UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 10-K/A
AMENDMENT NO. 2
Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
For the fiscal year ended December 31, 2006
Commission file number 001-09718
THE PNC FINANCIAL SERVICES GROUP, INC.
(Exact name of registrant as specified in its charter)
Pennsylvania |
25-1435979 |
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(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) |
One PNC Plaza
249 Fifth Avenue
Pittsburgh, Pennsylvania 15222-2707
(Address of principal executive offices, including zip code)
Registrants telephone number, including area code - (412) 762-2000
Securities registered pursuant to Section 12(b) of the Act:
Title of Each Class | Name of Each Exchange on Which Registered | |||
Common Stock, par value $5.00 |
New York Stock Exchange | |||
$1.60 Cumulative Convertible Preferred Stock-Series C, par value $1.00 |
New York Stock Exchange | |||
$1.80 Cumulative Convertible Preferred Stock-Series D, par value $1.00 |
New York Stock Exchange | |||
Series G Junior Participating Preferred Share Purchase Rights |
New York Stock Exchange |
Securities registered pursuant to Section 12(g) of the Act:
$1.80 Cumulative Convertible Preferred Stock - Series A, par value $1.00
$1.80 Cumulative Convertible Preferred Stock - Series B, par value $1.00
8.25% Convertible Subordinated Debentures Due 2008
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes X No
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes No X
Indicate by check mark whether the registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes X No
Indicate by check mark if the disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrants knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K.
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, or a non-accelerated filer. See definition of accelerated filer and large accelerated filer in Rule 12b-2 of the Exchange Act. (Check one):
Large accelerated filer X | Accelerated filer | Non-accelerated filer |
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes No X
The aggregate market value of the registrants outstanding voting common stock held by nonaffiliates on June 30, 2006, determined using the per share closing price on that date on the New York Stock Exchange of $70.17, was approximately $20.6 billion. There is no non-voting common equity of the registrant outstanding.
Number of shares of registrants common stock outstanding at February 16, 2007: 293,164,316
DOCUMENTS INCORPORATED BY REFERENCE
Portions of the definitive Proxy Statement of The PNC Financial Services Group, Inc. to be filed pursuant to Regulation 14A for the annual meeting of shareholders to be held on April 24, 2007 (Proxy Statement) are incorporated by reference into Part III of this Form 10-K.
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Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this Amendment No. 2 on Form 10-K/A to the registrants Annual Report on Form 10-K for the year ended December 31, 2006, as amended by Amendment No. 1 on Form 10-K/A, to be signed on its behalf by the undersigned, thereunto duly authorized.
THE PNC FINANCIAL SERVICES GROUP, INC.
(Registrant)
By: | /s/ Richard J. Johnson | |
Richard J. Johnson | ||
Chief Financial Officer | ||
February 5, 2008 |
125
Exhibit No. |
Description | Method of Filing + | ||
2.1 | Agreement and Plan of Merger dated as of October 8, 2006 by and between Mercantile Bankshares Corporation and the Corporation |
Incorporated by reference to Exhibit 2.1 of the Corporations Current Report on Form 8-K dated October 8, 2006, filed October 10, 2006 (October 8, 2006 Form 8-K) | ||
3.1 | Articles of Incorporation of the Corporation, as amended and restated effective as of August 29, 2005 |
Incorporated herein by reference to Exhibit 3.3 of the Corporations Current Report on Form 8-K dated August 25, 2005 (August 25, 2005 Form 8-K) | ||
3.2 | By-Laws of the Corporation, as amended and restated effective as of December 14, 2005 |
Incorporated herein by reference to Exhibit 3.5 of the Corporations Quarterly Report on Form 10-Q for the quarter ended September 30, 2005 (3rd Quarter 2005 Form 10-Q) | ||
