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 |
|
|||||||||||||||
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)
|
||||||||||||||||||||||||
3. Date of Earliest Transaction
(Month/Day/Year) 12/24/2019 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
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 Stock | 01/14/2020 | G | V | 10,000 | A | $0.00 | 516,303 | D | ||
Class A Common Stock | 11,140 | I | As beneficiary of Trust | |||||||
Class A Common Stock | 01/08/2020 | G | V | 28 | A | $0.00 | 8,586(1) | I | By Spouse | |
Class A Common Stock | 12/24/2019 | G | V | 1,800 | A | $0.00 | 1,800(1) | I | As Custodian for James Freeman Bailey, Jr. | |
Class A Common Stock | 01/21/2020 | G | V | 28 | A | $0.00 | 1,828(1) | I | As Custodian for James Freeman Bailey, Jr. | |
Class A Common Stock | 134(1) | I | By son, Frank B. Holding, III | |||||||
Class B Common Stock | 12/24/2019 | G | V | 2,175 | D | $0.00 | 103,649 | D | ||
Class B Common Stock | 01/09/2020 | G | V | 84 | A | $0.00 | 103,733 | D | ||
Class B Common Stock | 2,122 | I | As beneficiary of Trust | |||||||
Class B Common Stock | 1,399(1) | I | By spouse | |||||||
Class B Common Stock | 178(1) | I | As custodian for F. B. Holding III | |||||||
Class B Common Stock | 12/24/2019 | G | V | 3,070 | A | $0.00 | 3,110(1) | I | As Custodian for James Freeman Bailey, Jr. |
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) | 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. |
Remarks: |
The reporting person no longer has a reportable beneficial interest in the 11,261 shares of Class A common stock and the 19,450 shares of Class B common stock owned by his son Lewis R. Holding II and included in the reporting person's prior ownership reports. In addition, the reporting person no longer as a reportable beneficial interest in 19,400 shares of Class A and 13,524 shares of Class B held as custodian under UGMA for his daughter, Barbara and 17,350 shares of Class A and 12,294 shares of Class B held as custodian under UGMA for his son, Lewis. |
Frank B. Holding, Jr., by: William R. Lathan, Jr., Attorney-in-Fact | 02/12/2020 | |
** 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. |