0001562180-19-005286.txt : 20191030 0001562180-19-005286.hdr.sgml : 20191030 20191030184640 ACCESSION NUMBER: 0001562180-19-005286 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191030 FILED AS OF DATE: 20191030 DATE AS OF CHANGE: 20191030 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NORTON DAVID K CENTRAL INDEX KEY: 0001116288 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33326 FILM NUMBER: 191181478 MAIL ADDRESS: STREET 1: C/O PEOPLE'S UNITED BANK STREET 2: 850 MAIN STREET, 16TH FLOOR CITY: BRIDGEPORT STATE: CT ZIP: 06604 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: People's United Financial, Inc. CENTRAL INDEX KEY: 0001378946 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: C/O PEOPLE'S BANK STREET 2: 850 MAIN STREET CITY: BRIDGEPORT STATE: CT ZIP: 06604 BUSINESS PHONE: 203-338-4114 MAIL ADDRESS: STREET 1: C/O PEOPLE'S BANK STREET 2: 850 MAIN STREET CITY: BRIDGEPORT STATE: CT ZIP: 06604 4 1 primarydocument.xml PRIMARY DOCUMENT X0306 4 2019-10-30 false 0001378946 People's United Financial, Inc. PBCT 0001116288 NORTON DAVID K PEOPLE'S UNITED BANK 850 MAIN STREET BRIDGEPORT CT 06604 false true false false Sr Ex VP & Chief HR Offcr Common Stock 2019-10-30 4 M false 175050.00 16.54 A 290491.00 D Common Stock 2019-10-30 4 M false 63300.00 15.80 A 353791.00 D Common Stock 2019-10-30 4 S false 175050.00 16.68 D 178741.00 D Common Stock 2019-10-30 4 S false 63300.00 16.56 D 115441.00 D Employee Option to Buy 16.54 2019-10-30 4 M false 175050.00 0.00 A 2019-11-19 Common Stock 175050.00 0.00 D Employee Option to Buy 15.80 2019-10-30 4 M false 63300.00 0.00 A 2020-01-28 Common Stock 63300.00 0.00 D This transaction was executed in multiple trades at prices ranging from $16.55 to $16.79. The reported price reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request by the SEC staff, People's United Financial, Inc. or a shareholder of People's United Financial, Inc. full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $16.55 to $16.585. The reported price reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request by the SEC staff, People's United Financial, Inc. or a shareholder of People's United Financial, Inc. full information regarding the number of shares and prices at which the transaction was effected. Includes 16,489 shares owned indirectly through the People's United Bank 401(k) Plan (including 201 shares acquired through dividend reinvestment). Also includes 3,051 shares owned indirectly through the People's United Financial, Inc. Employee Stock Ownership Plan (including 37 shares acquired through dividend reinvestment). Information is based on 9/30/2019 Plan statements. Exercisable in annual increments of 20% over the course of five years, beginning on the first anniversary of the date of the grant. Exercisable in annual increments on 1/25/2012 (50%); 1/25/2013 (25%); and 1/25/2014 (25%). /s/ David K. Norton 2019-10-30