0001445305-14-004202.txt : 20140930 0001445305-14-004202.hdr.sgml : 20140930 20140930155033 ACCESSION NUMBER: 0001445305-14-004202 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140929 FILED AS OF DATE: 20140930 DATE AS OF CHANGE: 20140930 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CITIZENS FINANCIAL GROUP INC/RI CENTRAL INDEX KEY: 0000759944 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 050412693 STATE OF INCORPORATION: RI FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 870 WESTMINSTER ST STREET 2: 1 CITIZENS PLZ THIRD FL CITY: PROVIDENCE STATE: RI ZIP: 02903 BUSINESS PHONE: 4014567000 MAIL ADDRESS: STREET 1: 1 CITIZENS PLAZA CITY: PROVIDENCE STATE: RI ZIP: 02903 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Conner Brad L. CENTRAL INDEX KEY: 0001614164 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36636 FILM NUMBER: 141129720 MAIL ADDRESS: STREET 1: CITIZENS FINANCIAL GROUP STREET 2: 600 WASHINGTON BLVD., CS119N CITY: STAMFORD STATE: CT ZIP: 06901 4 1 wf-form4_141210662288697.xml FORM 4 X0306 4 2014-09-29 0 0000759944 CITIZENS FINANCIAL GROUP INC/RI CFG 0001614164 Conner Brad L. C/O CITIZENS FINANCIAL GROUP, INC. 600 WASHINGTON BLVD. STAMFORD CT 06901 0 1 0 0 Vice Chair, Consumer Banking Common Stock 2014-09-29 4 J 0 80089 0 A 80089 D Common Stock 2014-09-29 4 P 0 4000 21.50 A 84089 D 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. 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. This number reflects shares of Common Stock purchased under the Issuer's Directed Share Program in connection with the Issuer's IPO. /s/ Lindsey Cameron, as Attorney-in-Fact 2014-09-30