05/26/16 - People`s United Bank

UNITED S TATES S ECURITIES AND EXCHANGE COMMIS S ION
Washington, D.C. 20549
FORM 4
 Che ck this box if no longe r
subject to Se ction 16. Form 4 or
Form 5 obligations may continue .
See Instruction 1(b).
(Print or Type Responses)
1. Name and Address of Reporting Person*
Barnes
John
(Last)
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
People’s United Financial, Inc. (PBCT)
(Middle)
People’s United Bank
850 Main Street
3. Date of Earliest Transaction Required to be Reported
(Month/Day/Year)
X
Director
10% Owner
X
Officer (give
title below)
Other (specify
below)
President and CEO
May 26, 2016
(Street)
4. If Amendment, Date Original Filed (Month/Day/Year)
6.
Individual or Joint/Group Filing (Check Applicable Line)
X
Bridgeport
CT
(City)
(State)
OMB Number:
3235-0287
Expires:
December 31, 2014
Estimated average burden
hours per response. . . . . . . .0.5
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
2. Issuer Name and T icker or Trading Symbol
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
P.
(First)
OMB APPROVAL
06604
Form filed by One Reporting P erson
Form filed by More than One Reporting P erson
(Zip)
Table I — Non-De rivative Se curitie s Acquire d, Dispose d of, or Be ne ficially O wne d
1. T itle of Security
(Instr. 3)
2. T ransaction
Date
(Month/Day/
Year)
2A.
Deemed
Execution
Date, if
any
(Month/
Day/
Year)
3. T ransaction
Code
(Instr. 8)
4.
Securities Acquired (A)
or Disposed of (D)
(Instr. 3, 4 and 5)
5.
Amount of
Securities
Beneficially
Owned
Following
Reported
T ransaction(s)
(Instr. 3 and 4)
Code
V
Amount
(A)
or
(D)
Price
6. Ownership
Form:
Direct
(D) or
Indirect
(I)
(Instr. 4)
Common Stock
05/26/16
G (1)
44,466
D
$0
115,849 (2)
D
Common Stock
05/26/16
G (1)
44,466
A
$0
332,465
I
7. Nature of
Indirect
Beneficial
Ownership
(Instr. 4)
John P. Barnes
Living Trust
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).
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.
SEC 1474 (6-03)
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FORM 4 (continued)
1. Title of
Derivative
Security
(Instr. 3)
2.Conversion or
Exercise
Price of
Derivative
Security
Table II - Derivative S ecurities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
3. Transaction
Date
(Month/
Day/
Year)
3A.
Deemed
Execution
Date, if
any
(Month/
Day/
Year)
4.
Transaction
Code
(Instr. 8)
Code
V
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
(A)
(D)
6. Date Exercisable and
Expiration
Date
(Month/Day/
Year)
Date
Exercisable
Expiration
7. Title and Amount of
Underlying Securities
(Instr. 3 and 4)
Title
Date
8.
Price
of
Derivative
Security
(Instr.
5)
Amount
or
Number
of Shares
9. Number
of Derivative Securities
Beneficially
Owned
Following
Reported
Transaction(s)
(Instr. 4)
10. Ownership
Form of
Derivative
Security
Direct
(D) or
Indirect
(I)
(Instr. 4)
11. Nature
of
Indirect
Beneficial
Ownership
(Instr. 4)
Explanation of Responses:
(1) These shares were transferred to the John P. Barnes Living Trust. The reporting person is the grantor and a co-trustee of the trust.
(2) Includes 3,768 shares owned indirectly through the People’s United Bank 401(k) Plan (including 42 shares acquired through dividend reinvestment) and 3,441 shares owned
indirectly through the People’s United Financial, Inc. Employee Stock Ownership Plan (including 39 shared acquired through dividend reinvestment). Information is based on
3/31/16 Plan statements.
/s/John P. Barnes
** Signature of Reporting Person
May 26, 2016
Date
** 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.
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