SEC Form 4/A · accession 0001212545-17-000158
WESTERN ALLIANCE BANCORPORATION · WAL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Robert Gary Sarver
Officer — Chairman and CEO · Director
Period of report
Jan 25, 2012
Accepted (ET)
Apr 10, 2017 · 5:33 pm EDT
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 StockF1,F2,F3,F4,F5,F6 | Jan 25, 2012 | F | 3,471 | $8.19 | D | 119,448 | D | |
| Common StockF3,F4,F5,F7 | holding | — | — | — | 299,432 | I | Robert G. Sarver Trust dated 09/29/1997 | |
| Common StockF6 | holding | — | — | — | 5,000 | I | Children | |
| Common StockF3,F7 | holding | — | — | — | 739,882 | I | Sarver Family Trust dated 09/29/1997 | |
| Common StockF7 | holding | — | — | — | 89,822 | I | SF III Ltd Partnership | |
| Common StockF8 | holding | — | — | — | 6,185 | I | 401K Plan | |
| Common Stock | holding | — | — | — | 30,000 | I | Spouse | |
| Common Stock | holding | — | — | — | 33,105 | I | Vulture II Corporation |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This amendment properly states the number of shares sold for taxes as having been 3,471, whereas the original filing incorrectly stated the number of shares being sold as 3,783.
- F2Between the dates of April 11, 2012 and June 11, 2012, the Reporting Person received grants from the Company that represented a portion of the Reporting Person's salary. One of these grants inaccurately excluded 20 shares that were received during a biweekly pay period.
- F3This amendment reflects the following transfers between forms of ownership, which were inadvertently excluded from the Reporting Person's previous Form 4 filings: (1) 1,625,816 shares transferred from the Reporting Person's direct holdings ("Direct Holdings") to the Robert G. Sarver Trust dated 09/29/1997 (the "Sarver Trust") on June 3, 2010; (2) 438,671 shares transferred from Direct Holdings to the Sarver Family Trust dated 09/29/1997 (the "Family Trust") on June 3, 2010; (3) 4,329 shares transferred from Direct Holdings to the Family Trust on November 23, 2010; (4) 121,662 shares transferred from Direct Holdings to the Sarver Trust on November 23, 2010; (5) 92,854 shares transferred from Direct Holdings to the Sarver Trust on October 13, 2011; and (6) 75,000 shares transferred from the Sarver Trust to the Family Trust on January 9,2012.
- F4This amendment reflects the transfer of 4,960 shares on March 12, 2013 from the Reporting Person's direct holdings to the Sarver Trust, and the following sales, which were reported as having been from direct holdings, but were in fact from the Sarver Trust:(1) 100,000 shares sold on October 23, 2012; (2) 50,000 shares sold on October 24 2012; (3) 35,597 shares sold on January 29, 2013; (4) 18,311 shares sold on January 30, 2013; (5) 50,000 shares sold on February 1, 2013; (6) 25,000 shares sold on February 11, 2013; (7) 25,000 shares sold on February 12, 2013; (8) 50,000 shares sold on February 13, 2013; (9) 50,000 shares sold on February 19, 2013; (10) 50,000 shares sold on April 29, 2013; (11) 50,000 shares sold on April 30, 2013; (12) 100,000 shares sold on July 22,2013; (13) 25,000 shares sold on July 23, 2013; (14) 25,000 shares sold on July 24, 2013; and (15) 83,291 shares sold on December 9, 2013; and (16) 16,709 sold on December 10, 2013.
- F5This amendment reflects the transfer between forms of ownership of 61,308 shares on February 25, 2015 from the Reporting Person's direct holdings to the Sarver Trust, and the following transactions, which were reported as having been from direct holdings, but were in fact from the Sarver Trust: (1) 100,000 shares sold on January 27, 2014; (2) 61,308 shares sold on February 25, 2014; (3) 50,000 shares sold on April 23, 2014; (4) 25,000 shares sold on April 24, 2014; (5) 10,000 shares sold on October 30, 2014; (6) 25,000 shares sold on November 10, 2014; (7) 50,000 shares sold on May 13, 2015; (8) 50,000 shares sold on May 14, 2015; (9) 50,000 shares sold on May 20, 2015; (10) 30,000 shares sold on May 21, 2015; (11) 20,000 shares sold on May 22, 2015; (12) 10,000 shares gifted on November 6, 2015; (13) 69,977 shares sold on November 6, 2015; (14) 50,000 shares sold on November 23, 2016; and (15) 100,000 shares sold on December 1, 2016.
- F6These shares represent 5,000 shares which were previously reported as having belonged directly to the Reporting Person; such shares actually belong to the Reporting Person's children, and the Reporting Person disclaims ownership of these shares.
- F7This amendment reflects the following transfers between forms of ownership, which were inadvertently excluded from the Reporting Person's previous Form 4 filings: (1) the transfer of 18,924 shares from the Sarver Trust to the Family Trust on November 13, 2014; and (2) the transfer of 66,022 shares from the Sarver Trust to SF III Ltd Partnership on August 31, 2015.
- F8Reflects shares held in the 401K Plan to include employer match as of 3/30/17.