SEC Form 4 · accession 0001104659-18-050984
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
Aug 7, 2018
Accepted (ET)
Aug 9, 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 StockF1 | Aug 7, 2018 | D | 15,604 | $0.00 | D | 5,886 | I | By Spouse |
| Common Stock | holding | — | — | — | 59,145 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Dividend Equivalent RightsF2,F3 | — | Aug 7, 2018 | D | 33 | D | — | — | Common Stock | 33 | 0 | I |
| Restricted Stock UnitsF4,F5 | — | Aug 7, 2018 | D | 3,608 | D | — | — | Common Stock | 3,608 | 0 | I |
Explanation of responses
- F1Upon the reporting person's spouse's resignation from her position as an officer of the Company, each share of restricted stock held by the reporting person's spouse was forfeited to the Company.
- F2Each dividend equivalent right is the economic equivalent of one share of common stock of the Company.
- F3Upon the reporting person's spouse's resignation from her position as an officer of the Company, each dividend equivalent right held by the reporting person's spouse was forfeited to the Company.
- F4Each restricted stock unit represents the right to receive one share of common stock of the Company.
- F5Pursuant to the Company's Management Deferred Stock Unit Purchase Plan, as amended (the "Plan"), each restricted stock unit held by the reporting person's spouse was forfeited upon her resignation from her position as an officer of the Company.