SEC Form 4 · accession 0001209191-16-144118
PNC FINANCIAL SERVICES GROUP, INC. · PNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Donald J Shepard
Director
Period of report
Sep 30, 2016
Accepted (ET)
Oct 4, 2016 · 3:59 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000713676
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| $5 Par Common StockF1 | Sep 30, 2016 | M | 272 | $0.00 | A | 9,239 | D | |
| $5 Par Common Stock | Sep 30, 2016 | D | 272 | $90.09 | D | 8,967 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitF1,F2 | — | Sep 30, 2016 | M | 272 | D | Sep 30, 2016 | Sep 30, 2016 | $5 Par Common Stock | 272 | 939 | I |
| Phantom Stock UnitF4,F3 | — | Oct 3, 2016 | A | 754 | A | — | — | $5 Par Common Stock | 754 | 17,671 | I |
| Phantom Stock UnitF5,F3 | — | holding | — | — | — | — | — | $5 Par Common Stock | 19,312 | 19,312 | I |
Explanation of responses
- F1One phantom stock unit was the economic equivalent of one share of The PNC Financial Services Group, Inc. ("PNC") Common Stock. The units were settled in cash and distributed to the reporting person on the transaction date.
- F2Includes an aggregate of 8 Phantom Stock Units acquired by the reporting person as dividend equivalents under the PNC Deferred Compensation Plan subsequent to the date of the reporting person's most recent filing on Form 4.
- F3One phantom stock unit is the economic equivalent of one share of The PNC Financial Services Group, Inc. ("PNC") Common Stock. Phantom stock units will be settled in cash upon distribution to the reporting person and generally do not expire.
- F4Includes an aggregate of 110 Phantom Stock Units acquired by the reporting person as dividend equivalents under the PNC Deferred Compensation Plan subsequent to the date of the reporting person's most recent filing on Form 4.
- F5Includes an aggregate of 126 Phantom Stock Units acquired by the reporting person as dividend equivalents under the PNC Outside Directors Deferred Stock Unit Plan subsequent to the date of the reporting person's most recent filing on Form 4.
Remarks
See attached footnotes page.