SEC Form 4 · accession 0001104659-18-042612
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
Jun 25, 2018
Accepted (ET)
Jun 27, 2018 · 5:00 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 | Jun 25, 2018 | M | 4,504 | $18.03 | A | 118,374 | D | |
| Common Stock | Jun 25, 2018 | M | 15,496 | $17.05 | A | 133,870 | D | |
| Common StockF2 | Jun 25, 2018 | S | 5,902 | $57.3054 | D | 127,968 | D | |
| Common StockF3 | Jun 25, 2018 | S | 9,770 | $57.6155 | D | 118,198 | D | |
| Common StockF4 | Jun 25, 2018 | S | 4,328 | $57.9681 | D | 113,870 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $18.03 | Jun 25, 2018 | M | 4,504 | D | Apr 1, 2016 | Apr 1, 2023 | Common Stock | 4,504 | 0 | D |
| Stock Option | $17.05 | Jun 25, 2018 | M | 15,496 | D | Feb 15, 2017 | Feb 15, 2024 | Common Stock | 15,496 | 16,000 | D |
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 June 1, 2018.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.04 to $57.47. 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 $57.48 to $57.84. 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.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.85 to $58.56. 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.