-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DFLX9a7z0tId24LjN2H0Q7K8nvdWDyrlBGxv942u/XFBS+qqc+WhXhxcXMDgdZt5 56gjuQdk0IThokHuGCrnng== 0000902561-00-000187.txt : 20000323 0000902561-00-000187.hdr.sgml : 20000323 ACCESSION NUMBER: 0000902561-00-000187 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000322 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WINTRUST FINANCIAL CORP CENTRAL INDEX KEY: 0001015328 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 363873352 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-53263 FILM NUMBER: 575699 BUSINESS ADDRESS: STREET 1: 727 N BANK LANE CITY: LAKE FOREST STATE: IL ZIP: 60045 BUSINESS PHONE: 8476154096 MAIL ADDRESS: STREET 1: 727 N BANK LN CITY: LAKE FOREST STATE: IL ZIP: 60045 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MCCARTHY EMMETT D CENTRAL INDEX KEY: 0001055790 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 727 NORTH BANK LANE STREET 2: SUITE 303 CITY: LAKE FOREST STATE: IL ZIP: 60045 BUSINESS PHONE: 8472342882 MAIL ADDRESS: STREET 1: 727 NORTH BANK LANE STREET 2: SUITE 303 CITY: LAKE FOREST I STATE: IL ZIP: 60045 SC 13G/A 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )*/ Wintrust Financial Corporation - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock - ------------------------------------------------------------------------------- (Title of Class of Securities) 97650W108 - ------------------------------------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) */ The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following pages) Page 1 of 5 pages CUSIP No. 97650W108 13G Page 2 of 5 Pages - -------------------------- --------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Emmett D. McCarthy 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OR ORGANIZATION U.S.A. NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 45,241 OWNED BY EACH 6 SHARED VOTING POWER REPORTING PERSON 416,013 WITH 7 SOLE DISPOSITIVE POWER 45,241 8 SHARED DISPOSITIVE POWER 416,013 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 461,254 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.3% 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 5 pages Item 1(a) Name of Issuer: Wintrust Financial Corporation (b) Address of Issuer's Principal Executive Offices: 727 North Bank Lane Lake Forest, Illinois 60045 Item 2(a) Name of Person Filing: Emmett D. McCarthy (b) Address of Principal Business Office: The address of the principal business office of each of the above-named persons is: 570 Crabtree Lane Lake Forest, Illinois 60045 (c) Citizenship: U.S.A. (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 97650W108 Item 3 If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: Not Applicable (a) ( ) Broker or Dealer registered under Section 15 of the Act (b) ( ) Bank as defined in Section 3(a)(6) of the Act (c) ( ) Insurance Company as defined in Section 3(a)(19) of the Act (d) ( ) Investment Company registered under Section 8 of the Investment Company Act (e) ( ) Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940 (f) ( ) Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund (g) ( ) Parent Holding Company, in accordance with Section 240.13d-1 (b)(1)(ii)(G) (h) ( ) Group, in accordance withss.240.13d-1 (b)(1)(ii)(H) Page 3 of 5 pages Item 4 Ownership (a) Amount Beneficially Owned 461,254 shares ---------------- (b) Percent of Class 5.3% ---------------- (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 45,241 shares* ---------------- (ii) Shared power to vote or to direct the vote 416,013 shares** ------------------ (iii) Sole power to dispose or to direct the disposition of 45,241 shares* ---------------- (iv) Shared power to dispose or to direct the disposition of 416,013 shares** ------------------ ------------- * Includes 28,874 shares held in the Sarah Katherine Adams Trust, an irrevocable trust of which Mr. McCarthy is trustee. Mr. McCarthy disclaims beneficial ownership of such shares. ** Includes 169,930 shares, 28,962 shares subject to currently exercisable warrants and 17,689 shares subject to currently exercisable options to purchase shares which are held in the Alan W. Adams Family Trust, and 152,781 shares, 28,962 shares subject to currently exercisable warrants and 17,689 shares subject to currently exercisable options to purchase shares which are held in the Sarah K. Adams Family Trust, both irrevocable trusts of which Mr. McCarthy is co-trustee. Mr. McCarthy disclaims beneficial ownership of these shares. Item 5 Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. Not Applicable. Item 6 Ownership of More than Five Percent on Behalf of Another Person See Item 4 above. Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. Not Applicable. Item 8 Identification and Classification of Members of the Group Not Applicable. Page 4 of 5 pages Item 9 Notice of Dissolution of Group Not Applicable. Item 10 Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: March 21, 2000 /s/ Emmett D. McCarthy ------------------------ Emmett D. McCarthy Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----