SEC Form 4 · accession 0001015328-15-000021
WINTRUST FINANCIAL CORP · WTFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Dykstra
Officer — SENIOR EVP AND COO
Period of report
Jan 22, 2015
Accepted (ET)
Jan 26, 2015 · 4:39 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001015328
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 22, 2015 | A | 2,833 | $0.00 | A | 172,692 | D | |
| Common StockF2 | Jan 22, 2015 | A | 4,000 | $0.00 | A | 176,692 | D | |
| Common Stock | Jan 22, 2015 | M | 8,000 | $33.06 | A | 184,692 | D | |
| Common StockF3 | Jan 22, 2015 | S | 8,000 | $44.42 | D | 176,692 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Opion (right to buy)F4 | $44.11 | Jan 22, 2015 | A | 14,711 | A | — | Jan 22, 2022 | Common Stock | 14,711 | 14,711 | D |
| Non-Qualified Stock Opion (right to buy)F5 | $44.11 | Jan 22, 2015 | A | 19,000 | A | — | Jan 22, 2022 | Common Stock | 19,000 | 33,711 | D |
| Non-Qualified Stock Opion (right to buy)F6 | $33.06 | Jan 22, 2015 | M | 8,000 | D | — | Jan 24, 2015 | Common Stock | 8,000 | 0 | D |
Explanation of responses
- F1Represents stock awarded upon attainment of performance objectives under the Company's Long Term Incentive Program.
- F2Restricted Stock Units awarded under the Company's 2007 Stock Incentive Plan. Vests at a rate of one-third on each of the first three anniversaries of the date of grant.
- F3The price reported is the weighted average price. The shares were sold in multiple transactions at prices ranging from $44.31 to $44.49, inclusive. The reporting person undertakes to provide to the SEC, the issuer and any security holder full information regarding the number of shares and the prices at which the shares were sold.
- F4Option shares granted in conjunction with award under the Company's Long Term Incentive Program. Option shares vest at a rate of one-third on each of the first three anniversaries of the date of grant.
- F5Option shares granted under the Company's 2007 Stock Incentive Plan. Options vest at a rate of one-third on each of the first three anniversaries of the date of the grant.
- F6Option shares granted in conjunction with award under the Company's Stock Incentive Plan. Award shares vested at a rate of one-fifth each of the first five anniversaries of the date of grant.