SEC Form 4 · accession 0001015328-18-000052
WINTRUST FINANCIAL CORP · WTFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard B Murphy
Officer — EXECUTIVE VICE PRESIDENT
Period of report
Jan 29, 2018
Accepted (ET)
Jan 31, 2018 · 4:17 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 Stock | Jan 29, 2018 | M | 9,872 | $44.11 | A | 39,365 | D | |
| Common Stock | Jan 29, 2018 | M | 7,560 | $40.87 | A | 46,925 | D | |
| Common StockF1 | Jan 29, 2018 | S | 17,432 | $87.49 | D | 29,493 | D | |
| Common Stock | holding | — | — | — | 434 | I | by Spouse | |
| Common Stock | holding | — | — | — | 3,199 | I | by 401(k) Plan |
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) | $44.11 | Jan 29, 2018 | M | 9,872 | D | Jan 22, 2018 | Jan 22, 2022 | Common Stock | 9,872 | 0 | D |
| Non-Qualified Stock Opion (right to buy) | $40.87 | Jan 29, 2018 | M | 7,560 | D | Jan 28, 2018 | Jan 28, 2023 | Common Stock | 7,560 | 3,778 | D |
Explanation of responses
- F1The price reported is the weighted average price. The shares were sold in multiple transactions at prices ranging from $87.25 to $87.81, 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.