Statement of Changes in Beneficial Ownership (4)
November 24 2020 - 3:35PM
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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3235-0287
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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
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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 |
(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
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common | | | | | | | | 30000 (1) | I | By Spouse |
Class A Common | | | | | | | | 14500 (1) | I | As trustee for Claire Holding Bristow 2018 Irrevocable Family Trust |
Class A Common | | | | | | | | 8963 | I | As Trustee for Peter M. Bristow 2nd Amended and Restated Trust |
Class A Common | | | | | | | | 257675 (1) | I | Claire Holding Bristow 2nd Amended and Restated Trust |
Class A Common | | | | | | | | 100000 (1) | I | Claire H. Bristow 2020 GRAT |
Class A Common | | | | | | | | 12152 (1) | I | Spouse as co-trustee for Peter McDonald Bristow 2019 Irrevocable Family Trust |
Class A Common | | | | | | | | 10858 (1) | I | Spouse as beneficiary of trust |
Class A Common | 10/21/2020 | | G |
V
| 2500 | A | $0.00 | 15060 (1) | I | By daughter Ella Bristow |
Class A Common | | | | | | | | 6106 (1) | I | PMB Investments, LLC |
Class A Common | | | | | | | | 2154 (1) | I | CRB Investments, LLC |
Class A Common | | | | | | | | 2045 (1) | I | EHB Investments, LLC |
Class A Common | | | | | | | | 19041 (1) | I | As trustee for PMB Trust 2011 |
Class A Common | | | | | | | | 19041 (1) | I | As trustee for CRB Trust 2011 |
Class A Common | | | | | | | | 19041 (1) | I | As trustee for EHB Trust 2011 |
Class B Common | | | | | | | | 538 | I | As Trustee for Peter M. Bristow 2nd Amended and Restated Trust |
Class B Common | | | | | | | | 33950 (1) | I | Claire Holding Bristow 2nd Amended and Restated Trust |
Class B Common | | | | | | | | 50000 (1) | I | Claire H. Bristow 2020 GRAT |
Class B Common | | | | | | | | 1250 (1) | I | Spouse as beneficiary of Trust |
Class B Common | | | | | | | | 8350 (1) | I | PMB Investments, LLC |
Class B Common | | | | | | | | 8850 (1) | I | CRB Investments, LLC |
Class B Common | | | | | | | | 8710 (1) | I | EHB Investments, LLC |
Class B Common | | | | | | | | 2163 (1) | I | By daughter, Ella Bristow |
Depositary Shares (2) | | | | | | | | 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)
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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
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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
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Peter M. Bristow, By: William R. Lathan, Jr., attorney-in-fact | | 11/19/2020 |
**Signature of Reporting Person | Date |
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