SEC Form 4 · accession 0001562180-16-003064
People's United Financial, Inc. · PBCT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David K Norton
Officer — Sr Ex VP & Chief HR Offcr
Period of report
Aug 31, 2016
Accepted (ET)
Aug 31, 2016 · 3:54 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001378946
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Aug 31, 2016 | S | 15,495 | $16.05 | D | 124,648 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $16.05 to $16.055. The reported price reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request by the SEC staff, People's United Financial, Inc. or a shareholder of People's United Financial, Inc. full information regarding the number of shares and prices at which the transaction was effected.
- F2Includes 11,130 shares owned indirectly through the People's United Bank 401(k) Plan (including 123 shares acquired through dividend reinvestment). Also includes 1,879 shares owned indirectly through the People's United Financial, Inc. Employee Stock Ownership Plan (including 21 shares acquired through dividend reinvestment). Information is based on 6/30/16 Plan statements.