SEC Form 4 · accession 0001104659-15-085847
Walker & Dunlop, Inc. · WD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William M Walker
Officer — Chairman & CEO · Director
Period of report
Dec 17, 2015
Accepted (ET)
Dec 18, 2015 · 6:35 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001497770
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 17, 2015 | M | 40,000 | $12.52 | A | 1,583,320 | D | |
| Common Stock | Dec 17, 2015 | M | 9,258 | $13.05 | A | 1,592,578 | D | |
| Common StockF1 | Dec 17, 2015 | S | 49,258 | $28.3783 | D | 1,543,320 | D | |
| Common Stock | Dec 18, 2015 | M | 59,827 | $13.05 | A | 1,603,147 | D | |
| Common StockF2 | Dec 18, 2015 | S | 59,827 | $28.2595 | D | 1,543,320 | D | |
| Common Stock | holding | — | — | — | 1,675 | I | As Custodian for Son 1 | |
| Common Stock | holding | — | — | — | 1,675 | I | As Custodian for Son 2 | |
| Common Stock | holding | — | — | — | 1,675 | I | As Custodian for Son 3 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $12.52 | Dec 17, 2015 | M | 40,000 | D | Mar 24, 2014 | Mar 24, 2021 | Common Stock | 40,000 | 0 | D |
| Stock Option | $13.05 | Dec 17, 2015 | M | 9,258 | D | Apr 30, 2015 | Apr 30, 2022 | Common Stock | 9,258 | 59,827 | D |
| Stock Option | $13.05 | Dec 18, 2015 | M | 59,827 | D | Apr 30, 2015 | Apr 30, 2022 | Common Stock | 59,827 | 0 | D |
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 $28.07 to $28.90. The reporting person undertakes to provide Walker & Dunlop, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.00 to $28.45. The reporting person undertakes to provide Walker & Dunlop, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.