Statement of Changes in Beneficial Ownership (4)
December 14 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
*
RICHARDS MARK W |
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)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
353 PARK LAUGHTON ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/14/2021 |
(Street)
EAST DUMMERSTON, VT 05346
(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 | 12/14/2021 | | G(1) |
V
| 67061.00 | D | $0.00 | 258861.00 (2) | D | |
Common Stock | 12/14/2021 | | G(1) |
V
| 67061.00 | A | $0.00 | 67061.00 | I | Held by M. Richards Irrevocable Trust |
Common Stock | | | | | | | | 4768.00 | I | By daughter |
Series A Nonconvertible Perpetual Preferred Stock | 12/14/2021 | | G(1) |
V
| 8000.00 | D | $0.00 | 0.00 | D | |
Series A Nonconvertible Perpetual Preferred Stock | 12/14/2021 | | G(1) |
V
| 8000.00 | A | $0.00 | 8000.00 | I | Held by M. Richards Irrevocable 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) | These shares were transferred to the Mark Richards Irrevocable Trust of which the reporting person's sons are trustees and his wife is the beneficiary. |
(2) | Includes 85,603 investment units accrued under the Chittenden Corporation Deferred Compensation Plan (including 829 units accrued due to the deemed reinvestment of dividend equivalents and reflecting settlement of 19,007 investment units by delivery of equal number of shares of common stock on January 4, 2021). Each investment unit corresponds to one share of common stock. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
RICHARDS MARK W 353 PARK LAUGHTON ROAD EAST DUMMERSTON, VT 05346 | X |
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Signatures
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/s/ Kristy Berner, attorney-in-fact | | 12/14/2021 |
**Signature of Reporting Person | Date |
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