Statement of Changes in Beneficial Ownership (4)
October 03 2014 - 10:48AM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
Brice Carson H
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2. Issuer Name
and
Ticker or Trading Symbol
FIRST CITIZENS BANCSHARES INC /DE/
[
FCNCA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
PO BOX 1352
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3. Date of Earliest Transaction
(MM/DD/YYYY)
10/1/2014
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(Street)
SMITHFIELD, NC 27577
(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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Class A Common
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10/1/2014
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J
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104428
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A
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(3)
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193868
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D
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Class A Common
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10/1/2014
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J
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3260
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A
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(3)
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3585
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I
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As custodian for Stephen Brice
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Class A Common
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10/1/2014
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J
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2860
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A
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(3)
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2985
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I
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As Custodian for Cordelia Brice
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Class A Common Stock
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10/1/2014
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J
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2860
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A
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(3)
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2985
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I
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As Custodian for Elizabeth Brice
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Class A Common
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10/1/2014
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J
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5452
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A
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(3)
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10652
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I
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As beneficiary of Trust
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Class A Common
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10/1/2014
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J
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72800
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A
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(3)
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72800
(1)
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I
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By ECHB, LLC
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Class A Common
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10/1/2014
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J
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432
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A
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(3)
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49686
(2)
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I
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Trusts f/b/o children
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Class B Common
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108440
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D
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Class B Common
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443
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I
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By spouse
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Class B Common
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2227
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I
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As custodian for Stephen Brice
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Class B Common
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2228
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I
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As custodian for Elizabeth Brice
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Class B Common
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2228
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I
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As custodian for Cordelia Brice
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Class B Common
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1250
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I
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As beneficiary of Trust
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Class B Common
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1719
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I
(2)
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Trusts f/b/o children
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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. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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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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Explanation of Responses:
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(
1)
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The listed shares are held by a limited liability company in which 100% of the voting interests are held by a trust for the benefit of the Reporting Person's children. The Reporting Person does not serve as trustee of the trust or have any interest in the limited liability company, she disclaims beneficial ownership of the shares held by the limited liability company, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purpose.
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(
2)
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The listed shares are held by three trusts for the benefit of the Reporting Person's children. The Reporting Person does not serve as trustee of or have or share investment control over the Issuer's shares held by the trusts, she disclaims beneficial ownership of the shares held by the trusts, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purpose.
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(
3)
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Reflects shares received in exchange for shares of common stock of First Citizens Bancorporation, Inc. ("BanCorp"), at the rate of 4 shares of the Issuer's Class A common stock and $50 in cash for each share of BanCorp stock held by the persons or in the manner indicated in this Report, in connection with the merger of BanCorp into the Issuer. On the day prior to the effective date of the merger, the reported last price of BanCorp's common stock was $922.25 per share, and the reported closing price of the Issuer's Class A common stock was $216.63 per share.
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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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Brice Carson H
PO BOX 1352
SMITHFIELD, NC 27577
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X
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Signatures
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Carson H. Brice, By: William R. Lathan, Jr., Attorney-in-fact
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10/2/2014
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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 4(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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