-----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, KCKu8VuPmHEL3rHVlF8FcF2y2L4vd4JCNVxEBBzkzReYdh/bhg/DpBgAgJEv4GP3 fo1zXnqTWH5Myn4ffukTQg== 0001233540-03-000001.txt : 20030821 0001233540-03-000001.hdr.sgml : 20030821 20030821124216 ACCESSION NUMBER: 0001233540-03-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030820 FILED AS OF DATE: 20030821 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NICHOLAS BRETT D CENTRAL INDEX KEY: 0001233540 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13759 FILM NUMBER: 03859600 BUSINESS ADDRESS: STREET 1: 591 REDWOOD HWY CITY: MILL VALLEY STATE: CA ZIP: 94941 BUSINESS PHONE: 415 389 7373 MAIL ADDRESS: STREET 1: 10 RICHMOND RD CITY: SAN ANSELMO STATE: CA ZIP: 94960 4 1 edgardoc.xml PRIMARY DOCUMENT X0201 4 2003-08-20 0 0000930236 REDWOOD TRUST INC RWT 0001233540 NICHOLAS BRETT D 10 RICHMOND ROAD SAN ANSELMO CA 94960 0 1 0 0 Vice President Common Stock 2003-08-20 4 M 0 3000 21.9375 A 5185 D Common Stock 2003-08-20 4 S 0 3000 41.0043 D 2185 D Non-Qualified Stock Option (right to buy) 21.9375 2003-08-20 4 M 0 3000 0 D 2003-05-04 2008-06-04 Common Stock 3000 7750 D Incentive Stock Option (right to buy) 20.25 2007-12-23 Common Stock 6836 6836 D Incentive Stock Option (right to buy) 24.5 2011-12-17 Common Stock 5268 5268 D Incentive Stock Option (right to buy) 27.05 2012-12-19 Common Stock 2045 2045 D Incentive Stock Option (right to buy) 29.25 2007-10-17 Common Stock 2991 2991 D Incentive Stock Option (right to buy) 36.875 2006-12-13 Common Stock 14500 14500 D Non-Qualified Stock Option (right to buy) 11.4375 2009-12-02 Common Stock 10000 10000 D Non-Qualified Stock Option (right to buy) 13.1875 2008-12-17 Common Stock 7100 7100 D Non-Qualified Stock Option (right to buy) 20.25 2007-12-23 Common Stock 1841 1841 D Non-Qualified Stock Option (right to buy) 24.5 2011-12-17 Common Stock 9732 9732 D Non-Qualified Stock Option (right to buy) 27.05 2012-12-19 Common Stock 22955 22955 D Stock Units in Deferred Compensation Plan 0 2003-02-27 2007-05-01 Common Stock 2592.24 2592.24 D The option becomes exercisable in four equal installments on the 4th day of May in 2000, 2001, 2002, and 2003. The option becomes exercisable in four equal installments on the 4th day of May in 1999, 2000, 2001, and 2002. Twenty-five percent of the options vest on January 1, 2003. The remaining seventy-five percent of the options vest in twelve quarterly installments from April 1, 2003 through January 1, 2006. Twenty-five percent of the options vest on January 1, 2004. The remaining seventy-five percent of the options vest in twelve quarterly installments from April 1, 2004 through January 1, 2007. 2,700 options are exercisable on December 31, 1996. The remaining options become exercisable in ten equal installments of 1,180 on the 4th day of May from 1997 through 2006. The option becomes exercisable in four equal installments on the 4th day of May in 2001, 2002, 2003, and 2004. Brett D. Nicholas 2003-08-21 -----END PRIVACY-ENHANCED MESSAGE-----