Filing Details
- Accession Number:
- 0001445305-14-004206
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-09-30 15:51:44
- Reporting Period:
- 2014-09-29
- Filing Date:
- 2014-09-30
- Accepted Time:
- 2014-09-30 15:51:44
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 759944 | Citizens Financial Group Inc | CFG | State Commercial Banks (6022) | 050412693 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1199914 | Bruce Saun Van | C/O Citizens Financial Group, Inc. 600 Washington Blvd. Stamford CT 06901 | Chairman And Ceo | Yes | Yes | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-09-29 | 267,962 | $0.00 | 267,962 | No | 4 | J | Direct | |
| Common Stock | Acquisiton | 2014-09-29 | 45,000 | $21.50 | 312,962 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | J | Direct | |
| No | 4 | P | Direct |
Footnotes
- Upon closing of the Issuer's initial public offering (the "IPO"), deferred share awards with respect to ordinary shares of The Royal Bank of Scotland Group plc, nominal value GBP1.00 per share, which were previously granted to the reporting person under the RBS 2010 Deferral Plan Rules were converted into awards under the Issuer's Converted Equity 2010 Deferral Plan (the "Deferral Plan"), as approved by the Issuer's Board of Directors. This number reflects 42,896 shares of Common Stock of the Issuer underlying these awards following the conversion. Subject to the terms of the Deferral Plan and the applicable award certificate, these deferred share awards are scheduled to vest in March 2015.
- This number also reflects 225,066 shares of Common Stock of the Issuer underlying the grant of a special IPO award previously made to the reporting person under the RBS 2010 Long Term Incentive Plan, which was converted into an award under the Issuer's Converted Equity 2010 Long Term Incentive Plan (the "LTIP") upon the closing of the IPO, as approved by the Issuer's Board of Directors. Subject to the terms of the LTIP and the applicable award certificate, the special (IPO) award is generally scheduled to vest in equal installments in March 2016 and March 2017.
- This number reflects shares of Common Stock purchased under the Issuer's Directed Share Program in connection with the Issuer's IPO.
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