SEC Form 4
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
WESTERN ALLIANCE BANCORPORATION [ WAL ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/21/2011 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 12/21/2011 | G | 31,000 | A | $0 | 31,000(1) | I | Art and Jayn Marshall Trust DTD 7/2/1973 | ||
Common Stock | 0(2) | I | Art and Jayn Marshall Trust DTD 7/2/1973 | |||||||
Common Stock | 31,000(2) | I | Jayn Marshall Family GST Exempt U/A DTD 7/29/1973 | |||||||
Common Stock | 81,481 | D | ||||||||
Common Stock | 626,499 | I | The Todd Marshall Trust under the T&C Marshall 1999 Irrevocable Trust | |||||||
Common Stock | 28,471 | I | The Todd Marshall Revocable Family Trust dated 4/13/00 | |||||||
Common Stock | 33,069 | I | The Todd Marshall 1997 Trust FBO Alexis Victoria Marshall Trust | |||||||
Common Stock | 33,069 | I | The Todd Marshall 1997 Trust FBO Jessica Lauren Marshall Trust | |||||||
Common Stock | 185,724 | I | The Arthur Marshall Family 1993 Irrevocable Trust | |||||||
Common Stock | 6,570 | I | Jessica L. Marshall Trust 12/27/1996 | |||||||
Common Stock | 6,570 | I | Alexis V. Marshall Trust 12/27/1996 | |||||||
Common Stock | 40,000 | I | The J&A Educational Family LP No. 1 |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. On December 21, 2011, the Art and Jayn Marshall Trust DTD 7/2/1973 (the "Art and Jayn Trust") received 31,000 shares from the Arthur Trust DTD 7/2/1973 (the "Arthur Trust"). Because the Reporting Person was a trustee of the Art and Jayn Trust, and not a trustee of the Arthur Trust, the transfer was a gift that should have been included in the Reporting Person's Form 4 filings. |
2. On February 2, 2012, the Art and Jayn Trust transferred 31,000 shares to the Jayn Marshall Family GST Exempt U/A DTD 7/29/73 (the "Jayn Marshall Trust"), of which the Reporting Person is also a trustee. No transactions have subsequently occurred that would effect the balance of securities reported in the Jayn Marshall Trust. |
Remarks: |
/s/Randall S. Theisen (Attorney-in-fact) | 04/12/2018 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |