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EX-10.1 - EXHIBIT 10.1 AMENDED AND RESTATED EMPLOYEE STOCK PURCHASE PLAN - WINTRUST FINANCIAL CORPform8-k2018resultsxexhibit.htm


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, 2018

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.)
 
 
9700 West Higgins Road
Rosemont, Illinois
 
60018
(Address of principal executive offices)
 
(Zip Code)

Registrant’s telephone number, including area code (847) 939-9000

N/A
(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))





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

Wintrust Financial Corporation (the "Company") held its 2018 Annual Meeting of the Shareholders (the "Annual Meeting") on May 24, 2018. At the Annual Meeting, the Company’s shareholders (i) elected all twelve of the Company’s director nominees, (ii) approved the amended and restated employee stock purchase plan to increase the number of shares that may be offered by 200,000 shares of common stock, (iii) approved an advisory (non-binding) proposal approving the Company’s 2017 executive compensation as described in the Company’s proxy statement, and (iii) ratified the appointment of Ernst & Young LLP to serve as the Company’s independent registered public accounting firm for the fiscal year 2018. The results of the vote at the Annual Meeting were as follows:

Proposal No. 1 — Election of Directors
 
 
Votes For
 
Votes Against
 
Abstentions
 
Broker Non-Votes
Peter D. Crist
 
48,393,159
 
1,283,916
 
35,351
 
2,656,535
Bruce K. Crowther
 
48,612,991
 
1,062,041
 
37,394
 
2,656,535
William J. Doyle
 
49,364,883
 
310,066
 
37,477
 
2,656,535
Zed S. Francis III
 
49,458,402
 
217,642
 
36,382
 
2,656,535
Marla F. Glabe
 
49,287,781
 
387,840
 
36,805
 
2,656,535
H. Patrick Hackett, Jr.
 
49,223,274
 
452,521
 
36,631
 
2,656,535
Scott K. Heitmann
 
49,216,072
 
459,980
 
36,374
 
2,656,535
Christopher J. Perry
 
49,595,801
 
80,460
 
36,165
 
2,656,535
Ingrid S. Stafford
 
48,699,536
 
976,969
 
35,921
 
2,656,535
Gary D. “Joe” Sweeney
 
49,319,077
 
354,671
 
38,678
 
2,656,535
Sheila G. Talton
 
49,165,267
 
510,795
 
36,364
 
2,656,535
Edward J. Wehmer
 
49,595,343
 
82,891
 
34,192
 
2,656,535

Proposal No. 2 — Amended and Restated Employee Stock Purchase Plan
Votes For
 
Votes Against
 
Abstentions
 
Broker Non-Votes
49,392,169
 
238,990
 
81,267
 
2,656,535

Proposal No. 3 — Advisory Vote on 2017 Executive Compensation
Votes For
 
Votes Against
 
Abstentions
 
Broker Non-Votes
49,222,893
 
361,425
 
128,108
 
2,656,535

Proposal No. 4 — Ratification of Independent Registered Public Accounting Firm
Votes For
 
Votes Against
 
Abstentions
 
Broker Non-Votes
50,881,365
 
1,445,044
 
42,552
 



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Item 9.01
Financial Statements and Exhibits
 
 
 
(d)
Exhibits
 
Exhibit No.
Description
 



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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/Kathleen M. Boege
 
 
 
Kathleen M. Boege
 
 
 
Executive Vice President, General Counsel and Corporate Secretary

Date: May 25, 2018


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