4.1 | There are no instruments with respect to long-term debt of the Corporation and its subsidiaries that involve securities authorized under the instrument in an amount exceeding 10 percent of the total assets of the Corporation and its subsidiaries on a consolidated basis. The Corporation agrees to provide the SEC with a copy of instruments defining the rights of holders of long-term debt of the Corporation and its subsidiaries on request. |
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4.2 | Terms of $1.80 Cumulative Convertible Preferred Stock, Series A |
Incorporated herein by reference to Exhibit 3.3 of the Corporations August 25, 2005 Form 8-K | ||
4.3 | Terms of $1.80 Cumulative Convertible Preferred Stock, Series B |
Incorporated herein by reference to Exhibit 3.3 of the Corporations August 25, 2005 Form 8-K | ||
4.4 | Terms of $1.60 Cumulative Convertible Preferred Stock, Series C |
Incorporated herein by reference to Exhibit 3.3 of the Corporations August 25, 2005 Form 8-K | ||
4.5 | Terms of $1.80 Cumulative Convertible Preferred Stock, Series D |
Incorporated herein by reference to Exhibit 3.3 of the Corporations August 25, 2005 Form 8-K | ||
4.6 | Terms of Series G Junior Participating Preferred Stock |
Incorporated herein by reference to Exhibit 3.3 of the Corporations August 25, 2005 Form 8-K | ||
4.7 | Terms of 7.00% Non-Cumulative Preferred Stock, Series H |
Incorporated herein by reference to Exhibit 3.3 of the Corporations August 25, 2005 Form 8-K | ||
4.8 | Rights Agreement between the Corporation and The Chase Manhattan Bank dated May 15, 2000 |
Incorporated herein by reference to Exhibit 1 to the Corporations Report on Form 8-A filed May 23, 2000 | ||
4.9 | First Amendment to Rights Agreement between the Corporation, The Chase Manhattan Bank, and Computershare Investor Services, LLC dated January 1, 2003 |
Incorporated herein by reference to Exhibit 4.8 of the Corporations Annual Report on Form 10-K for the year ended December 31, 2002 (2002 Form 10-K) | ||
4.10 | Form of PNC Bank, National Association Global Bank Note for Fixed Rate Global Senior Bank Note with Maturity of more than Nine Months from Date of Issuance |
Incorporated herein by reference to Exhibit 4.9 of the Corporations Quarterly Report on Form 10-Q for the quarter ended September 30, 2004 (3rd Quarter 2004 Form 10-Q) | ||
4.11 | Form of PNC Bank, National Association Global Bank Note for Floating Rate Global Senior Bank Note with Maturity of more than Nine Months from Date of Issuance |
Incorporated herein by reference to Exhibit 4.10 of the Corporations 3rd Quarter 2004 Form 10-Q |
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4.12 | Form of PNC Bank, National Association Global Bank Note for Fixed Rate Global Subordinated Bank Note with Maturity of more than Nine Months from Date of Issuance |
Incorporated herein by reference to Exhibit 4.11 of the Corporations 3rd Quarter 2004 Form 10-Q | ||
4.13 | Form of PNC Bank, National Association Global Bank Note for Floating Rate Global Subordinated Bank Note with Maturity of more than Nine Months from Date of Issuance |
Incorporated herein by reference to Exhibit 4.12 of the Corporations 3rd Quarter 2004 Form 10-Q | ||
4.14 | Indenture, dated as of December 20, 2006 between PNC Funding Corp, the Corporation as guarantor, and The Bank of New York as trustee for $1,000,000,000 Floating Rate Exchangeable Senior Notes due December 20, 2036 |
Incorporated herein by reference to Exhibit 4.14 of the Corporations Annual Report on Form 10-K for the year ended December 31, 2006 as filed on March 1, 2007 (2006 Form 10-K) | ||
10.1 | The Corporations Supplemental Executive Retirement Plan, as amended and restated |
Incorporated herein by reference to Exhibit 10.1 of the Corporations Quarterly Report on Form 10-Q for the quarter ended June 30, 2004 (2nd Quarter 2004 Form 10-Q)* | ||
10.2 | The Corporations ERISA Excess Pension Plan, as amended and restated |
Incorporated herein by reference to Exhibit 10.2 of the Corporations 2nd Quarter 2004 Form 10-Q* | ||
10.3 | The Corporations Key Executive Equity Program, as amended and restated |
Incorporated herein by reference to Exhibit 10.3 of the Corporations 2nd Quarter 2004 Form 10-Q* | ||
10.4 | The Corporations Supplemental Incentive Savings Plan, as amended and restated |
Incorporated herein by reference to Exhibit 10.4 of the Corporations 2nd Quarter 2004 Form 10-Q* | ||
10.5 | The Corporations 2006 Incentive Award Plan |
Incorporated herein by reference to Exhibit 10.39 of the Corporations Quarterly Report on Form 10-Q for the quarter ended March 31, 2006* | ||
