Initial Statement of Beneficial Ownership (3)
April 17 2014 - 11:21AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Rosato R David
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2. Date of Event Requiring Statement (MM/DD/YYYY)
4/16/2014
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3. Issuer Name
and
Ticker or Trading Symbol
People's United Financial, Inc. [PBCT]
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(Last)
(First)
(Middle)
C/O PEOPLE'S UNITED BANK, 850 MAIN STREET
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Senior Exec Vice President /
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(Street)
BRIDGEPORT, CT 06604
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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36412
(1)
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D
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Common Stock
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2680
(2)
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D
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Common Stock
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1224
(3)
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D
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Common Stock
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2664
(4)
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D
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Common Stock
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3480
(4)
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D
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Common Stock
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4874
(5)
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D
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Common Stock
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355
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I
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IRA fb/o Dana Rosato
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Common Stock
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120
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I
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IRA fb/o Kevin Rosato
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Option to Buy
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(6)
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12/12/2017
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Common Stock
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43830
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$16.805
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D
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Employee Option to Buy
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(6)
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2/21/2018
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Common Stock
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6040
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$16.94
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D
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Employee Option to Buy
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(6)
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1/22/2019
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Common Stock
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8565
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$16.575
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D
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Employee Option to Buy
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(7)
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7/16/2009
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Common Stock
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39250
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$15.62
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D
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Employee Option to Buy
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(6)
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1/28/2020
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Common Stock
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8427
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$15.80
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D
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Employee Option to Buy
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(8)
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2/17/2021
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Common Stock
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12432
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$13.415
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D
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Employee Option to Buy
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(8)
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2/16/2022
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Common Stock
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15209
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$12.65
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D
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Employee Option to Buy
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(9)
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2/21/2023
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Common Stock
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29218
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$12.94
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D
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Employee Option to Buy
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(9)
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2/20/2024
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Common Stock
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43359
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$13.9025
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D
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Explanation of Responses:
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(
1)
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Includes 1,936 shares owned indirectly through the Peoples United Financial, Inc. Employee Stock Ownership Plan. Information is based on 03/31/2014 Plan statement.
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(
2)
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These are restricted shares that vest on Jul. 16, 2014
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(
3)
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These are restricted shares that vest on Mar. 1, 2015.
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(
4)
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These are restricted shares that vest in equal annual increments on Mar. 1, 2015 and Mar. 1, 2016.
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(
5)
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These are restricted shares that vest in equal annual increments on Mar. 1, 2015, Mar. 1, 2016 and Mar. 1, 2017.
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(
6)
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These options have become exercisable in accordance with the terms of the applicable option grants.
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(
7)
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Exercisable in equal annual increments over five years beginning on the 1st anniversary of the grant date, which is ten years prior to the applicable expiration date.
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(
8)
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Exercisable in annual increments beginning on Mar. 1 immediately following the 2nd anniversary (50%), 3rd anniversary (25%) and 4th anniversary (25%) of the grant date, which is ten years prior to the applicable expiration date.
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(
9)
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Exercisable in equal annual increments over three years beginning on Mar. 1 immediately following the 1st anniversary of the grant date, which is ten years prior to the applicable expiration date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Rosato R David
C/O PEOPLE'S UNITED BANK
850 MAIN STREET
BRIDGEPORT, CT 06604
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Senior Exec Vice President
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Signatures
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/s/ R. David Rosato
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4/17/2014
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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