SEC Contract Filing

Filing Date: 2018-05-25

Document Content:
<DOCUMENT>
<TYPE>EX-10.1
<SEQUENCE>2
<FILENAME>form8-k2018resultsxexhibit.htm
<DESCRIPTION>EXHIBIT 10.1 AMENDED AND RESTATED EMPLOYEE STOCK PURCHASE PLAN
<TEXT>
<!DOCTYPE html PUBLIC "-//W3C//DTD HTML 4.01 Transitional//EN" "http://www.w3.org/TR/html4/loose.dtd">
<html>
	<head>
 <!-- Document created using Wdesk 1 -->
 <!-- Copyright 2018 Workiva -->
 <title>Exhibit</title>
	</head>
	<body style="font-family:Times New Roman;font-size:10pt;">
<div><a name="s8FD2E5B8378D76891DF4981B152433EB"></a></div><div><div style="line-height:138%;padding-bottom:13px;text-align:right;font-size:11pt;"><font style="font-family:inherit;font-size:11pt;font-weight:bold;">EXHIBIT 10.1</font></div></div><div><br></div><div style="line-height:120%;text-align:center;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;font-weight:bold;">AMENDED AND RESTATED</font></div><div style="line-height:120%;text-align:center;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;font-weight:bold;">WINTRUST FINANCIAL CORPORATION <br>EMPLOYEE STOCK PURCHASE PLAN</font></div><div style="line-height:138%;padding-left:0px;padding-bottom:8px;padding-top:8px;text-align:left;text-indent:48px;"><font style="padding-bottom:8px;padding-top:8px;text-align:left;font-family:inherit;font-size:10pt;font-style:italic;padding-right:48px;">1.</font><font style="font-family:inherit;font-size:10pt;font-style:italic;">Purpose</font></div><div style="line-height:120%;padding-bottom:8px;padding-top:8px;text-align:left;text-indent:48px;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;">The purpose of the Wintrust Financial Corporation Employee Stock Purchase Plan is to encourage employee stock ownership, thereby enhancing employee commitment to Wintrust Financial Corporation (&#8220;Wintrust&#8221; or the &#8220;Corporation&#8221;) and providing an opportunity to share in the Corporation&#8217;s success. The Plan is amended and restated effective as of the date provided in Paragraph 21 hereof, as set forth herein.</font></div><div style="line-height:138%;padding-left:0px;padding-bottom:8px;padding-top:8px;text-align:left;text-indent:48px;"><font style="padding-bottom:8px;padding-top:8px;text-align:left;font-family:inherit;font-size:10pt;font-style:italic;padding-right:48px;">2.</font><font style="font-family:inherit;font-size:10pt;font-style:italic;">Definitions</font></div><div style="line-height:138%;padding-left:0px;padding-bottom:8px;padding-top:8px;text-align:left;text-indent:48px;"><font style="padding-bottom:8px;padding-top:8px;text-align:left;font-family:inherit;font-size:10pt;font-style:italic;padding-right:48px;">(a)</font><font style="font-family:inherit;font-size:10pt;font-style:italic;">&#8220;Bank&#8221; </font><font style="font-family:inherit;font-size:10pt;">means any banking subsidiary of the Corporation designated by the Committee with respect to any offering.</font></div><div style="line-height:138%;padding-left:0px;padding-bottom:8px;padding-top:8px;text-align:left;text-indent:48px;"><font style="padding-bottom:8px;padding-top:8px;text-align:left;font-family:inherit;font-size:10pt;font-style:italic;padding-right:48px;">(b)</font><font style="font-family:inherit;font-size:10pt;font-style:italic;">&#8220;Board&#8221; </font><font style="font-family:inherit;font-size:10pt;">means the Board of Directors of the Corporation.</font></div><div style="line-height:138%;padding-left:0px;padding-bottom:8px;padding-top:8px;text-align:left;text-indent:48px;"><font style="padding-bottom:8px;padding-top:8px;text-align:left;font-family:inherit;font-size:10pt;font-style:italic;padding-right:48px;">(c)</font><font style="font-family:inherit;font-size:10pt;font-style:italic;">&#8220;Code&#8221; </font><font style="font-family:inherit;font-size:10pt;">means the Internal Revenue Code of 1986, as amended.</font></div><div style="line-height:138%;padding-left:0px;padding-bottom:8px;padding-top:8px;text-align:left;text-indent:48px;"><font style="padding-bottom:8px;padding-top:8px;text-align:left;font-family:inherit;font-size:10pt;font-style:italic;padding-right:48px;">(d)</font><font style="font-family:inherit;font-size:10pt;font-style:italic;">&#8220;Committee&#8221; </font><font style="font-family:inherit;font-size:10pt;">means the Compensation Committee of the Board or any other committee designated by the Board to administer this Plan.</font></div><div style="line-height:138%;padding-left:0px;padding-bottom:8px;padding-top:8px;text-align:left;text-indent:48px;"><font style="padding-bottom:8px;padding-top:8px;text-align:left;font-family:inherit;font-size:10pt;font-style:italic;padding-right:48px;">(e)</font><font style="font-family:inherit;font-size:10pt;font-style:italic;">&#8220;Common Stock&#8221; </font><font style="font-family:inherit;font-size:10pt;">means Common Stock, no par value, of the Corporation.</font></div><div style="line-height:138%;padding-left:0px;padding-bottom:8px;padding-top:8px;text-align:left;text-indent:48px;"><font style="padding-bottom:8px;padding-top:8px;text-align:left;font-family:inherit;font-size:10pt;font-style:italic;padding-right:48px;">(f)</font><font style="font-family:inherit;font-size:10pt;font-style:italic;">&#8220;Considered Compensation&#8221; </font><font style="font-family:inherit;font-size:10pt;">means compensation as defined by the Committee in accordance with Section 423 of the Code and applicable regulations, including total compensation or base compensation for any pay period during or at the beginning of, an Offering Period.</font></div><div style="line-height:138%;padding-left:0px;padding-bottom:8px;padding-top:8px;text-align:left;text-indent:48px;"><font style="padding-bottom:8px;padding-top:8px;text-align:left;font-family:inherit;font-size:10pt;font-style:italic;padding-right:48px;">(g)</font><font style="font-family:inherit;font-size:10pt;font-style:italic;">&#8220;Fair Market Value&#8221; </font><font style="font-family:inherit;font-size:10pt;">means the cl