SEC Form 4/A · accession 0001212545-17-000162
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
Todd Marshall
Director
Period of report
Feb 13, 2017
Accepted (ET)
Apr 10, 2017 · 5:46 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 | Feb 13, 2017 | S | 29,535 | $51.25 | D | 400,000 | I | The Todd Marshall Trust under the T&C Marshall 1999 Irrevocable Trust |
| Common StockF2 | holding | — | — | — | 24,346 | D | ||
| Common StockF2 | holding | — | — | — | 0 | I | The Todd Marshall Revocable Trust UAD 4/1/03 | |
| Common Stock | holding | — | — | — | 15,949 | I | Todd Marshall 2012 IRREV REV TR U/A DTD 11/30/12 | |
| Common Stock | holding | — | — | — | 33,069 | I | The Todd Marshall 1997 Trust FBO Alexis Victoria Marshall Trust | |
| Common Stock | holding | — | — | — | 33,069 | I | The Todd Marshall 1997 Trust FBO Jessica Lauren Marshall Trust | |
| Common Stock | holding | — | — | — | 6,570 | I | Alexis V. Marshall Trust 12/27/1996 | |
| Common Stock | holding | — | — | — | 6,570 | I | Jessica L. Marshall Trust 12/27/1996 | |
| Common StockF3 | holding | — | — | — | 252,057 | I | The Arthur Marshall Family 1993 Irrevocable Trust |
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 $51.23 to $51.27, 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.
- F2This amendment reflects the following transactions, which were reported as having occurred in the Todd Marshall Revocable Trust UAD 4/1/03, but in fact occurred in the Todd Marshall Trust under the T&C Marshall 1999 Irrevocable Trust (the "1999 Trust") :(1) 15,000 shares purchased on August 1, 2005; (2) 15,000 shares purchased on August 2, 2005; (3) 25,000 shares purchased on August 25, 2006; (4) 20,000 shares purchased on February 28, 2007; and (5) 14,000 shares purchased on November 23,2010. Additionally, this amendment reflects the following transactions, which were reported as having occurred in the Reporting Person's direct holdings, but in fact occurred in the 1999 Trust: (1) 5,000 shares purchased on July 6, 2005; and (2) 6,000 shares purchased on February 8, 2008.
- F3On October 26, 2010, the Reporting Person was appointed as co-trustee and beneficiary of the Arthur Marshall Family 1993 Irrevocable Trust (the "Art Marshall Trust"), and on November 30, 2011, the reporting person began reporting the Art Marshall Trust in his holdings. In the November 30, 2011 filing, the Reporting Person erroneously reported the number of shares owned by the Trust to be 85,724, when in fact the Trust held 183,951 shares. Additionally, on December 20, 2013, the Trust made gifts totaling 1,769 shares. In consideration of the aforementioned events, this amendment reflects the number of shares currently held in the Trust.