-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, H+KN9aaK2IdnvyPHIxSQAGdJ6uATSlOwy7ZyQ6HU3cQscWKHEbJOrbhJpWRL8wOf TuMPS02au1q2DwhXIlzStg== 0000950159-03-000017.txt : 20030106 0000950159-03-000017.hdr.sgml : 20030106 20030106161005 ACCESSION NUMBER: 0000950159-03-000017 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030102 FILED AS OF DATE: 20030106 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22537-01 FILM NUMBER: 03505182 BUSINESS ADDRESS: STREET 1: PHILADELPHIA AND READING AVE STREET 2: PO 547 CITY: BOYERTOWN STATE: PA ZIP: 19512 BUSINESS PHONE: 2153676001 MAIL ADDRESS: STREET 1: POST OFFICE BOX 547 STREET 2: POST OFFICE BOX 547 CITY: BOYERTOWN STATE: PA ZIP: 19512 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: RIGG ROBERT E CENTRAL INDEX KEY: 0001145539 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: NATIONAL PENN BANCSHARES INC STREET 2: PHILADELPHIA & READING AVENUES CITY: BOYERTOWN STATE: PA ZIP: 19512 BUSINESS PHONE: 6103696202 MAIL ADDRESS: STREET 1: NATIONAL PENN BANCSHARES INC STREET 2: PHILADELPHIA & READING AVENUES CITY: BOYERTOWN STATE: PA ZIP: 19512 4 1 riggf4.txt U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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(f) of the Investment Company Act of 1940 [_] Check box if no longer subject of Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ________________________________________________________________________________ 1. Name and Address of Reporting Person 1 Rigg Robert E. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 750 Fairview Road - -------------------------------------------------------------------------------- (Street) Glenmoore PA 19343 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol National Penn Bancshares, Inc. (NPBC) ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year January 2, 2003 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [_] 10% Owner [_] Officer (give title below) [_] Other (specify below) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [X] Form filed by one Reporting Person [_] Form filed by more than one Reporting Person ________________________________________________________________________________ ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. 2. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of Transaction Code ------------------------------- Owned at End (D) or Indirect 1. Date (Instr. 8) (A) of Month Indirect Beneficial Title of Security (Month/Day/ ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) Year) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------- Common Stock 312,227(1) D - ------------------------------------------------------------------------------------------------------------------------- Common Stock 9,048(1) I Spouse - ------------------------------------------------------------------------------------------------------------------------- Common Stock 8,898(1) I Profit Sharing Plan - ------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------- Page 1 of 3 ========================================================================================================================= Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Potential persons who are to 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. (Over) SEC 1474 (3-99)
FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) (3) - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option 26.388 1/2/03 A V 1,094 1/2/05 1/2/2013 Common 1,094 1,094 D (Right to Buy) (2) (3) Stock (4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ==================================================================================================================================== Page 2 of 3
Explanation of Responses: /s/ Robert E. Rigg 1/6/03 - --------------------------------------------- -------------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Potential persons who are to 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. FORM 4 FOOTNOTES ---------------- Name of Reporting Person: Robert E. Rigg Name of Issuer: National Penn Bancshares, Inc. Period Covered: January 2, 2003 Footnotes: (1) No reportable activity since last filing dated January 3, 2003. (2) Reflects adjustment on account of 5% stock dividend paid by the Company on December 27, 2002. (3) Under certain circumstances, the exercise date may be accelerated, but not to a date before 7/2/03, except in the case of death or disability. (4) Additional options held with various exercise prices or expiration dates. Total options held, after adjustment for 5% stock dividend paid by the Company on December 27, 2002, are 5,470. Page 3 of 3 -----END PRIVACY-ENHANCED MESSAGE-----