SEC Form 4 · accession 0001209191-16-146838
PNC FINANCIAL SERVICES GROUP, INC. · PNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph E Rockey
Officer — Executive Vice President
Period of report
Oct 21, 2016
Accepted (ET)
Oct 25, 2016 · 3:11 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 | Oct 21, 2016 | M | 14,000 | $72.65 | A | 25,080 | D | |
| $5 Par Common StockF2 | Oct 21, 2016 | S | 14,000 | $92.93 | D | 11,080 | D | |
| $5 Par Common Stock | Oct 21, 2016 | M | 2,400 | $75.85 | A | 13,480 | D | |
| $5 Par Common Stock | Oct 21, 2016 | S | 2,400 | $92.924 | D | 11,080 | D | |
| $5 Par Common Stock | Oct 21, 2016 | G | 550 | $0.00 | D | 10,530 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right-to-Buy) | $72.65 | Oct 21, 2016 | M | 14,000 | D | Jan 25, 2008 | Jan 25, 2017 | $5 Par Common Stock | 14,000 | 0 | D |
| Employee Stock Option (Right-to-Buy) | $75.85 | Oct 21, 2016 | M | 2,400 | D | Apr 20, 2008 | Apr 20, 2017 | $5 Par Common Stock | 2,400 | 0 | D |
Explanation of responses
- F1Includes an aggregate of 58 shares acquired by the reporting person through dividend reinvestment under the Issuer's Dividend Reinvestment and Stock Purchase Plan subsequent to the date of the reporting person's most recent filing on Form 4.
- F2Represents the weighted average price of shares sold in multiple transactions with prices ranging from $92.92 to $92.97. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, full information regarding the number of shares sold at each separate price.
Remarks
See attached footnotes page.