0001127602-15-034609.txt : 20151218 0001127602-15-034609.hdr.sgml : 20151218 20151218160339 ACCESSION NUMBER: 0001127602-15-034609 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151217 FILED AS OF DATE: 20151218 DATE AS OF CHANGE: 20151218 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: 151296859 MAIL ADDRESS: STREET 1: 90 HIGHLAND AVENUE CITY: BETHLEHEM STATE: PA ZIP: 18017 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2015-12-17 0000700733 NATIONAL PENN BANCSHARES INC NPBC 0001246955 MARTIN CHRISTIAN F IV 645 HAMILTON STREET ALLENTOWN PA 18101 1 Common Stock 2015-12-17 4 P 0 816.327 12.25 A 414558.5947 D Common Stock 5146 I Daughter Common Stock 53226.9475 I Spouse Common Stock 66245.8226 I Subsidiary Phantom Stock (Deferred Stock) Common Stock 39239.703 39239.703 D Phantom Stock (RSUs) Common Stock 45627 45627 D Shares purchased through voluntary cash contribution feature of NPBC's Dividend Reinvestment Plan, per the reporting person's 10b5-1 Plan dated April 28, 2015 and approved by NPBC's Board of Directors. 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 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 termination of service 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. 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 after vesting and upon the reporting person's resignation 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. /s/ Sean P. Kehoe, by power of attorney 2015-12-18