SEC Form 4 · accession 0001104659-16-156252
Walker & Dunlop, Inc. · WD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Howard W Smith III
Officer — President · Director
Period of report
Nov 8, 2016
Accepted (ET)
Nov 10, 2016 · 4:30 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 StockF2 | Nov 8, 2016 | S | 7,000 | $28.0168 | D | 970,105 | D | |
| Common StockF3 | Nov 9, 2016 | S | 21,756 | $28.0452 | D | 948,349 | D | |
| Common Stock | holding | — | — | — | 3,804 | I | As Custodian for Daughter 1 | |
| Common Stock | holding | — | — | — | 3,804 | I | By ADS 2015 Trust | |
| Common Stock | holding | — | — | — | 3,600 | I | By HWS IV 2012 Trust | |
| Common Stock | holding | — | — | — | 3,804 | I | By MHS 2010 Trust | |
| Common Stock | holding | — | — | — | 3,804 | I | By MMAS 2008 Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2015.
- 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 $28.06. 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.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.00 to $28.09. The reporting person undertakes to provide 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.