SEC Form 4 · accession 0001104659-18-060360
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
Oct 1, 2018
Accepted (ET)
Oct 3, 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,F2,F3 | Oct 1, 2018 | S | 24,600 | $52.8695 | D | 193,309 | D | |
| Common StockF1,F4 | Oct 1, 2018 | S | 400 | $53.1975 | D | 192,909 | D | |
| Common Stock | holding | — | — | — | 388,497 | I | The HIII 2011 Trust | |
| Common Stock | holding | — | — | — | 4,764 | I | As Custodian for Daughter 1 | |
| Common Stock | holding | — | — | — | 4,764 | I | By ADS 2015 Trust | |
| Common Stock | holding | — | — | — | 4,560 | I | By HWS IV 2012 Trust | |
| Common Stock | holding | — | — | — | 4,764 | I | By MHS 2010 Trust | |
| Common Stock | holding | — | — | — | 4,422 | 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 10, 2017.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.17 to $53.17. 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.
- F3Excludes 388,497 shares previously reported as owned directly, which were contributed to The HIII 2011 Trust for no consideration since the date of the reporting person's last Form 4.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $53.18 to $53.21. 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.