Form 144: WAL (NYSE: WAL) RSU resale notice via RBC Capital Markets

Rhea-AI Filing Summary

The filing is a Form 144 notice disclosing proposed sales of restricted/issuer-issued common shares associated with multiple RSU grants. The broker listed is RBC Capital Markets LLC and the exchange shown is NYSE. The excerpt lists RSU grant lots dated from 01/27/2018 through 02/15/2023 with individual grant quantities shown for each lot.

Insights

Securities Lawyer

Form 144 records proposed resale of issuer‑granted RSUs via a broker.

The notice lists multiple RSU grant lots with specific share counts and names RBC Capital Markets LLC as the broker and NYSE as the market. A Form 144 is a required notice when affiliated persons intend to sell restricted or control securities under Rule 144.

Timing, aggregate proceeds, and whether sales occurred are not stated in the excerpt; subsequent filings or trade reports would show execution and magnitude.

Key Figures

Broker-listed capacity: 40,000 Numeric field: 3,295,612.00 Exchange: NYSE +6 more

9 metrics

Broker-listed capacity 40,000 field adjacent to broker entry in excerpt

Numeric field 3,295,612.00 numeric value shown in excerpt line with broker and exchange

Exchange NYSE exchange listed next to numeric fields

RSU grant - 01/27/2018 3,179 shares RSU GRANT dated <date> 01/27/2018

RSU grant - 01/30/2021 2,060 shares RSU GRANT dated <date> 01/30/2021

RSU grant - 02/09/2021 6,214 shares RSU GRANT dated <date> 02/09/2021

RSU grant - 02/25/2021 5,673 shares RSU GRANT dated <date> 02/25/2021

RSU grant - 02/22/2022 10,209 shares RSU GRANT dated <date> 02/22/2022

RSU grant - 02/15/2023 8,147 shares RSU GRANT dated <date> 02/15/2023

Key Terms

Form 144, RSU, Rule 144

3 terms

Form 144 regulatory

"Form 144 notice disclosing proposed sales of restricted/issuer-issued common shares"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

RSU financial

"RSU GRANT entries dated 01/27/2018 through 02/15/2023 with share counts"

Restricted stock units (RSUs) are a form of company shares given to employees as part of their compensation, usually with certain restrictions or conditions, such as remaining with the company for a set period. When these restrictions lift, employees receive actual shares that they can sell or hold. For investors, RSUs can impact a company's stock supply and reflect the company's commitment to attracting and retaining talent.

Rule 144 regulatory

"Implication by the Form 144 notice requiring resale disclosure under Rule 144"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

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Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
COMMON	RBC CAPITAL MARKETS LLC 250 NICOLLET MALL, SUITE 1700 MINNEAPOLIS MN 55401	40000	3295612.00	109185360	06/09/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
COMMON	01/27/2018	RSU GRANT	ISSUER			3179	01/27/2018	N/A
COMMON	01/30/2021	RSU GRANT	ISSUER			2060	01/30/2021	N/A
COMMON	02/09/2021	RSU GRANT	ISSUER			6214	02/09/2021	N/A
COMMON	02/25/2021	RSU GRANT	ISSUER			5673	02/25/2021	N/A
COMMON	02/07/2022	RSU GRANT	ISSUER			2233	02/07/2022	N/A
COMMON	02/22/2022	RSU GRANT	ISSUER			10209	02/22/2022	N/A
COMMON	02/07/2023	RSU GRANT	ISSUER			2285	02/07/2023	N/A
COMMON	02/15/2023	RSU GRANT	ISSUER			8147	02/15/2023	N/A

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does WAL's Form 144 filing mean?

It notifies the SEC of an intended resale of restricted common shares by an affiliate. The excerpt lists RSU grant lots and a broker, but the filing itself records proposed sales rather than completed trades.

How many RSU grant lots are listed in the WAL excerpt?

The excerpt lists eight RSU grant lots dated 01/27/2018 through 02/15/2023. Each lot shows an explicit grant quantity such as 3,179 and 10,209 shares in the disclosure.

Who is the broker handling the proposed sales in this Form 144?

The broker named is RBC Capital Markets LLC with an address at 250 Nicollet Mall, Suite 1700, Minneapolis, MN. The filing lists the market as NYSE.

Does Form 144 confirm that the shares were sold?

No. Form 144 is a notice of intent to sell restricted or control securities under Rule 144. The excerpt shows proposed resale quantities but does not confirm execution or proceeds.

Are aggregate proceeds or pricing disclosed in this Form 144 excerpt?

No. The provided excerpt lists share counts and grant dates but does not state offering price, aggregate proceeds, or execution details within the visible text.