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 (6) | 02/21/2018 | Common Stock | 5,715 | $ 16.94 | D | Â |
Employee Option to Buy | Â (7) | 10/09/2018 | Common Stock | 48,200 | $ 17.445 | D | Â |
Employee Option to Buy | Â (8) | 01/22/2019 | Common Stock | 8,966 | $ 16.575 | D | Â |
Employee Option to Buy | Â (9) | 01/28/2020 | Common Stock | 8,821 | $ 15.8 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Powlus Lee C C/O PEOPLE'S UNITED BANK 850 MAIN STREET BRIDGEPORT, CT 06604 |
 |  |  Exec VP, Chief Admin. Officer |  |
/s/ Lee C. Powlus | 09/20/2010 | |
**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) | (1) Includes 567 shares owned indirectly through the People's United Bank 401(k) Plan (including 30 shares acquired through dividend reinvestment) and 378 shares owned indirectly through the People's United Financial, Inc. Employee Stock Ownership Plan (including 12 shares acquired through dividend reinvestment). Information is based on 9/16/10 Plan statements. |
(2) | These are restricted shares that vest in annual increments on 2/1/2011 (50%) and 2/1/2012 (50%). |
(3) | These are restricted shares that vest in annual increments of 20% over the course of five years, beginning on the first anniversary of the date of the grant (10/9/08). |
(4) | These are restricted shares that vest in annual increments on 2/1/2011 (50%); 2/1/2012 (25%); and 2/1/2013 (25%). |
(5) | These are restricted shares that vest in annual increments on 1/25/2012 (50%); 1/25/2013 (25%); and 1/25/2014 (25%). |
(6) | Exercisable in annual increments on 2/1/2011 (50%) and 2/1/2012 (50%). |
(7) | Exercisable in annual increments of 20% over the course of five years, beginning on the first anniversary of the date of the grant (10/9/08). |
(8) | Exercisable in annual increments on 2/1/2011 (50%); 2/1/2012 (25%); and 2/1/2013 (25%). |
(9) | Exercisable in annual increments on 1/25/2012 (50%); 1/25/2013 (25%); and 1/25/2014 (25%). |