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 26, 2011
WINTRUST FINANCIAL CORPORATION
(Exanct name of registrant as specified in its charter)
         
Illinois   001-35077   36-3873352
(State or other jurisdiction of   (Commission File Number)   (I.R.S. Employer Identification No.)
Incorporation)        
     
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:
o   Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
o   Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
o   Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
o   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 2011 Annual Meeting of Shareholders on May 26, 2011. At the meeting, the Company’s shareholders approved a proposal to amend the Company’s 2007 Stock Incentive Plan (the “Plan”) to (x) add an additional 2,860,000 shares of common stock to the number of shares that may be offered under the Plan, and (y) reapprove the material terms of the performance measures for the Plan, in accordance with Section 162(m) of the Internal Revenue Code of 1986, as amended. A more detailed description of the amended Plan is set forth in the Company’s Definitive Proxy Statement filed April 28, 2011 under the Securities Exchange Act of 1934 (the “Proxy Statement”) in the section entitled “Proposal No. 2 —Approval of an Amendment to the 2007 Stock Incentive Plan and Re-Approval of Performance Measures Available Under the 2007 Stock Incentive 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 2011 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 2010 executive compensation as described in the Company’s proxy statement, (iv) voted on an advisory (non-binding) proposal to determine whether future shareholder advisory votes to approve executive compensation should occur every one, two or three years and (v) ratified the appointment of Ernst & Young LLP to serve as the Company’s independent registered public accounting firm for the year 2011. 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
    29,521,870       692,356       1,913,458  
Bruce K. Crowther
    29,268,099       946,127       1,913,458  
Joseph F. Damico
    29,449,799       764,427       1,913,458  
Bert A Getz, Jr.
    29,708,582       505,644       1,913,458  
H. Patrick Hackett, Jr.
    29,703,003       511,223       1,913,458  
Scott K. Heitmann
    29,714,621       499,605       1,913,458  
Charles H. James III
    29,213,275       1,000,951       1,913,458  
Albin F. Moschner
    29,268,330       945,896       1,913,458  
Thomas J. Neis
    29,475,531       738,695       1,913,458  
Christopher J. Perry
    29,547,391       666,835       1,913,458  
Hollis W. Rademacher
    29,459,558       754,668       1,913,458  
Ingrid S. Stafford
    29,482,746       731,480       1,913,458  
Edward J. Wehmer
    29,564,281       649,945       1,913,458  
Proposal No. 2 — Amend the Company’s 2007 Stock Incentive Plan
                         
Votes For   Votes Against   Abstentions   Broker Non-Votes
25,904,524
    4,243,794       65,927       1,913,439  
Proposal No. 3 — Advisory Vote on 2010 Executive Compensation
                         
Votes For   Votes Against   Abstentions   Broker Non-Votes
29,010,141
    1,099,048       105,036       1,913,459  

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Proposal No. 4 — Advisory Vote on Frequency of Future Advisory Votes on Executive Compensation
                                 
Votes For “Every One Year”   Votes For “Every Two Years”   Votes for “Every Three Years”   Abstentions   Broker Non-Votes
26,796,267
    134,090       3,163,936       107,670       1,925,721  
Proposal No. 5 — Ratification of Independent Registered Public Accounting Firm
                         
Votes For   Votes Against   Abstentions   Broker Non-Votes
31,836,807
    266,350       24,527       0  
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
     
Exhibit    
 
   
10.1
  Wintrust Financial Corporation 2007 Stock Incentive 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 28, 2011).

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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/ David A. Dykstra    
    David A. Dykstra   
    Senior Executive Vice President and Chief Operating Officer   
 
Date: May 31, 2011

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INDEX TO EXHIBITS
     
Exhibit    
 
   
10.1
  Wintrust Financial Corporation 2007 Stock Incentive 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 28, 2011).

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