-----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, CsrofWxX8ZEur7J4X+dah/ysarVtsFStbufVD2I1beSJLCEuenDMiWAnD06PGZBx QLWA/aQDoYcPsMNBG9GZxg== 0000913849-98-000012.txt : 19980218 0000913849-98-000012.hdr.sgml : 19980218 ACCESSION NUMBER: 0000913849-98-000012 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980213 SROS: NASD 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 SEC ACT: SEC FILE NUMBER: 005-53263 FILM NUMBER: 98538806 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: ADAMS HOWARD D CENTRAL INDEX KEY: 0001055705 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: WINTRUST FINANCIAL CORP STREET 2: 727 NORTH BANK LANE CITY: LAKE FOREST STATE: IL ZIP: 60045 BUSINESS PHONE: 8476154096 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ---------- SCHEDULE 13G (RULE 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ____________) Wintrust Financial Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 97650W108 - -------------------------------------------------------------------------------- (CUSIP Number) ---------- 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 he Securities Exchange Act of 1934 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). CUSIP NO. 97650W108 13G PAGE 1 OF 4 PAGES 1. NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Howard D. Adams - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER 456,200 shares ------------------------------------------------------ NUMBER OF 6. SHARED VOTING POWER SHARES BENEFICIALLY 29,626 shares OWNED BY ------------------------------------------------------ EACH 7. SOLE DISPOSITIVE POWER REPORTING PERSON WITH 456,200 shares ------------------------------------------------------ 8. SHARED DISPOSITIVE POWER 29,626 shares - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 485,826 shares - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.0% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- ITEM 1 (A) NAME OF ISSUER: Wintrust Financial Corporation ITEM 1 (B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 727 North Bank Lane Lake Forest, Illinois 60045 ITEM 2 (A) NAME OF PERSON FILING: This filing is made on behalf of Howard D. Adams. ITEM 2 (B) ADDRESS OF PRINCIPAL OFFICE OR, IF NONE, RESIDENCE: 727 North Bank Lane, Suite 303 Lake Forest, Illinois 60045 ITEM 2 (C) CITIZENSHIP: Mr. Adams is a United States citizen. ITEM 2 (D) TITLE OF CLASS OF SECURITIES: Common Stock ITEM 2 (E) CUSIP NUMBER: 97650W 10 8 ITEM 3 IF THE STATEMENT IS BEING FILED PURSUANT TO RULE 13d-1(b) OR 13d-2(b) CHECK WHETHER THE PERSON IS A: Not applicable ITEM 4 OWNERSHIP: a. Amount Beneficially Owned: 485,826 shares b. Percent of Class: 6.0% c. Number of shares as to which such person has: (i) Sole power to vote or direct the vote: 456,200 shares* (ii) Shared power to vote or direct the vote: 29,626 shares** (iii) Sole power to dispose or direct the disposition of: 456,200 shares* (iv) Shared power to dispose or direct the disposition of: 29,626 shares** ---------- * Includes 15,529 shares subject to currently exercisable options and warrants. Also includes 29,517 shares held in trust for the benefit of Mr. Adams' son and 2,957 shares held in a charitable foundation with respect to which shares Mr. Adams disclaims beneficial ownership. ** Reflects shares held by Mr. Adams' wife. 3 ITEM 5 OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: Not applicable 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 ITEM 9 NOTICE OF DISSOLUTION OF A GROUP: Not applicable ITEM 10 CERTIFICATION: By signing below the undersigned certifies that, to the best of his knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer securities and were not acquired in the connection with or as a participant in any transaction having such purpose or effect. SIGNATURE After reasonable inquiry and to the best of his knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: February 13, 1998 By: /s/ HOWARD D. ADAMS ------------------- Howard D. Adams 4 -----END PRIVACY-ENHANCED MESSAGE-----