Statement of Changes in Beneficial Ownership (4)
December 17 2021 - 3:48PM
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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3235-0287
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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
*
Holding Olivia Britton |
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 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/1/2019 |
(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 | 11/1/2019 | | J(1) |
V
| 120000 | D | $0.00 | 28951 | D | |
Class A Common | 8/25/2021 | | J(1) |
V
| 10000 | D | $0.00 | 18951 | D | |
Class A Common | 8/30/2021 | | J(1) |
V
| 10000 | D | $0.00 | 8951 | D | |
Class A Common | 9/14/2021 | | J(1) |
V
| 5000 | D | $0.00 | 3951 | D | |
Class A Common | 11/1/2019 | | J(1) |
V
| 120000 | A | $0.00 | 506502 | I | By: Olivia B. Holding Revocable Trust |
Class A Common | 8/25/2021 | | J(1) |
V
| 10000 | A | $0.00 | 516502 | I | By: Olivia B. Holding Revocable Trust |
Class A Common | 8/30/2021 | | J(1) |
V
| 10000 | A | $0.00 | 526502 | I | By: Olivia B. Holding Revocable Trust |
Class A Common | 9/14/2021 | | J(1) |
V
| 5000 | A | $0.00 | 531502 | I | By: Olivia B. Holding Revocable Trust |
Class A Common | 11/29/2021 | | G |
V
| 2000 | A | $0.00 | 533502 | I | By: Olivia B. Holding Revocable Trust |
Class A Common | 12/14/2021 | | G |
V
| 15 | D | $0.00 | 533487 | I | By: Olivia B. Holding Revocable Trust |
Class A Common | | | | | | | | 10544 | I | As beneficiary of Trust |
Class A Common | | | | | | | | 12152 | I | Co-Trustee of Peter McDonald Bristow 2019 Irrevocable Family Trust |
Class A Common | | | | | | | | 2675 | I (2) | By Holding Properties, LLC |
Class A Common | | | | | | | | 827 | I (2) | By E&F Properties, Inc. |
Class A Common | | | | | | | | 12530 | I (2) | By Twin States Farming, Inc. |
Class A Common | | | | | | | | 192063 | I (2) | By Southern BancShares (N.C.), Inc. and subsidiary |
Class A Common | | | | | | | | 174469 | I (2) | By Yadkin Valley Company and subsidiary |
Class A Common | | | | | | | | 100000 | I (2) | By Fidelity BancShares (N.C.), Inc. |
Class B Common | | | | | | | | 4244 | D | |
Class B Common | | | | | | | | 1225 | I | As beneficiary of Trust |
Class B Common | | | | | | | | 116973 | I | By: Olivia B. Holding Revocable Trust |
Class B Common | | | | | | | | 2156 | I (2) | By Holding Properties, LLC |
Class B Common | | | | | | | | 200 | I (2) | By E&F Properties, Inc. |
Class B Common | | | | | | | | 1355 | I (2) | By Twin States Farming, Inc. |
Class B Common | | | | | | | | 22619 | I (2) | By Southern BancShares (N.C.), INc. and subsidiary |
Class B Common | | | | | | | | 4480 | I (2) | By Yadkin Valley Company and subsidiary |
Depositary Shares (3) | | | | | | | | 22000 | I (2) | By Holding Properties, LLC |
Depositary Shares (3) | | | | | | | | 198945 | I (2) | By Southern BancShares (N.C.), Inc. |
Depositary Shares (3) | | | | | | | | 200000 | I (2) | By Fidelity BancShares (N.C.), Inc. |
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) | Reflects a change in form of ownership resulting from transfers of shares directly owned by the reporting person to indirect ownership as trustee of her revocable trust. |
(2) | The reporting person is a director, officer, manager and/or shareholder of the companies that own these shares, but she disclaims beneficial ownership of the listed shares except to the extent of her pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purpose. |
(3) | Each Depositary Share represents a 1/40th interest in a share of the Issuer's 5.375% Non-Cumulative Perpetual Preferred Stock, Series A. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Holding Olivia Britton PO BOX 1352 SMITHFIELD, NC 27577 |
| X |
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Signatures
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Olivia B. Holding, By: William R. Lathan, Jr., Attorney-in-fact | | 12/17/2021 |
**Signature of Reporting Person | Date |
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