SEC Form 4 · accession 0001562180-18-003851

People's United Financial, Inc. · PBCT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Executive Vice President

Period of report

Sep 5, 2018

Accepted (ET)

Sep 6, 2018 · 2:41 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
Common Stock	Sep 5, 2018	M	10,127	$15.29	A	31,242	D
Common Stock^F1	Sep 5, 2018	S	10,127	$18.65	D	21,115	D
Common Stock^F2,F3	Sep 5, 2018	S	849	$18.64	D	20,266	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Option to Buy^F4	$15.29	Sep 5, 2018	M	10,127	D	—	May 19, 2026	Common Stock	10,127	10,128	D

F1This transaction was executed in multiple trades at prices ranging from $18.63 to $18.66. The reported price reflects the weighted average sales 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.
F2This transaction was executed in multiple trades at prices ranging from $18.64 to $18.645. The reported price reflects the weighted average sales 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.
F3Includes 291 shares owned indirectly through the People's United Financial, Inc. Employee Stock Ownership Plan (including 3 shares acquired through dividend reinvestment). Information is based on 6/30/18 Plan statement.
F4Exercisable in annual increments on 3/1/2017 (33 1/3%); 3/1/2018 (33 1/3%); and 3/1/2019 (33 1/3%).