SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol FIRST CITIZENS BANCSHARES INC /DE/ [ FCNCA ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 03/29/2022 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Class A Common | 30,000 | D | ||||||||
Class A Common | 282,145 | I | Claire Holding Bristow 2nd Amended and Restated Trust | |||||||
Class A Common | 81,746 | I | Claire H. Bristow 2020 GRAT | |||||||
Class A Common | 12,152 | I | As Co-Trustee for Peter McDonald Bristow 2019 Irrevocable Family Trust | |||||||
Class A Common | 10,858 | I | As beneficiary of Trust | |||||||
Class A Common | 14,500 | I | By spouse as Trustee for Claire Holding Bristow 2018 Irrevocable Family Trust | |||||||
Class A Common | 8,868(1) | I | By spouse as trustee for Peter M. Bristow 2nd Amended and Restated Trust Agreement | |||||||
Class A Common | 15,145(1) | I | By daughter Ella Bristow | |||||||
Class A Common | 6,106(1) | I | PMB Investments, LLC | |||||||
Class A Common | 2,154(1) | I | CRB Investments, LLC | |||||||
Class A Common | 2,045(1) | I | EHB Investments, LLC | |||||||
Class A Common | 19,041(1) | I | By spouse as trustee for PMB Trust 2011 | |||||||
Class A Common | 19,041(1) | I | By spouse as trustee for CRB Trust 2011 | |||||||
Class A Common | 19,041(1) | I | By spouse as trustee for EHB Trust 2011 | |||||||
Class B Common | 43,786 | I | Claire Holding Bristow 2nd Amended and Restated Trust | |||||||
Class B Common | 40,014 | I | Claire H. Bristow 2020 GRAT | |||||||
Class B Common | 1,250 | I | As beneficiary of Trust | |||||||
Class B Common | 538(1) | I | By spouse as trustee for Peter M. Bristow 2nd Amended and Restate Trust Agreement | |||||||
Class B Common | 8,350(1) | I | PMB Investments, LLC | |||||||
Class B Common | 8,850(1) | I | CRB Investments, LLC | |||||||
Class B Common | 8,710(1) | I | EHB Investments, LLC | |||||||
Class B Common | 03/29/2022 | G | V | 45 | A | $0.00 | 2,295(1) | I | By daughter Ella Bristow | |
Depositary Shares(2) | 41,285 | I | Claire Holding Bristow 2nd Amended and Restated Trust |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
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. Each Depositary Share represents a 1/40th interest in a share of the Issuer's 5.375% Non-Cumulative Perpetual Preferred Stock, Series A. |
Remarks: |
Claire H. Bristow, By: E. Knox Proctor V, Attorney-in-Fact | 06/07/2022 | |
** Signature of Reporting Person | Date | |
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). | ||
** 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 is insufficient, see Instruction 6 for procedure. | ||
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 Number. |