Filing Details
- Accession Number:
- 0001209191-13-058081
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-12-20 11:54:35
- Reporting Period:
- 2013-12-19
- Filing Date:
- 2013-12-20
- Accepted Time:
- 2013-12-20 11:54:35
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 713676 | Pnc Financial Services Group Inc. | PNC | National Commercial Banks (6021) | 251435979 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1194846 | E James Rohr | One Pnc Plaza 249 Fifth Avenue Pittsburgh PA 15222-2707 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| $5 Par Common Stock | Acquisiton | 2013-12-19 | 170,137 | $74.65 | 403,177 | No | 4 | M | Direct | |
| $5 Par Common Stock | Disposition | 2013-12-19 | 170,137 | $75.67 | 233,040 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| $5 Par Common Stock | Employee Stock Option (Right-to-Buy) Reload | Disposition | 2013-12-19 | 170,137 | $74.65 | 170,137 | $74.65 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2008-05-17 | 2014-01-06 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| $5 Par Common Stock | 38,359 | Indirect | 401(k) Plan |
| $5 Par Common Stock | 58,200 | Indirect | By Spouse/Trust |
| $5 Par Common Stock | 516 | Indirect | By Daughter |
| $5 Par Common Stock | 13,314 | Indirect | By Daughter's Irrevocable Trust |
| $5 Par Common Stock | 251,121 | Indirect | By Revocable Trust |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| $5 Par Common Stock | Phantom Stock Unit | $0.00 | 30,088 | 30,088 | Indirect | ||
| $5 Par Common Stock | Phantom Stock Unit | $0.00 | 70,214 | 70,214 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 30,088 | 30,088 | Indirect | |
| 70,214 | 70,214 | Indirect |
Footnotes
- Stock option exercise and sale of underlying shares effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 15, 2013.
- Represents the weighted average price of shares sold in multiple transactions. The price range is less than $1.00. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, full information regarding the number of shares sold at each separate price.
- The amount of securities beneficially owned represents the number of shares of common stock indirectly held for the account of the reporting person under The PNC Financial Services Group, Inc. ("PNC") Incentive Savings Plan (the "ISP"). Shares of PNC common stock are not directly allocated to ISP participants, but instead are held in a unitized fund, approximately 98% of which consists of PNC common stock, and the remainder of which is invested in a money market fund.
- Each phantom stock unit is the economic equivalent of one share of PNC Common Stock. Phantom stock units will be settled in cash upon distribution to the reporting person and generally do not expire.
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