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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Walker William M C/O WALKER & DUNLOP, INC. 7501 WISCONSIN AVENUE, SUITE 1200 BETHESDA, MD 20814 |
X | Chairman, President & CEO |
/s/ Richard M. Lucas, attorney-in-fact | 12/22/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This amended Form 4 is being filed to correct the Transaction Code. The original Form 4 filed on December 17, 2010 incorrectly reflected a Transaction Code of "A", rather than "P" for open market purchases. |
(2) | Represents an average sale price of $9.93, with individual sale prices ranging from $9.91 to $9.95. If necessary, Mr. Walker will supply details of individual sale allotments. |
(3) | Includes 100 shares of common stock in Walker & Dunlop, Inc. (the "Company") that were issued to Mr. Walker on July 29, 2010 in connection with the formation and initial capitalization of the Company. Concurrently with the closing of the Company's initial public offering and formation transactions, the Company will redeem its initial capitalization shares for the purchase price of $100. |
(4) | Concurrently with the closing of the Company's initial public offering, Mr. Walker will receive shares of common stock in the Company in connection with the formation transactions and shares of restricted common stock, vesting ratably on each anniversary date of grant over the next three years, under the Company's 2010 Equity Incentive Plan. |