-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, GT9BTI8txkAE0mtepmQHJh3eoiRwrnYZ4VRen6oDQTeWqq1R/jZLJp3m7wEQ+uQD e44BPGRK+hi6VhYg8W9lFw== 0000902561-01-000057.txt : 20010213 0000902561-01-000057.hdr.sgml : 20010213 ACCESSION NUMBER: 0000902561-01-000057 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WINTRUST FINANCIAL CORP CENTRAL INDEX KEY: 0001015328 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 363873352 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-53263 FILM NUMBER: 1532931 BUSINESS ADDRESS: STREET 1: 727 N BANK LANE CITY: LAKE FOREST STATE: IL ZIP: 60045 BUSINESS PHONE: 8476154096 MAIL ADDRESS: STREET 1: 727 N BANK LN CITY: LAKE FOREST STATE: IL ZIP: 60045 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ADAMS HOWARD D CENTRAL INDEX KEY: 0001055705 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: WINTRUST FINANCIAL CORP STREET 2: 727 NORTH BANK LANE CITY: LAKE FOREST STATE: IL ZIP: 60045 BUSINESS PHONE: 8476154096 SC 13G/A 1 0001.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FIELD PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 3 )* Wintrust Financial Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 97650W108 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2000 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 (the "Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following pages) Page 1 of 5 pages - ------------------------- --------------------------- CUSIP No. 97650W108 13G Page 2 of 5 Pages - ------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Howard D. Adams - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OR ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 199,842 ---------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 29,463 OWNED BY ---------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 199,842 WITH ---------------------------------------------- 8 SHARED DISPOSITIVE POWER 29,463 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 229,305 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.7% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 5 pages Item 1 (a) Name of Issuer: Wintrust Financial Corporation -------------------------------------------------------------- (b) Address of Issuer's Principal Executive Offices: 727 North Bank Lane -------------------------------------------------------------- Lake Forest, Illinois 60045 -------------------------------------------------------------- Item (a) Name of Person Filing: Howard D. Adams. (b) Address of Principal Business Office: The address of the principal business office of each of the above-named persons is: 570 Crabtree Lane Lake Forest, Illinois 60045 (c) Citizenship: U.S.A (d) Title of Class of Securities: Common Stock ------------ (e) CUSIP Number: 97650W108 ------------ Item 3 If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: Not Applicable (a) ( ) Broker or Dealer registered under Section 15 of the Act (b) ( ) Bank as defined in Section 3(a)(6) of the Act (c) ( ) Insurance Company as defined in Section 3(a)(19) of the Act (d) ( ) Investment Company registered under Section 8 of the Investment Company Act (e) ( ) Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940 (f) ( ) Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund (g) ( ) Parent Holding Company, in accordance withss.240.13d-1 (b)(1)(ii)(G) (h) ( ) Group, in accordance withss.240.13d-1 (b)(1)(ii)(H) Page 3 of 5 pages Item 4 Ownership (a) Amount Beneficially Owned 229,305 shares --------------------------------- (b) Percent of Class 2.7 % --------------------------------- (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 199,842 shares* -------------------------------- (ii) Shared power to vote or to direct the vote 29,463 shares** ------------------------------- (iii) Sole power to dispose or to direct the disposition of 199,842 shares* ------------------------------ (iv) Shared power to dispose or to direct the disposition of 29,463 shares** ------------------------------ ------------- * Includes 8,735 shares subject to currently exercisable warrants. Also includes 27,137 shares held in trust for the benefit of Mr. Adams' son and 3,957 shares held in a charitable foundation with respect to which shares Mr. Adams disclaims beneficial ownership. ** Reflects shares held by Mr. Adams' wife. Item 5 Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X]. Item 6 Ownership of More than Five Percent on Behalf of Another Person Not Applicable. Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. Not Applicable. Item 8 Identification and Classification of Members of the Group Not Applicable. Item 9 Notice of Dissolution of Group Not Applicable. Page 4 of 5 pages Item 10 Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 8, 2001 /s/ Howard D. Adams ------------------------------------- Howard D. Adams Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----