UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Option to Buy | Â (7) | 05/19/2026 | Common Stock | 10,128 | $ 15.29 | D | Â |
Employee Option to Buy | Â (8) | 02/16/2027 | Common Stock | 15,336 | $ 19.165 | D | Â |
Employee Option to Buy | Â (9) | 02/15/2028 | Common Stock | 21,471 | $ 19.707 | D | Â |
Employee Option to Buy | Â (10) | 05/19/2026 | Common Stock | 10,127 | $ 15.29 | D | Â |
Employee Option to Buy | Â (10) | 02/16/2027 | Common Stock | 7,667 | $ 19.165 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Herron Mark F C/O PEOPLE'S UNITED BANK, N.A. 850 MAIN STREET BRIDGEPORT, CT 06604 |
 |  |  Executive Vice President |  |
/s/ Mark F. Herron | 05/03/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | Includes 288 shares owned indirectly through the People's United Financial, Inc. Employee Stock Ownership Plan. Information is based on 03/31/2018 Plan statements. |
(2) | These are restricted shares that vest in equal annual increments on Mar. 1, 2019, Mar. 1, 2020 and Mar. 1, 2021. |
(3) | These are restricted shares that vest in equal annual increments on Mar. 1, 2019 and Mar. 1, 2020. |
(4) | These are restricted shares that vest on Mar. 1, 2019. |
(5) | These are restricted shares that vest on Jan. 3, 2024. |
(6) | Shares held at Solium or brokerage account. |
(7) | Exercisable on Mar. 1 immediately following the 3rd anniversary (100%) of the grant date. |
(8) | Exercisable in equal annual increments over two years beginning on Mar. 1 immediately following the 2nd anniversary of the grant date. |
(9) | Exercisable in equal annual increments over three years beginning on Mar. 1 immediately following the 1st anniversary of the grant date. |
(10) | These options have become exercisable in accordance with the terms of the applicable option grants. |