0001127602-14-028159.txt : 20140918 0001127602-14-028159.hdr.sgml : 20140918 20140918163556 ACCESSION NUMBER: 0001127602-14-028159 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140917 FILED AS OF DATE: 20140918 DATE AS OF CHANGE: 20140918 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NATIONAL PENN BANCSHARES INC CENTRAL INDEX KEY: 0000700733 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 232215075 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 645 HAMILTON STREET, #1100 CITY: ALLENTOWN STATE: PA ZIP: 18101 BUSINESS PHONE: 1-800-822-3321 MAIL ADDRESS: STREET 1: 645 HAMILTON STREET, #1100 CITY: ALLENTOWN STATE: PA ZIP: 18101 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MARTIN CHRISTIAN F IV CENTRAL INDEX KEY: 0001246955 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22537-01 FILM NUMBER: 141110345 MAIL ADDRESS: STREET 1: 90 HIGHLAND AVENUE CITY: BETHLEHEM STATE: PA ZIP: 18017 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2014-09-17 0000700733 NATIONAL PENN BANCSHARES INC NPBC 0001246955 MARTIN CHRISTIAN F IV 645 HAMILTON STREET ALLENTOWN PA 18101 1 Common Stock 2014-09-17 4 P 0 999.0001 10.01 A 374661.0985 D Common Stock 4876 I Daughter Common Stock 53226.9475 I Spouse Common Stock 62381.33 I Subsidiary Phantom Stock (RSUs) Common Stock 37748 37748 D Phantom Stock (Deferred Stock) Common Stock 33006.7365 33006.7365 D Balance includes shares acquired upon reinvestment of cash dividends under the Company's exempt Dividend Reinvestment Plan. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. 1 for 1 The phantom stock units granted under the National Penn Bancshares, Inc. Long-Term Incentive Compensation Plan are to be settled in National Penn Bancshares, Inc. common stock upon the reporting person's retirement from the Board. Balance includes Phantom stock units acquired upon "reinvestment" of dividends accrued on phantom stock units under the Long-Term Incentive Compensation Plan. Because the Company has a dividend reinvestment plan available to substantially all of its shareholders on terms similar to the dividend reinvestment feature of the Long-Term Incentive Compensation Plan, the acquisition of phantom stock units with "reinvested" dividends is exempt from the line item reporting under SEC Rule 16a-11. The phantom stock units were accrued under the National Penn Bancshares, Inc. Directors' Fee Plan and are to be settled in National Penn Bancshares, Inc. common stock upon the reporting person's retirement as a director or reaching the age of 65, as elected by such person. Balance includes Phantom stock units acquired upon "reinvestment" of dividends accrued on phantom stock units under the Directors' Fee Plan. Because the Company has a dividend reinvestment plan available to substantially all of its shareholders on terms similar to the dividend reinvestment feature of the Directors' Fee Plan, the acquisition of phantom stock units with "reinvested" dividends is exempt from line item reporting under SEC Rule 16a-11. /s/ Sean P. Kehoe, by power of attorney 2014-09-18