SEC Form 4 · accession 0001015328-19-000037
WINTRUST FINANCIAL CORP · WTFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy Crane
Officer — EXECUTIVE VICE PRESIDENT
Period of report
Jan 24, 2019
Accepted (ET)
Jan 28, 2019 · 4:15 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 24, 2019 | A | 2,235 | $0.00 | A | 18,433 | D | |
| Common Stock | Jan 25, 2019 | M | 2,097 | $30.98 | A | 20,530 | D | |
| Common StockF2 | Jan 25, 2019 | S | 2,097 | $72.82 | D | 18,433 | D | |
| Common StockF3 | holding | — | — | — | 1,303 | I | By ESPP |
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 Option (right to buy) | $30.98 | Jan 25, 2019 | M | 2,097 | D | Jan 26, 2015 | Jan 26, 2019 | Common Stock | 2,097 | 0 | D |
Explanation of responses
- F1Represents stock awarded upon attainment of performance objectives under the Company's Long Term Incentive Program.
- F2The price reported is the weighted average price. The shares were sold in multiple transactions at prices ranging from $72.72 to $72.93, 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.
- F3Includes 96 shares purchased by reporting person during 2018 in the Company's Employee Stock Purchase Plan.