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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 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. | |||
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. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Stock Unit | (5) | 07/24/2003 | J(6) | V | 16 | (7) | (7) | $5 Par Common Stock | 16 | $ 0 | 1,645 | I | Deferred Compensation Plan | ||
Phantom Stock Unit | (5) | 10/24/2003 | J(6) | V | 16 | (7) | (7) | $5 Par Common Stock | 16 | $ 0 | 1,661 | I | Deferred Compensation Plan | ||
Employee Stock Option (Right-to-Buy) | $ 42.1875 | 11/05/2003 | M(2) | 26,667 | 01/01/2001 | 01/06/2010 | $5 Par Common Stock | 26,667 | $ 0 | 0 | D | ||||
Employee Stock Option (Right-to-Buy) Reload Option | $ 54.065 | 11/05/2003 | A | 22,582 | 11/05/2004 | 01/06/2010 | $5 Par Common Stock | 22,582 | $ 0 | 22,582 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PUDLIN HELEN P THE PNC FINANCIAL SERVICES GROUP, INC. ONE PNC PLAZA PITTSBURGH, PA 15222-2707 |
SVP and General Counsel |
Mark C. Joseph, Attorney-in-Fact for Helen P. Pudlin | 11/06/2003 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Dividend Reinvestment Shares acquired. |
(2) | The exercise of this option and the satisfaction of the resulting tax withholding obligation were effected by the Reporting Person through the delivery, via attestation, of already owned shares of common stock of the Issuer and did not involve an open market transaction in the Issuer's securities. |
(3) | These shares are maintained in a brokerage account registered in the name of the reporting person as Custodian Under the Pennsylvania Uniform Transfers to Minors Act. The reporting person disclaims 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 or for any other purpose. |
(4) | These shares are maintained in a brokerage account registered in the name of the reporting person's spouse as Custodian Under the Pennsylvania Uniform Transfers to Minors Act. The reporting person disclaims 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 or for any other purpose. |
(5) | 1 for 1. |
(6) | Phantom Stock Units received as dividend equivalents under the PNC Deferred Compensation Plan. |
(7) | Phantom Stock Units will be settled in cash upon the reporting person's retirement or other termination of service and generally do not expire. |