Insider · CIK 0001233546

ZAGUNIS HAROLD F

Reports to the SEC for 3 companies · MILL VALLEY, CA

sec.gov

Transactions

Companies

Filings

CIK

0001233546

Forms 4 and 5

Insider transactions

50 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2014-11-05	TPVGTriplePoint Venture Growth BDC Corp.P Purchase	Chief Financial Officer	PPurchase	+5,000 sh	$14.68	+$73.4K	22,495
2012-12-07	RWTREDWOOD TRUST INC · Deferred Stock UnitsA Award	Managing Director	AAward	+16.7K sh	—	—	16,697
2012-12-07	RWTREDWOOD TRUST INC · Performance Stock UnitsA Award	Managing Director	AAward	+22.2K sh	—	—	22,231
2012-05-01	RWTREDWOOD TRUST INCM Exercise/Conversion	Managing Director	MExercise/Conversion	+42.6K sh	—	—	76,819.17
2012-05-01	RWTREDWOOD TRUST INC · Deferred Stock UnitsF Tax Payment	Managing Director	FTax Payment	−21K sh	—	—	42,600
2012-05-01	RWTREDWOOD TRUST INC · Deferred Stock UnitsM Exercise/Conversion	Managing Director	MExercise/Conversion	−42.6K sh	—	—	0
2011-12-07	RWTREDWOOD TRUST INC · Deferred Stock UnitsA Award	Managing Director	AAward	+27K sh	—	—	27,014
2011-12-07	RWTREDWOOD TRUST INC · Performance Stock UnitsA Award	Managing Director	AAward	+27K sh	—	—	27,014
2011-05-02	RWTREDWOOD TRUST INCM Exercise/Conversion	Managing Director	MExercise/Conversion	+20.7K sh	—	—	33,426.17
2011-05-02	RWTREDWOOD TRUST INC · Deferred Stock UnitsM Exercise/Conversion	Managing Director	MExercise/Conversion	−20.7K sh	—	—	0
2011-05-02	RWTREDWOOD TRUST INC · Deferred Stock UnitsF Tax Payment	Managing Director	FTax Payment	−10.2K sh	—	—	0
2010-11-30	RWTREDWOOD TRUST INC · Deferred Stock UnitsA Award	Managing Director	AAward	+18.8K sh	—	—	18,750.28
2010-11-30	RWTREDWOOD TRUST INC · Performance Stock UnitsA Award	Managing Director	AAward	+18.8K sh	—	—	18,750.28
2010-05-02	RWTREDWOOD TRUST INC · Deferred Stock UnitsF Tax Payment	Managing Director	FTax Payment	−10.2K sh	—	—	20,740
2010-02-25	RWTREDWOOD TRUST INC · Stock Units in Deferred Compensation PlanA Award	Managing Director	AAward	+32.3K sh	—	—	32,309.59
2009-12-09	RWTREDWOOD TRUST INC · Stock Units in Deferred Compensation PlanA Award	Managing Director	AAward	+27.4K sh	—	—	27,434.84
2009-11-19	RWTREDWOOD TRUST INCM Exercise/Conversion	Managing Director	MExercise/Conversion	+707 sh	$11.44	+$8,086.313	12,004.17
2009-11-19	RWTREDWOOD TRUST INC · Non-Qualified Stock Option (right to buy)F Tax Payment	Managing Director	FTax Payment	−4,884 sh	—	—	1,116
2009-11-19	RWTREDWOOD TRUST INC · Non-Qualified Stock Option (right to buy)F Tax Payment	Managing Director	FTax Payment	−409 sh	—	—	707
2009-11-19	RWTREDWOOD TRUST INC · Non-Qualified Stock Option (right to buy)M Exercise/Conversion	Managing Director	MExercise/Conversion	−707 sh	—	—	0
2009-05-01	RWTREDWOOD TRUST INCM Exercise/Conversion	Managing Director	MExercise/Conversion	+1,806 sh	—	—	4,810.17
2009-05-01	RWTREDWOOD TRUST INCM Exercise/Conversion	Managing Director	MExercise/Conversion	+6,011 sh	—	—	10,821.17
2009-05-01	RWTREDWOOD TRUST INC · Stock Units in Deferred Compensation PlanF Tax Payment	Managing Director	FTax Payment	−3,756.43 sh	—	—	7,817
2009-05-01	RWTREDWOOD TRUST INC · Stock Units in Deferred Compensation PlanM Exercise/Conversion	Managing Director	MExercise/Conversion	−1,806 sh	—	—	6,011
2009-05-01	RWTREDWOOD TRUST INC · Stock Units in Deferred Compensation PlanM Exercise/Conversion	Managing Director	MExercise/Conversion	−6,011 sh	—	—	0
2008-01-16	RWTREDWOOD TRUST INC · Stock Units in Deferred Compensation PlanA Award	Managing Director	AAward	+31.3K sh	—	—	31,319
