZWEIG-DiMENNA INTERNATIONAL LIMITED By: Zweig-DiMenna International Managers, Inc., Investment Manager By: /s/ Joseph A. DiMenna ---------------------- Name: Joseph A. DiMenna Title:Executive Vice President ZWEIG-DiMENNA PARTNERS, L.P. By: Zweig-DiMenna Associates LLC, Managing General Partner By: /s/ Joseph A. DiMenna ---------------------- Name: Joseph A. DiMenna Title: A Managing Director of the Managing General Partner ZWEIG-DiMENNA INTERNATIONAL MANAGERS, INC. By: /s/ Joseph A. DiMenna ---------------------- Name: Joseph A. DiMenna Title: Executive Vice President GOTHAM ADVISORS, INC. By: /s/ Joseph A. DiMenna ---------------------- Name: Joseph A. DiMenna Title: Vice President -----END PRIVACY-ENHANCED MESSAGE-----