Statement of Changes in Beneficial Ownership (4)
November 26 2021 - 12:33PM
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
*
WALTERS KIRK W |
2. Issuer Name and Ticker or Trading Symbol
People's United Financial, Inc.
[
PBCT
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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)
11/23/2021 |
(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 | 11/23/2021 | | M | | 86433.00 | A | $12.65 | 116091.00 | D | |
Common Stock | 11/23/2021 | | F | | 71215.00 | D | $18.8275 | 44876.00 (1) | D | |
Common Stock | | | | | | | | 44867.00 | 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)
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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 |
Employee Option to Buy | $12.65 | 11/23/2021 | | M | | | 86433.00 | (2) | 2/16/2022 | Common Stock | 86433.00 | $0.00 | 0.00 | D | |
Explanation of Responses: |
(1) | Includes 9,140 shares owned indirectly through the People's United Bank 401(k) Plan (including 101 shares acquired through dividend reinvestment) and 3,713 shares owned indirectly through the People's United Financial, Inc. Employee Stock Ownership Plan (including 41 shares acquired through dividend reinvestment). Information is based on 9/30/21 Plan statements. |
(2) | Exercisable in annual increments on 3/1/14 (50%); 3/1/15 (25%); and 3/1/16 (25%). |
Reporting Owners
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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 |
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Signatures
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/s/ Kirk W. Walters | | 11/23/2021 |
**Signature of Reporting Person | Date |
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