-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Mrccz9aoIYsiWkV3VNIEJDHpFPPibXhQbg0T3Scu9pnab31quvoM3+OmLhGv3VGz l6cPfjb4brotJAcM54P6MA== 0001181431-03-001143.txt : 20030129 0001181431-03-001143.hdr.sgml : 20030129 20030129153821 ACCESSION NUMBER: 0001181431-03-001143 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030127 FILED AS OF DATE: 20030129 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: CONNELL HOPE HOLDING CENTRAL INDEX KEY: 0001065415 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] RELATIONSHIP: OFFICER STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: PO BOX 29550 CITY: RALEIGH STATE: NC ZIP: 27626 BUSINESS PHONE: 9197167588 MAIL ADDRESS: STREET 1: PO BOX 29550 CITY: RALEIGH STATE: NC ZIP: 27626 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST CITIZENS BANCSHARES INC /DE/ CENTRAL INDEX KEY: 0000798941 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 561528994 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16715 FILM NUMBER: 03529918 BUSINESS ADDRESS: STREET 1: 239 FAYETTEVILLE STREET MALL CITY: RALEIGH STATE: NC ZIP: 27601 BUSINESS PHONE: 9197557000 MAIL ADDRESS: STREET 1: PO BOX 27131 STREET 2: CTWO7 CITY: RALEIGH STATE: NC ZIP: 27611-7131 3 1 rrd4041.htm FORM 3
FORM 3
 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549

INITIAL 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
OMB APPROVAL


OMB Number: 3235-0104
Expires: January 31, 2005
Estimated average burden
hours per response. . . . . 0.5
1. Name and Address of Reporting Person*

Connell, Hope Holding
(Last)                      (First)                      (Middle)

PO Box 29550
(Street)
Raleigh,    NC   27602
(City)                      (State)                      (Zip)
2. Date of Event
Requiring Statement
    Month/Day/Year

01/27/2003

3. I.R.S. Identification
    Number of Reporting
    Person, if an entity
    (voluntary)
4. Issuer Name andTicker or Trading Symbol

First Citizens BancShares, Inc.
FCNCA

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

   Director      10% Owner
X Officer (give title below)    
   Other (specify below)

Description     Executive Vice President
6. If Amendment,
    Date of Original
    (Month/Day/Year)


7. Individual or Joint/Group
    Filing (Check Applicable Line)

X   Form filed by One Reporting Person
     Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
    (Instr. 4)
2. Amount of Securities Beneficially Owned

    (Instr.4)
3. Ownership Form:
    Direct (D)
    or
    Indirect (I)

    (Instr. 5)
4. Nature of Indirect Beneficial Ownership

    (Instr. 5)
Class A Common Stock
30,057
 D
Class A Common Stock
5,320
 I
By trust
Class A Common Stock
1,100
 I (a)
By spouse
Class A Common Stock
2,746
 I (a)
By spouse as custodian for children
Class A Common Stock
18,145
 I (b)
By Yadkin Valley Company
Class A Common Stock
700
 I (b)
By Yadkin Vally Life Insurance Company
Class B Common Stock
90,859
 D
Class B Common Stock
1,225
 I
By trust
Class B Common Stock
16,893
 I (a)
By spouse as custodian for children
Class B Common Stock
1,725
 I (b)
By Yadkin Valley Company
Class B Common Stock
175
 I (b)
By Yadkin Valley LIfe Insurance Company
 
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security
    (Instr. 4)
2. Date Exercisable(DE) and
    Expiration Date(ED)
    (Month/Day/Year)





  DE     /     ED  
3. Title and Amount of
    Underlying Securities
    (Instr. 4)





Title     /         Amount or Number of Shares
4. Conver-
    sion or
    Exercise
    Price of
    Deri-
    vative
    Security
 5. Owner-
ship
Form of
Deriv-
ative
Security:
Direct (D)
or
Indirect (I)

(Instr.5) 		6. Nature of
      Indirect
      Beneficial
      Ownership
      (Instr.5)
Explanation of Responses:
 
(a) The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporint 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.

(b) The reporting person is a director, officer and/or principal shareholder of the named company, but disclaims beneficial ownership of the listed shares except to the extent of her pecuniary interest therein.
By: Date:
/s/ Hope Holding Connell January 28, 2003
By: /s/William R. Lathan, Jr., Attorney-in-Fact
** Signature of Reporting Person
SEC 1473 (07-02)


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 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained in this form are not
required to respond unless the form displays a currently valid OMB Number.
Additional Information Reported For This Form
Name and Address of Reporting Person*
Connell, Hope Holding
(Last)                      (First)                      (Middle)
PO Box 29550
(Street)
Raleigh,    NC   27602
(City)                      (State)                      (Zip)
Issuer Name
and Ticker or Trading Symbol

First Citizens BancShares, Inc.
FCNCA
Statement for
(Month/Day/Year)

01/27/2003
 
LIMITED POWER OF ATTORNEY


        KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and appoints each of William R. Lathan, Jr., E. Knox Proctor V, David L. Ward, Jr., Alexander G. MacFadyen, Jr. and Kenneth A. Black, or either of them or any substitute appointed by either of them, jointly and severally, the undersigned's true and lawful attorney in fact to:

(1)        execute for and on behalf of the undersigned any and all Forms 3, 4 and 5, and any amendments thereto, pertaining to the undersigned's beneficial ownership of shares of equity securities of First Citizens BancShares, Inc. (the "Corporation"), or any changes in such beneficial ownership, in accordance with Section 16(a) of the Securities Exchange Act of 1934, and the rules thereunder, as it or they may be amended from time to time;

(2)        do and per form any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4 and 5, or any amendments thereto, and timely file the same with the United States Securities and Exchange Commission and any stock exchange or similar authority, it being understood that the documents executed by either such attorney in fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney in fact may approve in such attorney in fact's discretion; and

(3)        take any other action of any type whatsoever in connection with the foregoing which, in the opinion of either such attorney in fact, may be of benefit to, in the best interest of, or legally required to be done by, the undersigned.

The undersigned hereby grants to each such attorney in fact, acting individually or jointly with each other, full power and authority to do and pe rform any and every act and thing whatsoever required, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, and the undersigned hereby ratifies and confirms all that such attorney in fact, or such attorney in fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the powers herein granted. The undersigned acknowledges that the foregoing attorneys in fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Corporation assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934.

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Corporation, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys in fact.

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 28th day of January, 2003.

                                                By:        /s/Hope Holding Connell(SEAL)
        


-----END PRIVACY-ENHANCED MESSAGE-----