SEC Form 4 · accession 0001212545-16-000288
WESTERN ALLIANCE BANCORPORATION · WAL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cary Mack
Director
Period of report
Jan 26, 2016
Accepted (ET)
Jan 28, 2016 · 7:48 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 | Feb 6, 2012 | G | 6,188 | $0.00 | D | 35,672 | D | |
| Common Stock | Feb 6, 2012 | G | 6,188 | $0.00 | A | 142,510 | I | The Mack Family Trust |
| Common Stock | Apr 26, 2013 | G | 4,082 | $0.00 | D | 31,590 | D | |
| Common Stock | Apr 26, 2013 | G | 4,082 | $0.00 | A | 146,592 | I | The Mack Family Trust |
| Common Stock | Apr 27, 2015 | G | 10,500 | $0.00 | D | 0 | I | Result III, LLC |
| Common Stock | Apr 27, 2015 | G | 3,500 | $0.00 | A | 3,500 | I | As custodian for son |
| Common Stock | Apr 27, 2015 | G | 3,500 | $0.00 | A | 3,500 | I | As custodian for son |
| Common Stock | Apr 27, 2015 | G | 3,500 | $0.00 | A | 3,500 | I | As custodian for daughter |
| Common Stock | Jan 26, 2016 | A | 4,500 | $0.00 | A | 36,090 | D | |
| Common Stock | Jan 28, 2016 | M | 5,000 | $7.61 | A | 41,090 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy) | $7.61 | Jan 28, 2016 | M | 5,000 | D | Jan 30, 2013 | Jan 30, 2016 | Common Stock | 5,000 | 0 | D |
Explanation of responses
- F1The Reporting Person transferred 6,188 shares to The Mack Family Trust on February 6, 2012 and 4,082 shares to The Mack Family Trust on April 26, 2013.
- F2On April 27, 2015, Result III LLC transferred 3,500 shares to each child of the Reporting Person.