10.6 | The Corporations 1997 Long-Term Incentive Award Plan, as amended and restated |
Incorporated herein by reference to Exhibit 10.5 of the Corporations 2nd Quarter 2004 Form 10-Q* | ||
10.7 | The Corporations 1996 Executive Incentive Award Plan, as amended and restated |
Incorporated herein by reference to Exhibit 10.6 of the Corporations 2nd Quarter 2004 Form 10-Q* | ||
10.8 | The Corporation and Affiliates Deferred Compensation Plan, as amended and restated |
Incorporated herein by reference to Exhibit 10.7 of the Corporations 2nd Quarter 2004 Form 10-Q* | ||
10.9 | AJCA transition guidance amendments to the Corporations Supplemental Incentive Savings Plan and the Corporation and Affiliates Deferred Compensation Plan |
Incorporated by reference to Exhibit 10.8 of the Corporations Annual Report on Form 10-K for the year ended December 31, 2005 (2005 Form 10-K)* | ||
10.10 | 1992 Director Share Incentive Plan |
Incorporated herein by reference to Exhibit 10.13 of the Corporations Annual Report on Form 10-K for the year ended December 31, 1999* | ||
10.11 | The Corporations Directors Deferred Compensation Plan, as amended and restated |
Incorporated by reference to Exhibit 10.12 of the Corporations Quarterly Report on Form 10-Q for the quarter ended March 31, 2004 (1st Quarter 2004 Form 10-Q)* | ||
10.12 | The Corporations Outside Directors Deferred Stock Unit Plan, as amended and restated |
Incorporated by reference to Exhibit 10.13 of the Corporations 1st Quarter 2004 Form 10-Q* | ||
10.13 | Amended and Restated Trust Agreement between PNC Investment Corp., as Settler, and Hershey Trust Company, as trustee |
Incorporated herein by reference to Exhibit 10.35 of the Corporations 3rd Quarter 2005 Form 10-Q* | ||
10.14 | Trust Agreement between PNC Investment Corp., as Settler, and PNC Bank, National Association, as trustee |
Incorporated herein by reference to Exhibit 10.34 of the Corporations 3rd Quarter 2005 Form 10-Q* |
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10.15 | The Corporations Employee Stock Purchase Plan, as amended and restated |
Incorporated herein by reference to Exhibit 10.8 of the Corporations 2nd Quarter 2004 Form 10-Q | ||
10.16 | Forms of employee stock option, restricted stock, restricted deferral, and incentive share agreements |
Incorporated herein by reference to Exhibit 10.30 of the Corporations 3rd Quarter 2004 Form 10-Q* | ||
10.17 | 2005 Forms of employee stock option, restricted stock and restricted deferral agreements |
Incorporated herein by reference to Exhibit 10.28 of the Corporations Annual Report on Form 10-K for the year ended December 31, 2004 (2004 Form 10-K)* | ||
10.18 | 2006 Forms of employee stock option, restricted stock and restricted deferral agreements |
Incorporated by reference to Exhibit 10.17 of the 2005 Form 10-K* | ||
10.19 | Forms of employee stock option and restricted stock agreements under 2006 Incentive Award Plan |
Incorporated by reference to Exhibit 10.39 of the Corporations Quarterly Report on Form 10-Q for the quarter ended June 30, 2006* | ||
10.20 | 2006 Forms of employee incentive performance unit and senior officer change in control severance agreements |
Incorporated herein by reference to Exhibit 10.20 of the Corporations 2006 Form 10-K* | ||
10.21 | 2007 Forms of employee stock option and restricted stock agreements |
Incorporated herein by reference to Exhibit 10.21 of the Corporations 2006 Form 10-K* | ||
10.22 | Forms of director stock option and restricted stock agreements |
Incorporated herein by reference to Exhibit 10.32 of the Corporations 3rd Quarter 2004 Form 10-Q* | ||
10.23 | 2005 Form of director stock option agreement |
Incorporated herein by reference to Exhibit 10.33 of the Corporations Quarterly Report on Form 10-Q for the quarter ended March 31, 2005* | ||
10.24 | Form of time sharing agreements between the Corporation and certain executives |
Incorporated herein by reference to Exhibit 10.36 of the 3rd Quarter 2005 Form 10-Q* | ||
10.25 | Form of senior officer change in control severance agreement |
Incorporated herein by reference to Exhibit 10.17 of the Corporations Annual Report on Form 10-K for the year ended December 31, 1996* | ||
10.26 | Forms of first amendment to senior officer change in control severance agreements |
Incorporated herein by reference to Exhibit 10.9 of the Corporations Annual Report on Form 10-K for the year ended December 31, 2000* | ||
