UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Option to Buy | Â (7) | 02/20/2013 | Common Stock | 2,128 | $ 5.3143 | D | Â |
Employee Option to Buy | Â (7) | 02/19/2014 | Common Stock | 3,617 | $ 9.4466 | D | Â |
Employee Option to Buy | Â (8) | 02/17/2015 | Common Stock | 4,190 | $ 12.0223 | D | Â |
Employee Option to Buy | Â (9) | 02/16/2016 | Common Stock | 2,646 | $ 14.9119 | D | Â |
Employee Option to Buy | Â (10) | 02/15/2017 | Common Stock | 1,785 | $ 21.6308 | D | Â |
Employee Option to Buy | Â (11) | 10/25/2017 | Common Stock | 46,100 | $ 18.1 | D | Â |
Employee Option to Buy | Â (12) | 02/21/2018 | Common Stock | 11,067 | $ 16.94 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Trautmann Robert E C/O PEOPLE'S UNITED BANK 850 MAIN STREET BRIDGEPORT, CT 06604 |
 |  |  Exec. VP and GC |  |
/s/ Robert E. Trautmann | 10/09/2008 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Includes 2,128 shares owned indirectly through the People's United Bank 401(k) Plan. Also includes 240 investment units accrued under the People's United Bank excess benefits plan and 574 shares owned indirectly through the People's United Financial, Inc. Employee Stock Ownership Plan. Information is based on 9/30/08 Plan statements. |
(2) | These are restricted shares that vest on 2/1/2009. |
(3) | These are restricted shares that vest in annual increments on 2/1/2009 (50%) and 2/1/2010 (50%). |
(4) | These are restricted shares that vest in annual increments on 2/1/2009 (50%); 2/1/2010 (25%); and 2/1/2011 (25%). |
(5) | These are restricted shares that vest in annual increments of 20% over the course of five years, beginning on the first anniversary of the date of the grant (10/25/07). |
(6) | These are restricted shares that vest in annual increments on 2/1/2010 (50%); 2/1/2011 (25%); and 2/1/2012 (25%). |
(7) | These options have vested in accordance with the vesting schedule set forth in the terms of the option grants. |
(8) | Exercisable in annual increments on 2/1/2007 (50%); 2/1/2008 (25%); and 2/1/2009 (25%). |
(9) | Exercisable in annual increments on 2/1/2008 (50%); 2/1/2009 (25%); and 2/1/2010 (25%). |
(10) | Exercisable in annual increments on 2/1/2009 (50%); 2/1/2010 (25%); and 2/1/2011 (25%). |
(11) | Exercisable in annual increments of 20% over the course of five years, beginning on the first anniversary of the date of the grant (10/25/07). |
(12) | Exercisable in annual increments on 2/1/2010 (50%); 2/1/2011 (25%); and 2/1/2012 (25%). |