SEC Form 4 · accession 0001104659-17-017604
Walker & Dunlop, Inc. · WD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard M Lucas
Officer — EVP & Gen Counsel & Secretary
Period of report
Mar 15, 2017
Accepted (ET)
Mar 17, 2017 · 4:16 pm EDT
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 | Mar 15, 2017 | M | 14,562 | $0.00 | A | 170,593 | D | |
| Common Stock | Mar 15, 2017 | F | 6,719 | $41.34 | D | 163,874 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF1,F2 | — | Mar 15, 2017 | M | 9,708 | D | — | — | Common Stock | 9,708 | 0 | D |
| Restricted Stock UnitsF3,F4 | — | Mar 15, 2017 | M | 4,854 | D | — | — | Common Stock | 4,854 | 0 | D |
Explanation of responses
- F1Each deferred stock unit represents the right to receive one share of common stock of the Issuer.
- F2The deferred stock units are fully vested and were settled in shares of the Issuer's common stock on March 15, 2017 pursuant to the Walker & Dunlop, Inc., Management Deferred Stock Unit Purchase Plan.
- F3Each restricted stock unit represents the right to receive one share of common stock of the Issuer.
- F4The restricted stock units were settled in shares of the Issuer's common stock on March 15, 2017.