10.27 | Forms of second amendment to senior officer change in control severance agreements |
Incorporated herein by reference to Exhibit 10.15 of the Corporations Quarterly Report on Form 10-Q for the quarter ended September 30, 2001* | ||
10.28 | Forms of third amendment to senior officer change in control severance agreements |
Incorporated herein by reference to Exhibit 10.26 of the Corporations 1st Quarter 2004 Form 10-Q* | ||
10.29 | Form of other officer change in control severance agreements |
Incorporated herein by reference to Exhibit 10.31 of the 3rd Quarter 2004 Form 10-Q* | ||
10.30 | BlackRock, Inc. 2002 Long-Term Retention and Incentive Plan |
Incorporated by reference to BlackRock, Inc.s Quarterly Report on Form 10-Q (Commission File No. 001-33099) for the quarter ended September 30, 2002 (BlackRock 3rd Quarter 2002 Form 10-Q) | ||
10.31 | First Amendment to the BlackRock, Inc. 2002 Long-Term Retention and Incentive Plan |
Incorporated by reference to BlackRock, Inc.s Quarterly Report on Form 10-Q (Commission File No. 001-33099) for the quarter ended March 31, 2004 |
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10.32 | Second Amendment to the BlackRock, Inc. 2002 Long-Term Retention and Incentive Plan |
Incorporated herein by reference to the BlackRock 2004 Form 10-K | ||
10.33 | Share Surrender Agreement, dated October 10, 2002, among BlackRock, Inc., PNC Asset Management, Inc., and the Corporation |
Incorporated by reference to the BlackRock 3rd Quarter 2002 Form 10-Q | ||
10.34 | First Amendment, dated as of February 15, 2006, to the Share Surrender Agreement among BlackRock, Inc., PNC Bancorp, Inc. and the Corporation |
Incorporated by reference to BlackRock, Inc.s Current Report on Form 8-K (Commission File No. 001-33099) filed February 22, 2006 (BlackRock February 22, 2006 Form 8-K) | ||
10.35 | Initial Public Offering Agreement, dated September 30, 1999, among BlackRock, Inc., The PNC Financial Services Group, Inc., formerly PNC Bank Corp., and PNC Asset Management, Inc. |
Incorporated by reference to BlackRock, Inc.s Registration Statement on Form S-1 (Registration No. 333-78367), as amended, originally filed with the SEC on May 13, 1999 (1999 BlackRock Form S-1 as amended) | ||
10.36 | Amendment No. 1 to the Initial Public Offering Agreement, dated October 10, 2002, among the Corporation, PNC Asset Management, Inc. and BlackRock, Inc. |
Incorporated by reference to the BlackRock 3rd Quarter 2002 Form 10-Q | ||
10.37 | Amended and Restated Stockholders Agreement, dated September 30, 1999, by and among BlackRock, Inc., PNC Asset Management, Inc. and certain employees of BlackRock, Inc. and its affiliates |
Incorporated by reference to the 1999 BlackRock Form S-1 as amended | ||
10.38 | Amendment No. 1 to the Amended and Restated Stockholders Agreement, dated October 10, 2002, by and among BlackRock, Inc., PNC Asset Management, Inc. and certain employees of BlackRock, Inc. and its affiliates |
Incorporated by reference to the BlackRock 3rd Quarter 2002 Form 10-Q | ||
10.39 | Implementation and Stockholder Agreement, dated as of February 15, 2006, among BlackRock, Inc., New Boise, Inc. and the Corporation |
Incorporated by reference to the BlackRock February 22, 2006 Form 8-K | ||
10.40 | PNC Bank, National Association US $20,000,000,000 Global Bank Note Program for the Issue of Senior and Subordinated Bank Notes with Maturities of more than Nine Months from Date of Issue Distribution Agreement dated July 30, 2004 |
Incorporated herein by reference to Exhibit 10.29 of the Corporations 3rd Quarter 2004 Form 10-Q | ||
10.41 | Amended and Restated Agreement and Plan of Merger, dated as of February 10, 2005, between the Corporation and Riggs National Corporation |
Incorporated herein by reference to Exhibit 2.1 of the Corporations Current Report on Form 8-K dated February 10, 2005 | ||
10.42 | Transaction Agreement and Plan of Merger, dated as of February 15, 2006, by and among Merrill Lynch & Co., Inc., BlackRock, Inc., New Boise, Inc. and Boise Merger Sub, Inc. |
Incorporated by reference to the BlackRock February 22, 2006 Form 8-K | ||
10.43 | Agreement and Plan of Merger dated as of October 8, 2006 by and between Mercantile Bankshares Corporation and the Corporation |
Incorporated by reference to Exhibit 2.1 of the Corporations October 8, 2006 Form 8-K | ||
