0001212545-17-000158.txt : 20170410 0001212545-17-000158.hdr.sgml : 20170410 20170410173348 ACCESSION NUMBER: 0001212545-17-000158 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120125 FILED AS OF DATE: 20170410 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: WESTERN ALLIANCE BANCORPORATION CENTRAL INDEX KEY: 0001212545 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE E. WASHINGTON STREET CITY: PHOENIX STATE: AZ ZIP: 85004 BUSINESS PHONE: 602-389-3500 MAIL ADDRESS: STREET 1: ONE E. WASHINGTON STREET STREET 2: SUITE 1400 CITY: PHOENIX STATE: AZ ZIP: 85004 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sarver Robert Gary CENTRAL INDEX KEY: 0001187511 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-32550 FILM NUMBER: 17754516 MAIL ADDRESS: STREET 1: C/O WESTERN ALLIANCE BANCORPORATION STREET 2: ONE E. WASHINGTON STREET, STE. 1400 CITY: PHOENIX STATE: AZ ZIP: 85004 FORMER NAME: FORMER CONFORMED NAME: SARVER ROBERT GARY DATE OF NAME CHANGE: 20020909 4/A 1 wf-form4a_149186001441791.xml FORM 4/A X0306 4/A 2012-01-25 2012-01-25 0 0001212545 WESTERN ALLIANCE BANCORPORATION WAL 0001187511 Sarver Robert Gary C/O WESTERN ALLIANCE BANCORPORATION ONE E. WASHINGTON STREET, STE 1400 PHOENIX AZ 85004 1 1 0 0 Chairman and CEO Common Stock 2012-01-25 4 F 0 3471 8.19 D 119448 D Common Stock 299432 I Robert G. Sarver Trust dated 09/29/1997 Common Stock 5000 I Children Common Stock 739882 I Sarver Family Trust dated 09/29/1997 Common Stock 89822 I SF III Ltd Partnership Common Stock 6185 I 401K Plan Common Stock 30000 I Spouse Common Stock 33105 I Vulture II Corporation This amendment properly states the number of shares sold for taxes as having been 3,471, whereas the original filing incorrectly stated the number of shares being sold as 3,783. Between the dates of April 11, 2012 and June 11, 2012, the Reporting Person received grants from the Company that represented a portion of the Reporting Person's salary. One of these grants inaccurately excluded 20 shares that were received during a biweekly pay period. This amendment reflects the following transfers between forms of ownership, which were inadvertently excluded from the Reporting Person's previous Form 4 filings: (1) 1,625,816 shares transferred from the Reporting Person's direct holdings ("Direct Holdings") to the Robert G. Sarver Trust dated 09/29/1997 (the "Sarver Trust") on June 3, 2010; (2) 438,671 shares transferred from Direct Holdings to the Sarver Family Trust dated 09/29/1997 (the "Family Trust") on June 3, 2010; (3) 4,329 shares transferred from Direct Holdings to the Family Trust on November 23, 2010; (4) 121,662 shares transferred from Direct Holdings to the Sarver Trust on November 23, 2010; (5) 92,854 shares transferred from Direct Holdings to the Sarver Trust on October 13, 2011; and (6) 75,000 shares transferred from the Sarver Trust to the Family Trust on January 9,2012. This amendment reflects the transfer of 4,960 shares on March 12, 2013 from the Reporting Person's direct holdings to the Sarver Trust, and the following sales, which were reported as having been from direct holdings, but were in fact from the Sarver Trust:(1) 100,000 shares sold on October 23, 2012; (2) 50,000 shares sold on October 24 2012; (3) 35,597 shares sold on January 29, 2013; (4) 18,311 shares sold on January 30, 2013; (5) 50,000 shares sold on February 1, 2013; (6) 25,000 shares sold on February 11, 2013; (7) 25,000 shares sold on February 12, 2013; (8) 50,000 shares sold on February 13, 2013; (9) 50,000 shares sold on February 19, 2013; (10) 50,000 shares sold on April 29, 2013; (11) 50,000 shares sold on April 30, 2013; (12) 100,000 shares sold on July 22,2013; (13) 25,000 shares sold on July 23, 2013; (14) 25,000 shares sold on July 24, 2013; and (15) 83,291 shares sold on December 9, 2013; and (16) 16,709 sold on December 10, 2013. This amendment reflects the transfer between forms of ownership of 61,308 shares on February 25, 2015 from the Reporting Person's direct holdings to the Sarver Trust, and the following transactions, which were reported as having been from direct holdings, but were in fact from the Sarver Trust: (1) 100,000 shares sold on January 27, 2014; (2) 61,308 shares sold on February 25, 2014; (3) 50,000 shares sold on April 23, 2014; (4) 25,000 shares sold on April 24, 2014; (5) 10,000 shares sold on October 30, 2014; (6) 25,000 shares sold on November 10, 2014; (7) 50,000 shares sold on May 13, 2015; (8) 50,000 shares sold on May 14, 2015; (9) 50,000 shares sold on May 20, 2015; (10) 30,000 shares sold on May 21, 2015; (11) 20,000 shares sold on May 22, 2015; (12) 10,000 shares gifted on November 6, 2015; (13) 69,977 shares sold on November 6, 2015; (14) 50,000 shares sold on November 23, 2016; and (15) 100,000 shares sold on December 1, 2016. These shares represent 5,000 shares which were previously reported as having belonged directly to the Reporting Person; such shares actually belong to the Reporting Person's children, and the Reporting Person disclaims ownership of these shares. This amendment reflects the following transfers between forms of ownership, which were inadvertently excluded from the Reporting Person's previous Form 4 filings: (1) the transfer of 18,924 shares from the Sarver Trust to the Family Trust on November 13, 2014; and (2) the transfer of 66,022 shares from the Sarver Trust to SF III Ltd Partnership on August 31, 2015. Reflects shares held in the 401K Plan to include employer match as of 3/30/17. /s/ Dale Gibbons (Attorney-in-fact) 2017-04-10