Statement of Changes in Beneficial Ownership (4)
November 24 2020 - 03:35PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * BRISTOW PETER M |
2. Issuer Name and Ticker or Trading
Symbol FIRST CITIZENS BANCSHARES INC /DE/ [ FCNCA
] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director __X__
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
President |
(Last)
(First)
(Middle)
4300 SIX FORKS ROAD |
3. Date of Earliest Transaction (MM/DD/YYYY)
10/21/2020
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(Street)
RALEIGH, NC 27609
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
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1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Class A Common |
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30000 (1) |
I |
By Spouse |
Class A Common |
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14500 (1) |
I |
As trustee for Claire Holding Bristow 2018
Irrevocable Family Trust |
Class A Common |
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8963 |
I |
As Trustee for Peter M. Bristow 2nd Amended and
Restated Trust |
Class A Common |
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257675 (1) |
I |
Claire Holding Bristow 2nd Amended and Restated
Trust |
Class A Common |
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100000 (1) |
I |
Claire H. Bristow 2020 GRAT |
Class A Common |
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12152 (1) |
I |
Spouse as co-trustee for Peter McDonald Bristow
2019 Irrevocable Family Trust |
Class A Common |
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10858 (1) |
I |
Spouse as beneficiary of
trust |
Class A Common |
10/21/2020 |
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G |
V |
2500 |
A |
$0.00 |
15060 (1) |
I |
By daughter Ella Bristow |
Class A Common |
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6106 (1) |
I |
PMB Investments, LLC |
Class A Common |
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2154 (1) |
I |
CRB Investments, LLC |
Class A Common |
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2045 (1) |
I |
EHB Investments, LLC |
Class A Common |
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19041 (1) |
I |
As trustee for PMB Trust
2011 |
Class A Common |
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19041 (1) |
I |
As trustee for CRB Trust
2011 |
Class A Common |
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19041 (1) |
I |
As trustee for EHB Trust
2011 |
Class B Common |
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538 |
I |
As Trustee for Peter M. Bristow 2nd Amended and
Restated Trust |
Class B Common |
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33950 (1) |
I |
Claire Holding Bristow 2nd Amended and Restated
Trust |
Class B Common |
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50000 (1) |
I |
Claire H. Bristow 2020 GRAT |
Class B Common |
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1250 (1) |
I |
Spouse as beneficiary of
Trust |
Class B Common |
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8350 (1) |
I |
PMB Investments, LLC |
Class B Common |
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8850 (1) |
I |
CRB Investments, LLC |
Class B Common |
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8710 (1) |
I |
EHB Investments, LLC |
Class B Common |
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2163 (1) |
I |
By daughter, Ella Bristow |
Depositary Shares (2) |
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41285 (1) |
I |
Claire Holding Bristow 2nd Amended and Restated
Trust |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of
Responses: |
(1) |
The reporting person
disclaims beneficial ownership of these securities, and this report
shall not be deemed an admission that the reporting person is the
beneficial owner of such securities for purposes of Section 16 of
the Securities Exchange Act of 1934 or for any other
purpose. |
(2) |
Each Depositary Share
represents a 1/40th interest in a share of the Issuer's 5.375%
Non-Cumulative Perpetual Preferred Stock, Series A. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
BRISTOW PETER M
4300 SIX FORKS ROAD
RALEIGH, NC 27609 |
X |
X |
President |
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Signatures
|
Peter M. Bristow, By: William R. Lathan, Jr.,
attorney-in-fact |
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11/19/2020 |
**Signature of Reporting
Person |
Date |