SEC Form 4 · accession 0001212545-15-000223
WESTERN ALLIANCE BANCORPORATION · WAL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Gary Sarver
Officer — Chairman and CEO · Director
Period of report
Nov 6, 2015
Accepted (ET)
Nov 10, 2015 · 5:20 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001212545
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 6, 2015 | G | 10,000 | $0.00 | D | 1,239,052 | D | |
| Common StockF1 | Nov 6, 2015 | S | 69,977 | $38.3115 | D | 1,169,075 | D | |
| Common Stock | holding | — | — | — | 30,000 | I | Spouse | |
| Common Stock | holding | — | — | — | 189,758 | I | Sarver Family Trust dated 09/29/1997 | |
| Common Stock | holding | — | — | — | 166,022 | I | SF III Ltd Partnership | |
| Common Stock | holding | — | — | — | 33,105 | I | Vulture II Corporation | |
| Common Stock | holding | — | — | — | 5,149 | I | Robert G. Sarver Trust dated 09/29/1997 | |
| Common StockF2 | holding | — | — | — | 6,193 | I | 401K Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.19 to $38.49, inclusive. The reporting person undertakes to provide to Western Alliance Bancorporation, any security holder of Western Alliance Bancorporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
- F2Reflects shares held in the 401K Plan to include employer match as of 10/29/15.