SEC Form 5 · accession 0001209191-19-010428
POPULAR, INC. · BPOP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Manuel Chinea
Officer — Executive Vice President
Period of report
Dec 31, 2018
Accepted (ET)
Feb 14, 2019 · 7:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000763901
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock Par Value $0.01 per share | Dec 31, 2018 | J | 160 | $0.00 | A | 18,736 | D | |
| Common Stock Par Value $0.01 per share | Dec 31, 2018 | J | 46 | $0.00 | A | 18,782 | D | |
| Common Stock Par Value $0.01 per share | Dec 31, 2018 | A | 91 | $0.00 | A | 18,873 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF4,F6 | — | Dec 31, 2018 | J | 41 | A | — | — | Common Stock Par Value $0.01 per share | 41 | 2,777 | D |
Explanation of responses
- F1Shares acquired pursuant to reinvestment of dividends paid by the Corporation and which are exempt under Section 16 of the Securities Exchange Act.
- F2Shares acquired under the Popular, Inc. USA 401(K) Savings and Investment Plan pursuant to reinvestment of dividends paid by the Corporation and which are exempt under Section 16 of the Securities Exchange Act.
- F3Shares acquired under the Popular, Inc. USA 401(K) Savings and Investment Plan in exempt transactions under Section 16 of the Securities Exchange Act.
- F4Each share of phantom stock is the economic equivalent of one share of the Corporation's common stock.
- F5Shares acquired under the Popular North America Deferral Plan pursuant to reinvestment of dividends paid by the Corporation and which are exempt under Section 16 of the Securities Exchange Act.
- F6Shares of phantom stock are payable following the termination of the reporting person's employment with the Corporation. The reporting person may transfer his phantom stock account into an alternative investment account at any time.