WILLIAM ROTH

CIK 1474958 · Chief Investment Officer · last filed 2019-01-30

WILLIAM ROTH is a Chief Investment Officer who has filed 29 SEC Form 4 insider transactions across 3 companies since 2010. The most recent filing shows the insider sold $839.1K of TWO on Jan 30, 2019. Across all open-market trades the lifetime net is −$1.3M, making them a net seller over the disclosed history. Current disclosed insider exposure totals $2.3M across reported positions.

"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.

Disclosed Exposure

$2.30M

Companies

3

Total Filings

29

Lifetime Open-Market Net

-$1.31M

Holdings By Company

Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.

Symbol	Role	Shares	Price	Disclosed Exposure	Lifetime OM Net	Filings	Latest Filed
TWO	Chief Investment Officer	172,874	$12.11	$2.09M	-$2.30M	12	2019-01-30
GPMT	Director	153,829	$1.34	$206.1K	$468.1K	2	2017-11-13
TWO HARBORS INVESTMENT CORP. (TWO.WS) Delisted	Vice President, CIO	337,311	—	—	$525.0K	15	2013-05-31

Recent Filings

29 filings

Insider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.

Filed	Symbol	Action	Net Shares	Net $	Link
2019-01-30	TWO	Sell (S)	−58,040	-$839.1K	EDGAR
2019-01-29	TWO	Grant (A)	+20,833	$300.0K	EDGAR
2018-05-16	TWO	Sell (S)	−16,141	-$251.0K	EDGAR
2018-01-31	TWO	Sell (S)	−44,028	-$667.6K	EDGAR
2018-01-29	TWO	Grant (A)	+109,126	$1.65M	EDGAR
2017-11-13	GPMT	Buy (P)	+10,000	$175.6K	EDGAR
2017-06-30	GPMT	Buy (P)	+15,000	$292.5K	EDGAR
2017-01-30	TWO	Grant (A)	+274,599	$2.40M	EDGAR
2016-01-28	TWO	Grant (A)	+327,421	$2.40M	EDGAR
2015-11-16	TWO	Buy (P)	+10,000	$82.8K	EDGAR

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Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.