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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Two Harbors Investment Corp. 601 CARLSON PARKWAY SUITE 1400 MINNETONKA, MN 55305 |
X | |||
TWO HARBORS ASSET I, LLC 601 CARLSON PARKWAY SUITE 1400 MINNETONKA, MN 55305 |
X | |||
TWO HARBORS OPERATING Co LLC 601 CARLSON PARKWAY SUITE 1400 MINNETONKA, MN 55305 |
X |
/s/ Thomas Siering, President and Chief Executive Officer of Two Harbors Investment Corp. | 04/03/2013 | |
**Signature of Reporting Person | Date | |
/s/ Thomas Siering, President and Chief Executive Officer of Two Harbors Asset I, LLC | 04/03/2013 | |
**Signature of Reporting Person | Date | |
/s/ Thomas Siering, President and Chief Executive Officer of Two Harbors Operating Company LLC | 04/03/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | April 2, 2013 represents the record date for the special dividend declared by Two Harbors Investment Corp. on March 18, 2013, pursuant to which the securities are to be distributed on a pro rata basis to the stockholders of Two Harbors Investment Corp. The securities were previously owned directly by Two Harbors Asset I, LLC, a wholly owned subsidiary of Two Harbors Operating Company LLC, which is a wholly owned subsidiary of Two Harbors Investment Corp. The securities were subsequently transferred into the name of Two Harbors Investment Corp. in order to effect the special dividend. |