|
FORM 4
[ ] Check this box if no longer
subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
Holding, Frank B.
(Last) (First) (Middle)
Post office Box 1377
(Street)
Smithfield, NC 27577
(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol First Citizens BancShares, Inc.
FCNCA 3. I.R.S. Identification
Number of Reporting Person, if an entity (voluntary) |
4. Statement for (Month/Day/Year 05/01/2003
5. If Amendment, Date of Original (Month/Day/Year) |
6. Relationship of Reporting Person(s) to Issuer
(Check all applicable) X Director
X 10% Owner
X Officer (give title below)
Other (specify below)
Description
Vice Chairman
7. Individual or Joint/Group
Filing (Check Applicable Line) X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1. Title of Security (Instr. 3) |
2.Transaction
Date (Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr. 8) |
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4, and 5) |
5. Amount of
Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) |
6. Owner-
ship Form: Direct (D) or Indirect (I) (Instr. 4) |
7. Nature of
Indirect Beneficial Ownership (Instr. 4) |
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Code
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V
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Amount
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A/D
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Price
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Class A Common Stock
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|
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|
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$
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1,633,003
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D
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|||||
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Class A Common Stock
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$
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119,808
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I
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By spouse
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Class A Common Stock
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03/11/2003
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P
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10
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A
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$94.00
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44,235
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I (a)
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By adult daughter (Olivia)
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Class A Common Stock
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04/09/2003
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P
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100
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A
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$95.08
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46,804
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I (a)
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By adult daughter (Carson) and her children
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Class A Common Stock
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$
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45,632
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I (a)
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By adult daughter (Claire)
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Class A Common Stock
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$
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30,057
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I (a)
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By adult daughter (Hope)
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Class A Common Stock
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$
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63,009
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I (a)
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By adult son (Frank, Jr.) and his children
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Class A Common Stock
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$
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3,846
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I (a)
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By son-in-law (John) and his children
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Class A Common Stock
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$
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5,500
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I (a)
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By daughter-in-law (Ruth)
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Class A Common Stock
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$
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1,645
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I (a)
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By son-in-law (Peter) and his children
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Class A Common Stock
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$
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100,000
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I (b)
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By Fidelity BancShares (N.C.), Inc.
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Class A Common Stock
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$
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167,600
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I (b)
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By First Citizens Bancorporation of SC
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Class A Common Stock
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$
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46,000
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I (b)
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By Southern Bank and Trust Company
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Class A Common Stock
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$
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24,584
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I (b)
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By Southern BancShares (N.C.), Inc.
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Class A Common Stock
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$
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54,000
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I (b)
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By Goshen, Inc.
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Class A Common Stock
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$
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28,628
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I (b)
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By The Heritage Bank
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Class A Common Stock
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8,077
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I (b)
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By Twin States Farming
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Class A Common Stock
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$
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26,430
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I (a)
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By trusts for adult children
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Class B Common Stock
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04/09/2003
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P
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25
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A
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$93.08
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102,817
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I (a)
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By adult daughter (Olivia)
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Class B Common Stock
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$
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99,635
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I (a)
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By adult daughter (Carson)
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Class B Common Stock
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$
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73,652
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I (a)
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By adult daughter (Claire)
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Class B Common Stock
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$
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90,859
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I (a)
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By adult daughter (Hope)
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Class B Common Stock
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$
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16,893
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I (a)
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By son-in-law (John) and his children
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Class B Common Stock
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$
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25,910
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I (a)
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By son-in-law (Peter) and his children
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Class B Common Stock
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$
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650
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I (a)
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By adult daugter-in-law (Ruth)
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Class B Common Stock
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$
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128,523
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I (a)
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By adult son (Frank, Jr.) and his children
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Class B Common Stock
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$
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45,900
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I (b)
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By First Citizens Bancorporation of SC
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Class B Common Stock
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$
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22,219
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I (b)
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By Southern BancShares (N.C.), Inc.
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Class B Common Stock
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$
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1,225
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I (b)
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By Twin States Farming
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Class B Common Stock
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$
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6,175
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I (a)
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By trusts for adult children
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security
(Instr. 3) |
2. Conver-
sion or Exercise Price of Deri- vative Security |
3. Transaction Date
(Month/ Day/ Year) |
3A. Deemed Execution Date, if any
(Month/ Day/ Year) |
4. Transaction Code (Instr.8) |
5. Number of Derivative Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) |
6. Date Exercisable(DE) and
Expiration Date(ED) (Month/Day/Year) |
7. Title and Amount of
Underlying Securities (Instr. 3 and 4) |
8. Price
of Derivative Security (Instr.5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.4) |
10. Owner- ship Form of Deriv- ative Securities: Direct (D) or Indirect (I) (Instr.4) |
11. Nature of Indirect Beneficial Ownership (Instr.4) |
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Code
|
V
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A
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D
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DE
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ED
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(a) The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purpose.
(b) The reporting person is a director, officer and/or principal shareholder of the named company, but disclaims beneficial ownership of the listed shares except to the extent of his pecuniary interest therein. |
| By: | Date: |
| /s/ Frank B. Holding, /s/By: William R. Lathan, Jr. | 05/01/2003 |
| ** Signature of Reporting Person | SEC 1474 (9-02) |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |