UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 8-K

 

 

Current Report

Pursuant to Section 13 or 15(d) of The

Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): May 24, 2012

 

 

WINTRUST FINANCIAL CORPORATION

(Exact name of registrant as specified in its charter)

 

 

 

Illinois   001-35077   36-3873352

(State or other jurisdiction

of Incorporation)

 

(Commission

File Number)

 

(I.R.S. Employer

Identification No.)

727 North Bank Lane

Lake Forest, Illinois

  60045
(Address of principal executive offices)   (Zip Code)

Registrant’s telephone number, including area code (847) 615-4096

Not Applicable

(Former name or former address, if changed since last year)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 


Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

Wintrust Financial Corporation (the “Company”) held its 2012 Annual Meeting of Shareholders on May 24, 2012. At the meeting, the Company’s shareholders approved a proposal to amend the Company’s Employee Stock Purchase Plan (the “Plan”) to increase the number of shares that may be offered under the Plan by 300,000. A more detailed description of the amended Plan is set forth in the Company’s Definitive Proxy Statement filed April 24, 2012 under the Securities Exchange Act of 1934 (the “Proxy Statement”) in the section entitled “Proposal No. 2 –Approval of the Amended and Restated Employee Stock Purchase Plan” and is incorporated herein by reference. Such description is qualified in its entirety by reference to the text of the amended Plan, which is attached to the Proxy Statement as Annex A and incorporated herein by reference as Exhibit 10.1.

Item 5.07. Submission of Matters to a Vote of Security Holders.

At the Company’s 2012 Annual Meeting of Shareholders, the Company’s shareholders (i) elected all thirteen of the Company’s director nominees, (ii) approved the proposed amendments to the Plan, (iii) approved an advisory (non-binding) proposal approving the Company’s 2011 executive compensation as described in the Company’s proxy statement, (iv) approved a proposal to amend the Company’s Amended and Restated Articles of Incorporation to increase the number of authorized shares of the Company’s common stock from 60,000,000 to 100,000,000 and (v) ratified the appointment of Ernst & Young LLP to serve as the Company’s independent registered public accounting firm for the year 2012. The results of the vote at the meeting were as follows:

Proposal No. 1 — Election of Directors

 

Name

   Votes For      Abstentions      Broker Non-Votes  

Peter D. Crist

     31,249,177         363,651         2,242,596   

Bruce K. Crowther

     31,069,852         542,976         2,242,596   

Joseph F. Damico

     31,285,111         327,717         2,242,596   

Bert A Getz, Jr.

     31,271,216         341,612         2,242,596   

H. Patrick Hackett, Jr.

     31,467,663         145,165         2,242,596   

Scott K. Heitmann

     31,469,789         143,039         2,242,596   

Charles H. James III

     31,298,955         313,873         2,242,596   

Albin F. Moschner

     31,149,108         463,720         2,242,596   

Thomas J. Neis

     31,240,695         372,133         2,242,596   

Christopher J. Perry

     31,284,246         328,582         2,242,596   

Ingrid S. Stafford

     31,084,947         527,881         2,242,596   

Sheila G. Talton

     31,299,082         313,746         2,242,596   

Edward J. Wehmer

     31,272,843         339,985         2,242,596   

Proposal No. 2 — Amend the Company’s Stock Purchase Plan

 

Votes For

 

Votes Against

 

Abstentions

 

Broker Non-Votes

31,137,576

  398,767   76,486   2,242,595

Proposal No. 3 — Advisory Vote on 2011 Executive Compensation

 

Votes For

 

Votes Against

 

Abstentions

 

Broker Non-Votes

30,918,847

  658,667   35,314   2,242,596

 

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Proposal No. 4 — Amend the Company’s Amended and Restated Articles of Incorporation

 

Votes For

 

Votes Against

 

Abstentions

 

Broker Non-Votes

30,612,483

  3,170,713   50,760   21,468

Proposal No. 5 — Ratification of Independent Registered Public Accounting Firm

 

Votes For

 

Votes Against

 

Abstentions

 

Broker Non-Votes

33,480,056

  306,967   68,400   1

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits

Exhibit

 

10.1 Wintrust Financial Corporation Employee Stock Purchase Plan, as amended (incorporated by reference to Annex A of the Company’s Definitive Proxy Statement filed with the Securities and Exchange Commission on April 24, 2012).

 

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Signature

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

WINTRUST FINANCIAL

CORPORATION

(Registrant)

By:    /s/ Lisa J. Pattis
  Lisa J. Pattis
  Executive Vice President and General Counsel

Date: May 25, 2012

 

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INDEX TO EXHIBITS

Exhibit

 

10.1    Wintrust Financial Corporation Employee Stock Purchase Plan, as amended (incorporated by reference to Annex A of the Company’s Definitive Proxy Statement filed with the Securities and Exchange Commission on April 24, 2012).

 

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