0001465740-14-000052.txt : 20140623 0001465740-14-000052.hdr.sgml : 20140623 20140603161832 ACCESSION NUMBER: 0001465740-14-000052 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140602 FILED AS OF DATE: 20140603 DATE AS OF CHANGE: 20140603 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROTH WILLIAM CENTRAL INDEX KEY: 0001474958 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34506 FILM NUMBER: 14887770 MAIL ADDRESS: STREET 1: TWO HARBORS INVESTMENT CORP. STREET 2: 601 CARLSON PARKWAY, SUITE 1400 CITY: MINNETONKA STATE: MN ZIP: 55305 4 1 wf-form4_140182670238315.xml FORM 4 X0306 4 2014-06-02 0 0001465740 TWO HARBORS INVESTMENT CORP. TWO 0001474958 ROTH WILLIAM TWO HARBORS INVESTMENT CORP. 590 MADISON AVENUE, 36TH FLOOR NEW YORK NY 10022 0 1 0 0 Vice President, CIO Common Stock 2014-06-02 4 S 0 20000 10.45 D 580334 D The transaction reported on this Form 4 was effected pursuant to trading instructions given by the reporting person on May 16, 2014 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934. The reporting person sold the shares to satisfy income tax liabilities incurred as a result of the vesting on May 29, 2014 of a restricted stock award previously granted to the reporting person. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.41 to $10.53, inclusive. The reporting person undertakes to provide to Two Harbors Investment Corp., any security holder of Two Harbors Investment Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4. /s/ William Roth 2014-06-03