0001465740-18-000105.txt : 20180802 0001465740-18-000105.hdr.sgml : 20180802 20180802170633 ACCESSION NUMBER: 0001465740-18-000105 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180731 FILED AS OF DATE: 20180802 DATE AS OF CHANGE: 20180802 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STERN JAMES A CENTRAL INDEX KEY: 0001193798 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34506 FILM NUMBER: 18989361 MAIL ADDRESS: STREET 1: C/O OHA - 1114 AVENUE OF THE AMERICAS STREET 2: 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TWO HARBORS INVESTMENT CORP. CENTRAL INDEX KEY: 0001465740 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 270312904 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 590 MADISON AVENUE STREET 2: 36TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 612-629-2500 MAIL ADDRESS: STREET 1: 590 MADISON AVENUE STREET 2: 36TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: Two Harbors Investment Corp. DATE OF NAME CHANGE: 20090605 4 1 wf-form4_153324397673485.xml FORM 4 X0306 4 2018-07-31 0 0001465740 TWO HARBORS INVESTMENT CORP. TWO 0001193798 STERN JAMES A 575 LEXINGTON AVENUE SUITE 2930 NEW YORK NY 10022 1 0 0 0 Common stock, par value $0.01 per share 2018-07-31 4 A 0 5654 15.50 A 5654 D Common stock, par value $0.01 per share 2018-07-31 4 A 0 63348 15.50 A 69002 D Common stock, par value $0.01 per share 2018-07-31 4 A 0 7799 15.50 A 7799 I Shares Held in trust for which the reporting person's brother is trustee. Represents a common stock award for service as a director, issued under Two Harbors Investment Corp.'s Second Restated 2009 Equity Incentive Plan. On July 31, 2018, pursuant to the Agreement and Plan of Merger, dated April 25, 2018 (the "Merger Agreement"), among the Issuer, Eiger Merger Subsidiary LLC, a wholly owned subsidiary of the Issuer ("Merger Sub"), and CYS Investments, Inc. ("CYS"), Merger Sub merged with and into CYS (the "Merger"), with CYS surviving the Merger as a wholly owned subsidiary of the Issuer. At the effective time of the merger, each share of CYS common stock outstanding immediately prior to the effective time was converted into the right to receive 0.4680 shares of Two Harbors common stock as well as cash consideration of $0.0965 per share. As of the date of this report, the final merger consideration allocable to the reporting person is not available. The reporting person undertakes to amend the report if the number of shares resulting from the final calculation differs materially from the estimated number of shares reported as beneficially owned herein. /s/ James A. Stern, By: Rebecca B. Sandberg, Attorney-in-Fact 2018-08-02