Statement of Changes in Beneficial Ownership (4)
March 03 2021 - 2:52PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
WALTERS KIRK W |
2. Issuer Name and Ticker or Trading Symbol
People's United Financial, Inc.
[
PBCT
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Sr Executive Vice President |
(Last)
(First)
(Middle)
PEOPLES UNITED BANK, 850 MAIN STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/1/2021 |
(Street)
BRIDGEPORT, CT 06604
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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
|
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
|
Common Stock | | | | | | | | 29035.00 (1) | D | |
Common Stock | 3/1/2021 | | A | | 8612.00 (2) | A | $18.2425 (3) | 44867.00 (4) | I | Lacey & Sadie, LLC |
Common Stock | | | | | | | | 263542.00 | I | Gus & Bonnie, LLC |
Series A Nonconvertible Perpetual Preferred Stock | | | | | | | | 40000.00 | I | Gus & Bonnie, LLC |
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) | Includes 8,852 shares owned indirectly through the People's United Bank 401(k) Plan (including 118 shares acquired through dividend reinvestment) and 3,377 shares owned indirectly through the People's United Financial, Inc. Employee Stock Ownership Plan (including 45 shares acquired through dividend reinvestment). Information is based on 12/31/20 Plan statements. |
(2) | Represents performance shares granted on February 15, 2018 which vested at 120% of target, less 7,436 shares withheld in payment of taxes due. |
(3) | 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. |
(4) | Includes 7,414 shares of restricted stock which vested on March 1, 2021. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
WALTERS KIRK W PEOPLES UNITED BANK 850 MAIN STREET BRIDGEPORT, CT 06604 | X |
| Sr Executive Vice President |
|
Signatures
|
/s/ Kirk W. Walters | | 3/1/2021 |
**Signature of Reporting Person | Date |
Peoples United Financial (NASDAQ:PBCT)
Historical Stock Chart
From Jun 2024 to Jul 2024
Peoples United Financial (NASDAQ:PBCT)
Historical Stock Chart
From Jul 2023 to Jul 2024