FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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(Print or Type Responses)
1. Name and Address of Reporting Person *
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BRISTOW PETER M |
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2. Issuer Name and Ticker or Trading Symbol FIRST CITIZENS BANCSHARES INC /DE/ [FCNCA]
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5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director
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__X__ 10% Owner
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__X__ Officer (give title below)
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_____ Other (specify below)
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President
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4300 SIX FORKS ROAD |
3. Date of Earliest Transaction (Month/Day/Year) 07/05/2019 |
RALEIGH, NC 27609 |
4. If Amendment, Date Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Transaction Date (Month/Day/Year)
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2A. Deemed Execution Date, if any (Month/Day/Year)
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3. Transaction Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common |
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| 6,737 | D |
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Class A Common |
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| 30,000 (1) | I | By Spouse |
Class A Common |
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| 14,500 (1) | I | As trustee for Claire Holding Bristow 2018 Irrevocable Family Trust |
Class A Common |
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| 14,533 | I | As Trustee for Peter M. Bristow 2nd Amended and Restated Trust |
Class A Common Stock | 07/05/2019 |
| S |
| 5,000 | D |
$457.99 (2) | 236,858 (1) | I | Claire Holding Bristow 2nd Amended and Restate Trust |
Class A Common | 07/05/2019 |
| S |
| 5,000 | D |
$455.02 (3) | 231,858 (1) | I | Claire Holding Bristow 2nd Amended and Restated Trust |
Class A Common |
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| 10,858 (1) | I | Spouse as beneficiary of trust |
Class A Common |
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| 10,850 (1) | I | As custodian for Peter Bristow, Jr. |
Class A Common |
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| 12,566 (1) | I | As custodian for Charlotte Bristow |
Class A Common |
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| 12,410 (1) | I | As custodian for Ella Bristow |
Class A Common |
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| 6,106 (1) | I | PMB Investments, LLC |
Class A Common |
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| 2,154 (1) | I | CRB Investments, LLC |
Class A Common |
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| 2,045 (1) | I | EHB Investments, LLC |
Class A Common |
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| 19,041 (1) | I | As trustee for PMB Trust 2011 |
Class A Common |
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| 19,041 (1) | I | As trustee for CRB Trust 2011 |
Class A Common |
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| 19,041 (1) | I | As trustee for EHB Trust 2011 |
Class A Common |
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| 1,808 (1) | I | By son, Peter M. Bristow, Jr. |
Class B Common |
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| 538 | D |
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Class B Common |
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| 82,866 (1) | I | Claire Holding Bristow 2nd Amended and Restated Trust |
Class B Common |
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| 1,250 (1) | I | Spouse as beneficiary of Trust |
Class B Common |
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| 2,080 (1) | I | As custodian for Peter Bristow, Jr. |
Class B Common |
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| 2,081 (1) | I | As custodian for Charlotte Bristow |
Class B Common |
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| 2,081 (1) | I | As custodian for Ella Bristow |
Class B Common |
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| 8,350 (1) | I | PMB Investments, LLC |
Class B Common |
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| 8,850 (1) | I | CRB Investments, LLC |
Class B Common |
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| 8,710 (1) | I | EHB Investments, LLC |
Class B Common |
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| 82 (1) | I | By Son, Peter M. Bristow, Jr. |
Class B Common |
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| 82 (1) | I | By daughter, Charlotte Bristow |
Class B Common |
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| 82 (1) | I | By daughter, Ella Bristow |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
| 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. | SEC 1474 (9-02) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date (Month/Day/Year)
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3A. Deemed Execution Date, if any (Month/Day/Year)
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4. Transaction Code (Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5)
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6. Date Exercisable and Expiration Date (Month/Day/Year)
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7. Title and Amount of Underlying Securities (Instr. 3 and 4)
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8. Price of Derivative Security (Instr. 5)
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9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Reporting Owners
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BRISTOW PETER M 4300 SIX FORKS ROAD RALEIGH, NC 27609 |
X
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X
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President |
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Signatures
Peter M. Bristow, By: William R. Lathan, Jr., Attorney-in-fact | |
07/08/2019 |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | If the form is filed by more than one reporting person, see Instruction 4(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) | 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 of the Securities Exchange Act of 1934 or for any other purpose. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at pieces ranging from $457.99 to $458.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) of this Report. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at pieces ranging from $455.00 to $455.77, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) of this Report. |
Note: File three copies of this Form, one of which must be manually signed. If space 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 number.
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