SEC Form 4 · accession 0001104659-18-043253
Walker & Dunlop, Inc. · WD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard C Warner
Officer — EVP & Chief Credit Officer
Period of report
Jun 27, 2018
Accepted (ET)
Jun 29, 2018 · 5:01 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 27, 2018 | M | 4,233 | $12.52 | A | 70,878 | D | |
| Common Stock | Jun 27, 2018 | M | 5,958 | $13.05 | A | 76,836 | D | |
| Common Stock | Jun 27, 2018 | M | 6,918 | $18.03 | A | 83,754 | D | |
| Common StockF2 | Jun 27, 2018 | S | 9,381 | $55.6236 | D | 74,373 | D | |
| Common StockF3 | Jun 27, 2018 | S | 7,278 | $56.3829 | D | 67,095 | D | |
| Common StockF4 | Jun 27, 2018 | S | 4,200 | $57.358 | D | 62,895 | D | |
| Common Stock | Jun 28, 2018 | M | 17 | $12.52 | A | 62,912 | D | |
| Common Stock | Jun 28, 2018 | M | 518 | $13.05 | A | 63,430 | D | |
| Common Stock | Jun 28, 2018 | M | 1,238 | $18.03 | A | 64,668 | D | |
| Common StockF5 | Jun 28, 2018 | S | 1,773 | $55.3638 | D | 62,895 | D | |
| Common Stock | holding | — | — | — | 21,490 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy) | $12.52 | Jun 27, 2018 | M | 4,233 | D | Mar 24, 2014 | Mar 24, 2021 | Common Stock | 4,233 | 8,517 | D |
| Stock Options (right to buy) | $13.05 | Jun 27, 2018 | M | 5,958 | D | Apr 30, 2015 | Apr 30, 2022 | Common Stock | 5,958 | 13,473 | D |
| Stock Options (right to buy) | $18.03 | Jun 27, 2018 | M | 6,918 | D | Apr 1, 2016 | Apr 1, 2023 | Common Stock | 6,918 | 17,552 | D |
| Stock Options (right to buy) | $12.52 | Jun 28, 2018 | M | 17 | D | Mar 24, 2014 | Mar 24, 2021 | Common Stock | 17 | 8,500 | D |
| Stock Options (right to buy) | $13.05 | Jun 28, 2018 | M | 518 | D | Apr 30, 2015 | Apr 30, 2022 | Common Stock | 518 | 12,955 | D |
| Stock Options (right to buy) | $18.03 | Jun 28, 2018 | M | 1,238 | D | Apr 1, 2016 | Apr 1, 2023 | Common Stock | 1,238 | 16,314 | D |
Explanation of responses
- F1The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 25, 2018.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.37 to $55.95. 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 $56.00 to $56.92. 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 $57.13 to $57.89. 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.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.14 to $55.74. 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.