-----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, IwvpHWFR6/WSjFOeDycZR2BW24BkWuBgCDykQrImJMnF039EQi31D9yXRwezH49x 6m4BaEm/auJSpwzCebl3XA== 0000902561-01-000058.txt : 20010213 0000902561-01-000058.hdr.sgml : 20010213 ACCESSION NUMBER: 0000902561-01-000058 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010212 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: 1532934 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 0001.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FIELD PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 3 )* Wintrust Financial Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 97650W108 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2000 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) 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 (the "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. - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 45,241 ------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 181,283 OWNED BY ------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 45,241 WITH ------------------------------------------------- 8 SHARED DISPOSITIVE POWER 181,283 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 226,524 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.6% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 5 pages Item (a) Name of Issuer: Wintrust Financial Corporation ------------------------------------------------------------- (b) Address of Issuer's Principal Executive Offices: 727 North Bank Lane ------------------------------------------------------------- Lake Forest, Illinois 60045 ------------------------------------------------------------- Item (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 withss.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 226,524 shares ----------------------------------- (b) Percent of Class 2.6 % ----------------------------------- (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 181,283 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 181,283 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 47,661 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 40,320 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 [X]. Item 6 Ownership of More than Five Percent on Behalf of Another Person Not Applicable. 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: February 8, 2001 /s/ Emmett D. McCarthy ------------------------------------ Emmett D. McCarthy Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----