SEC Form 4 · accession 0001209191-19-001794
PNC FINANCIAL SERVICES GROUP, INC. · PNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald J Shepard
Director
Period of report
Jan 2, 2019
Accepted (ET)
Jan 4, 2019 · 1:35 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000713676
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitF2,F1 | — | Jan 2, 2019 | A | 379 | A | — | — | $5 Par Common Stock | 379 | 21,569 | I |
| Phantom Stock UnitF3,F1 | — | holding | — | — | — | — | — | $5 Par Common Stock | 20,293 | 20,293 | I |
| Deferred Stock UnitF5,F4 | — | holding | — | — | — | — | — | $5 Par Common Stock | 2,247 | 2,247 | D |
Explanation of responses
- F1One 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.
- F2Includes an aggregate of 154 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.
- F3Includes an aggregate of 147 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.
- F4Deferred stock unit ("DSU") granted pursuant to The PNC Directors Deferred Stock Unit Program (the "Program") under PNC's 2016 Incentive Award Plan. Each DSU represents the right to receive at retirement a share of PNC Common Stock (a "Share") or in limited circumstances cash equal to the fair market value of one Share on the payment determination date, pursuant to the terms of the Program.
- F5Includes an aggregate of 15 DSUs acquired by the reporting person as dividend equivalents under the Program subsequent to the date of the reporting person's most recent filing on Form 4.