2006-05-01	RWTREDWOOD TRUST INCA Award	Managing Director	AAward	+1,588 sh	$42.47	+$67.4K	10,194
2006-05-01	RWTREDWOOD TRUST INC · Stock Units in Deferred Compensation PlanA Award	Managing Director	AAward	−2,592.24 sh	—	—	0
2005-07-21	RWTREDWOOD TRUST INC · Dividend Equivalent RightA Award	Managing Director	AAward	+236 sh	—	—	3,028.99
2005-07-21	RWTREDWOOD TRUST INC · Dividend Equivalent RightA Award	Managing Director	AAward	+163.56 sh	—	—	472.52
2005-04-21	RWTREDWOOD TRUST INC · Dividend Equivalent RightA Award	Managing Director	AAward	+240.89 sh	—	—	2,792.99
2005-04-21	RWTREDWOOD TRUST INC · Dividend Equivalent RightA Award	Managing Director	AAward	+166.94 sh	—	—	308.96
2005-01-21	RWTREDWOOD TRUST INC · Dividend Equivalent RightA Award	Managing Director	AAward	+204.93 sh	—	—	934.06
2005-01-21	RWTREDWOOD TRUST INC · Dividend Equivalent RightA Award	Managing Director	AAward	+142.02 sh	—	—	142.02
2004-12-10	RWTREDWOOD TRUST INC · Non-Qualified Stock Option (right to buy)A Award	Managing Director	AAward	+1,444.15 sh	—	—	1,444.15
2004-12-01	RWTREDWOOD TRUST INC · Non-Qualified Stock Option (right to buy)A Award	Managing Director	AAward	+12K sh	—	—	12,021
2004-12-01	RWTREDWOOD TRUST INC · Stock Units in Deferred Compensation PlanA Award	Managing Director	AAward	+6,011 sh	—	—	6,011
2004-10-21	RWTREDWOOD TRUST INC · Dividend Equivalent RightA Award	Managing Director	AAward	+173.89 sh	—	—	173.89
2004-04-21	RWTREDWOOD TRUST INC · Dividend Equivalent RightA Award	Managing Director	AAward	+366.82 sh	—	—	545.59
2004-01-21	RWTREDWOOD TRUST INC · Dividend Equivalent RightA Award	Managing Director	AAward	+178.77 sh	—	—	178.77
2003-11-21	RWTREDWOOD TRUST INCM Exercise/Conversion	Managing Director	MExercise/Conversion	+10K sh	$17.38	+$174K	14,427
2003-11-21	RWTREDWOOD TRUST INCS Sale	Managing Director	SSale	−10K sh	$55.66	−$557K	4,427
2003-11-21	RWTREDWOOD TRUST INCM Exercise/Conversion	Managing Director	MExercise/Conversion	+8,411 sh	$18.25	+$154K	12,838
2003-11-21	RWTREDWOOD TRUST INCS Sale	Managing Director	SSale	−8,411 sh	$55.66	−$468K	4,427
2003-11-21	RWTREDWOOD TRUST INCM Exercise/Conversion	Managing Director	MExercise/Conversion	+7,455.57 sh	—	—	11,882.57
2003-11-21	RWTREDWOOD TRUST INCS Sale	Managing Director	SSale	−7,455.57 sh	$55.66	−$415K	4,427
2003-11-21	RWTREDWOOD TRUST INCM Exercise/Conversion	Managing Director	MExercise/Conversion	+6,140.24 sh	—	—	10,567.24
2003-11-21	RWTREDWOOD TRUST INCS Sale	Managing Director	SSale	−6,140.24 sh	$55.66	−$342K	4,427
2003-11-21	RWTREDWOOD TRUST INC · Dividend Equivalent RightM Exercise/Conversion	Managing Director	MExercise/Conversion	−7,455.57 sh	—	—	0
2003-11-21	RWTREDWOOD TRUST INC · Dividend Equivalent RightM Exercise/Conversion	Managing Director	MExercise/Conversion	−6,140.24 sh	—	—	0

Recent filings

Accepted (ET)
Nov 64
TriplePoint Venture Growth BDC Corp.0001104659-14-077312
SEC(opens sec.gov)
Dec 114
ZAGUNIS HAROLD F0001233546-12-000002
SEC(opens sec.gov)
May 14
ZAGUNIS HAROLD F0001233546-12-000001
SEC(opens sec.gov)
Dec 84
ZAGUNIS HAROLD F0001233546-11-000003
SEC(opens sec.gov)
May 44/A
ZAGUNIS HAROLD F0001233546-11-000002
SEC(opens sec.gov)
May 34
ZAGUNIS HAROLD F0001233546-11-000001
SEC(opens sec.gov)
Dec 24
ZAGUNIS HAROLD F0001233546-10-000003
SEC(opens sec.gov)
Feb 264
ZAGUNIS HAROLD F0001233546-10-000001
SEC(opens sec.gov)
Dec 114
ZAGUNIS HAROLD F0001233546-09-000003
SEC(opens sec.gov)
Nov 204
ZAGUNIS HAROLD F0001233546-09-000002
SEC(opens sec.gov)

Companies

Address

1 BELVEDERE PLACE SUITE 300

MILL VALLEY, CA, 94941