Statement of Changes in Beneficial Ownership (4)
March 03 2021 - 2:50PM
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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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
*
Longobardi Sara M |
2. Issuer Name and Ticker or Trading Symbol
People's United Financial, Inc.
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PBCT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Sr Executive Vice President |
(Last)
(First)
(Middle)
PEOPLE'S UNITED BANK, N.A., 850 MAIN STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/1/2021 |
(Street)
BRIDGEPORT, CT 06604
(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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Common Stock | 3/1/2021 | | F | | 2317.00 (1) | D | $18.2425 (2) | 140500.00 | D | |
Common Stock | 3/1/2021 | | A | | 10845.00 (3) | A | $18.2425 (2) | 151345.00 (4) | D | |
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) | Represents shares withheld in payment of taxes due on vesting of restricted shares. |
(2) | Price reported is the average of the high and low prices for the common stock as reported by the NASDAQ Stock Market on the transaction date. |
(3) | Represents performance shares granted on February 15, 2018 which vested at 120% of target, less 5,167 shares withheld in payment of taxes due. |
(4) | Includes 79,035 shares owned indirectly through the People's United Bank 401(k) Plan (including 1,061 shares acquired through dividend reinvestment). Also includes 6,480 shares owned indirectly through the People's United Financial, Inc. Employee Stock Ownership Plan (including 87 shares acquired through dividend reinvestment) based on 12/31/20 Plan Statements. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Longobardi Sara M PEOPLE'S UNITED BANK, N.A. 850 MAIN STREET BRIDGEPORT, CT 06604 |
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| Sr Executive Vice President |
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Signatures
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/s/ Sara M. Longobardi | | 3/1/2021 |
**Signature of Reporting Person | Date |
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