12.1 | Computation of Ratio of Earnings to Fixed Charges |
Incorporated herein by reference to Exhibit 12.1 of the Corporations 2006 Form 10-K | ||
12.2 | Computation of Ratio of Earnings to Fixed Charges and Preferred Dividends |
Incorporated herein by reference to Exhibit 12.2 of the Corporations 2006 Form 10-K | ||
21 | Schedule of Certain Subsidiaries of the Corporation |
Incorporated herein by reference to Exhibit 21 of the Corporations 2006 Form 10-K | ||
23.1 | Consent of Deloitte & Touche LLP, former Independent Registered Public Accounting Firm of The PNC Financial Services Group, Inc. |
Filed herewith |
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23.2 | Consent of Deloitte & Touche LLP, Independent Registered Public Accounting Firm of BlackRock, Inc. |
Incorporated herein by reference to Exhibit 23.2 of the Corporations Amendment No. 1 on Form 10-K/A to its 2006 Form 10-K | ||
23.3 | Consent of Deloitte & Touche LLP, former Independent Registered Public Accounting Firm of The PNC Financial Services Group, Inc. |
Incorporated herein by reference to Exhibit 23.1 of the Corporations Amendment No. 1 on Form 10-K/A to its 2006 Form 10-K | ||
24 | Powers of Attorney |
Incorporated herein by reference to Exhibit 24 of the Corporations 2006 Form 10-K | ||
31.1 | Certification of Chairman and Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
Incorporated herein by reference to Exhibit 31.1 of the Corporations 2006 Form 10-K | ||
31.2 | Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
Incorporated herein by reference to Exhibit 31.2 of the Corporations 2006 Form 10-K | ||
31.3 | Certification of Chairman and Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
Incorporated herein by reference to Exhibit 31.3 of the Corporations Amendment No. 1 on Form 10-K/A to its 2006 Form 10-K | ||
31.4 | Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
Incorporated herein by reference to Exhibit 31.4 of the Corporations Amendment No. 1 on Form 10-K/A to its 2006 Form 10-K | ||
31.5 | Certification of Chairman and Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
Filed herewith | ||
31.6 | Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
Filed herewith | ||
32.1 | Certification of Chairman and Chief Executive Officer pursuant to 18 U.S.C. Section 1350 |
Incorporated herein by reference to Exhibit 32.1 of the Corporations 2006 Form 10-K | ||
32.2 | Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350 |
Incorporated herein by reference to Exhibit 32.2 of the Corporations 2006 Form 10-K | ||
32.3 | Certification of Chairman and Chief Executive Officer pursuant to 18 U.S.C. Section 1350 |
Incorporated herein by reference to Exhibit 32.3 of the Corporations Amendment No. 1 on Form 10-K/A to its 2006 Form 10-K | ||
32.4 | Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350 |
Incorporated herein by reference to Exhibit 32.4 of the Corporations Amendment No. 1 on Form 10-K/A to its 2006 Form 10-K | ||
32.5 | Certification of Chairman and Chief Executive Officer pursuant to 18 U.S.C. Section 1350 |
Filed herewith | ||
32.6 | Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350 |
Filed herewith | ||
99.1 | Form of Order of the Securities and Exchange Commission Instituting Public Administrative Procedures Pursuant to Section 8A of the Securities Act of 1933 and 21C of the Securities Exchange Act of 1934, Making Findings and Imposing Cease-and-Desist Order |
Incorporated herein by reference to Exhibit 99.3 of the Corporations Current Report on Form 8-K dated July 18, 2002 | ||
+ | Incorporated document references to filings by the Corporation are to SEC File No. 001-09718 and to filings by BlackRock, Inc. are to SEC File No. 001-33099. |
* | Denotes management contract or compensatory plan. |
You can obtain copies of these Exhibits electronically at the SECs website at www.sec.gov or by mail from the Public Reference Section of the SEC, at 100 F Street, N.E., Washington, D.C. 20549, at prescribed rates. The Exhibits are also available as part of this Form 10-K on or through PNCs corporate website at www.pnc.com under About PNC Investor Relations Financial Information SEC Filings Form 10-K. Shareholders and bondholders may also obtain copies without charge by contacting Shareholder Relations at (800) 843-2206 or via e-mail at investor.relations@pnc.com.
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