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