WAL 10-Q Quarterly Report June 30, 2021 | Alphaminr
WESTERN ALLIANCE BANCORPORATION

WAL 10-Q Quarter ended June 30, 2021

WESTERN ALLIANCE BANCORPORATION
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TABLE OF CONTENTS
Part IItem 1. Financial StatementsItem 2. Management's Discussion and Analysis Of Financial Condition and Results Of OperationsItem 3. Quantitative and Qualitative Disclosures About Market RiskItem 4. Controls and ProceduresPart II. Other InformationItem 1. Legal ProceedingsItem 1A. Risk FactorsItem 2. Unregistered Sales Of Equity Securities and Use Of ProceedsItem 5. Other InformationItem 6. Exhibits

Exhibits

1.1 Distribution Agreement, dated June 3, 2021, by and between Western Alliance Bancorporation and J.P. Morgan Securities LLC (incorporated by reference to Exhibit 1.1 of Western Alliances Form 8-K filed with the SEC on June 3, 2021). 3.1 Amended and Restated Certificate of Incorporation, effective as of May 19, 2015 (incorporated by reference to Exhibit 3.1 of Western Alliance's Form 10-K filed with the SEC on March 1, 2019). 3.2 Amended and Restated Bylaws of Western Alliance, effective as of May 19, 2015 (incorporated by reference to Exhibit 3.2 of Western Alliance's Form 8-K filed with the SEC on May 22, 2015). 3.3 Articles of Conversion, as filed with the Nevada Secretary of State on May 29, 2014 (incorporated by reference to Exhibit 3.1 of Western Alliances Form 8-K filed with the SEC on June 3, 2014). 3.4 Certificate of Conversion, as filed with the Delaware Secretary of State on May 29, 2014 (incorporated by reference to Exhibit 3.2 of Western Alliances Form 8-K filed with the SEC on June 3, 2014). 4.1 Subordinated Debt Indenture, dated as of June 7, 2021, by and between Western Alliance Bancorporation and U.S. Bank National Association, as trustee (incorporated by reference to Exhibit 4.1 of Western Alliances Form 8-K filed with the SEC on June 7, 2021). 4.2 First Supplemental Indenture to the Subordinated Indenture for the 3.00% Fixed to Floating Rate Subordinated Notes due 2031, dated June 7, 2021, by and between Western Alliance Bancorporation and U.S. Bank National Association, as trustee (incorporated by reference to Exhibit 4.2 of Western Alliances Form 8-K filed with the SEC on June 7, 2021). 4.3 Form of Global Note for the 3.00% Fixed to Floating Rate Subordinated Notes due 2031 (incorporated by reference to Exhibit 4.3 of Western Alliances Form 8-K filed with the SEC on June 7, 2021). 10.1 Note Purchase Agreement, dated June 28, 2021, for the Senior Unsecured Credit Linked Notes due December 30, 2024, by and among Western Alliance Bank and the purchasers listed in the Note Purchase Agreement (incorporated by reference to Exhibit 4.1 of Western Alliances Form 8-K filed with the SEC on June 28, 2021). 10.2* Severance and Change in Control Plan, as amended and restated effective as of July 28, 2021. 10.3* Form of Executive Participation Agreement under the Severance and Change in Control Plan (CEO). 10.4* Form of Executive Participation Agreement under the Severance and Change in Control Plan (non-CEO). 31.1* CEO Certification Pursuant Rule13a-14(a)/15d-14(a). 31.2* CFO Certification Pursuant Rule13a-14(a)/15d-14(a). 32** CEO and CFO Certification Pursuant to 18 U.S.C. Section1350, as adopted pursuant to section 906 of the Sarbanes Oxley Act of 2002.