Filing Details

Accession Number:
0001445305-14-004202
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-09-30 15:50:33
Reporting Period:
2014-09-29
Filing Date:
2014-09-30
Accepted Time:
2014-09-30 15:50:33
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
759944 Citizens Financial Group Inc CFG State Commercial Banks (6022) 050412693
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1614164 L. Brad Conner C/o Citizens Financial Group, Inc.
600 Washington Blvd.
Stamford CT 06901
Vice Chair, Consumer Banking No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-09-29 80,089 $0.00 80,089 No 4 J Direct
Common Stock Acquisiton 2014-09-29 4,000 $21.50 84,089 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 J Direct
No 4 P Direct
Footnotes
  1. Upon closing of the Issuer's initial public offering (the "IPO"), deferred share awards with respect to ordinary shares of The Royal Bank of Scotland Group plc, nominal value GBP1.00 per share, which were previously granted to the reporting person under the RBS 2010 Deferral Plan Rules were converted into awards under the Issuer's Converted Equity 2010 Deferral Plan (the "Deferral Plan"), as approved by the Issuer's Board of Directors. This number reflects 32,138 shares of Common Stock of the Issuer underlying these awards following the conversion. Subject to the terms of the Deferral Plan and the applicable award certificate, these deferred share awards are generally scheduled to vest in March 2015, March 2016 and March 2017.
  2. This number also reflects 47,951 shares of Common Stock of the Issuer underlying the grant of a special IPO award previously made to the reporting person under the RBS 2010 Long Term Incentive Plan, which was converted into an award under the Issuer's Converted Equity 2010 Long Term Incentive Plan (the "LTIP") upon the closing of the IPO, as approved by the Issuer's Board of Directors. Subject to the terms of the LTIP and the applicable award certificate, the special (IPO) award is generally scheduled to vest in equal installments in March 2016 and March 2017.
  3. This number reflects shares of Common Stock purchased under the Issuer's Directed Share Program in connection with the Issuer's IPO.