SEC Form 4 · accession 0001562180-18-001033
People's United Financial, Inc. · PBCT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R David Rosato
Officer — Sr EVP and CFO
Period of report
Feb 15, 2018
Accepted (ET)
Feb 16, 2018 · 3:13 pm EST
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 | Feb 15, 2018 | A | 7,183 | $0.00 | A | 87,564 | D | |
| Common Stock | holding | — | — | — | 355 | I | IRA f/b/o Dana Rosato | |
| Common Stock | holding | — | — | — | 120 | I | IRA f/b/o Kevin Rosato |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Option to BuyF3 | $19.707 | Feb 15, 2018 | A | 63,464 | A | — | Feb 15, 2028 | Common Stock | 63,464 | 63,464 | D |
Explanation of responses
- F1These are restricted shares that vest in annual increments on 3/1/19 (33 1/3%); 3/1/20 (33 1/3%); and 3/1/21 (33 1/3%).
- F2Includes 3,554 shares owned indirectly through the People's United Financial, Inc. Employee Stock Ownership Plan (including 30 shares acquired through dividend reinvestment). Information based on 12/31/17 Plan statements.
- F3Exercisable in annual increments on 3/1/19 (33 1/3%); 3/1/20 (33 1/3%); and 3/1/21 (33 1/3%).