-----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, O5fUTlWv+qoVA4t6cRfcLcI0EBADfV7RT3xIP5b2A2DitEMvhK5xXz1cZY8bT/eR qOViHLiez3TW/AfL4SSAaA== 0000913849-98-000013.txt : 19980218 0000913849-98-000013.hdr.sgml : 19980218 ACCESSION NUMBER: 0000913849-98-000013 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980213 SROS: NASD 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 SEC ACT: SEC FILE NUMBER: 005-53263 FILM NUMBER: 98539811 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: MCCARTHY EMMETT D CENTRAL INDEX KEY: 0001055790 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 727 NORTH BANK LANE STREET 2: SUITE 303 CITY: LAKE FOREST STATE: IL ZIP: 60045 BUSINESS PHONE: 8472342882 MAIL ADDRESS: STREET 1: 727 NORTH BANK LANE STREET 2: SUITE 303 CITY: LAKE FOREST I STATE: IL ZIP: 60045 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ---------- SCHEDULE 13G (RULE 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. _____________) Wintrust Financial Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 97650W108 - -------------------------------------------------------------------------------- (CUSIP Number) ---------- 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 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). CUSIP NO. 97650W108 13G PAGE 1 OF 5 PAGES 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Emmett D. McCarthy - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER 44,621 shares ------------------------------------------------------ 6. SHARED VOTING POWER NUMBER OF SHARES 446,083 shares BENEFICIALLY ------------------------------------------------------ OWNED BY 7. SOLE DISPOSITIVE POWER EACH REPORTING 44,621 shares PERSON WITH ------------------------------------------------------ 8. SHARED DISPOSITIVE POWER 446,083 shares - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 490,704 shares - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.0% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- ITEM 1(A). NAME OF ISSUER: Wintrust Financial Corporation ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 727 North Bank Lane Lake Forest, Illinois 60045 ITEM 2(A). NAME OF PERSON FILING: Emmett D. McCarthy ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 727 North Bank Lane, Suite 303 Lake Forest, Illinois 60045 ITEM 2(C). CITIZENSHIP: U.S.A. ITEM 2(D). TITLE OF CLASS OF SECURITIES: Common Stock ITEM 2(E). CUSIP NUMBER: 97650 W 10 8 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 ITEM 4. OWNERSHIP. (a) Amount Beneficially Owned: 490,704 shares (b) Percent of Class: 6.0% 3 (c) Number of Shares as to which such person has: (i) Sole power to vote or direct the vote: 44,621 shares* (ii) Shared power to vote or direct the vote: 446,083 shares** (iii) Sole power to dispose or to direct the disposition of: 44,621 shares* (iv) Shared power to dispose or to direct the disposition of: 446,083 shares** ---------- * Includes 28,254 shares held in the Sarah Katherine Adams Trust, an irrevocable trust of which Mr. McCarthy is trustee. Mr. McCarthy disclaims beneficial ownership of such shares. ** Includes 176,311 shares, 28,962 shares subject to currently exercisable warrants and 17,689 shares subject to currently exercisable options to purchase shares which are held in the Alan W. Adams Family Trust, and 176,470 shares, 28,962 shares subject to currently exercisable warrants and 17,689 shares subject to currently exercisable options to purchase shares which are held in the Sarah K. Adams Family Trust, both irrevocable trusts of which Mr. McCarthy is co-trustee. Mr. McCarthy disclaims beneficial ownership of these shares. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. Not Applicable ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. See Item 4 above. 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 ITEM 10. CERTIFICATION. By signing below the undersigned certifies that, to the best of his knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer securities and were not acquired in the connection with or as a participant in any transaction having such purpose or effect. 4 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 13, 1998 /s/ EMMETT D. McCARTHY ---------------------- Emmett D. McCarthy 5 -----END PRIVACY-ENHANCED MESSAGE-----