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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 | ||||||||
Employee Stock Option (Right-to-Buy) | $ 53.5 | 11/02/2006 | M | 20,583 | 01/25/2006 | 01/25/2015 | $5 Par Common Stock | 20,583 | $ 0 | 41,167 | D | ||||
Employee Stock Option (Right-to-Buy) Reload Option | $ 68.845 | 11/02/2006 | A | 31,691 | 11/02/2007 | 01/06/2014 | $5 Par Common Stock | 31,691 | $ 0 | 31,691 | D | ||||
Employee Stock Option (Right-to-Buy) Reload Option | $ 68.845 | 11/02/2006 | A | 24,128 | 11/02/2007 | 01/03/2012 | $5 Par Common Stock | 24,128 | $ 0 | 24,128 | D | ||||
Employee Stock Option (Right-to-Buy) Reload Option | $ 54.765 | 11/02/2006 | M | 10,687 | 06/03/2006 | 02/16/2010 | $5 Par Common Stock | 10,687 | $ 0 | 0 | D | ||||
Employee Stock Option (Right-to-Buy) Reload Option | $ 53.8 | 11/02/2006 | M | 10,684 | 05/18/2005 | 02/16/2010 | $5 Par Common Stock | 10,684 | $ 0 | 0 | D | ||||
Employee Stock Option (Right-to-Buy) Reload Option | $ 53.8 | 11/02/2006 | M | 5,110 | 05/18/2005 | 02/17/2009 | $5 Par Common Stock | 5,110 | $ 0 | 0 | D | ||||
Employee Stock Option (Right-to-Buy) Reload Option | $ 53.8 | 11/02/2006 | M | 1,638 | 05/18/2005 | 01/03/2013 | $5 Par Common Stock | 1,638 | $ 0 | 0 | D | ||||
Employee Stock Option (Right-to-Buy) Reload Option | $ 49.46 | 11/02/2006 | M | 14,959 | 06/05/2004 | 01/06/2010 | $5 Par Common Stock | 14,959 | $ 0 | 0 | D | ||||
Employee Stock Option (Right-to-Buy) Reload Option | $ 53.875 | 11/02/2006 | M | 16,279 | 01/07/2005 | 01/03/2013 | $5 Par Common Stock | 16,279 | $ 0 | 0 | D | ||||
Employee Stock Option (Right-to-Buy) Reload Option | $ 55.27 | 11/02/2006 | M | 12,143 | 11/17/2005 | 02/17/2009 | $5 Par Common Stock | 12,143 | $ 0 | 0 | D | ||||
Employee Stock Option (Right-to-Buy) Reload Option | $ 55.93 | 11/02/2006 | M | 5,538 | 05/20/2003 | 01/06/2010 | $5 Par Common Stock | 5,538 | $ 0 | 0 | D | ||||
Employee Stock Option (Right-to-Buy) Reload Option | $ 58 | 11/02/2006 | M | 5,546 | 08/09/2001 | 02/17/2009 | $5 Par Common Stock | 5,546 | $ 0 | 0 | D | ||||
Employee Stock Option (Right-to-Buy) Reload Option | $ 53.5 | 11/02/2006 | M | 18,025 | 01/25/2006 | 01/03/2013 | $5 Par Common Stock | 18,025 | $ 0 | 0 | D | ||||
Employee Stock Option (Right-to-Buy) Option | $ 54.04 | 11/02/2006 | M | 36,331 | 01/06/2005 | 01/06/2014 | $5 Par Common Stock | 36,331 | $ 0 | 20,584 | D | ||||
Employee Stock Option (Right-to-Buy) Option | $ 57.1 | 11/02/2006 | M | 26,848 | 01/03/2003 | 01/03/2012 | $5 Par Common Stock | 26,848 | $ 0 | 41,402 | D | ||||
Phantom Stock Unit | (5) | 10/24/2006 | J(6) | V | 201 | (7) | (7) | $5 Par Common Stock | 201 | (8) | 8,614 | I | Deferred Compensation Plan | ||
Phantom Stock Unit | (5) | 10/24/2006 | J(6) | V | 140 | (7) | (7) | $5 Par Common Stock | 140 | (9) | 6,056 | I | Supplemental Incentive Savings Plan |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WHITFORD THOMAS K ONE PNC PLAZA 249 FIFTH AVENUE PITTSBURGH, PA 15222-2707 |
EVP and Chief Risk Officer |
Lori A. Hasselman, Attorney-in-Fact for Thomas K. Whitford | 11/06/2006 | |
**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) | 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. |
(2) | Sale pursuant to cashless exercise of employee stock options. |
(3) | Shares acquired under the PNC Incentive Savings Plan, including shares acquired through reinvestment of dividends. |
(4) | Shares acquired under the PNC Incentive Savings Plan at various prices from $72.77 to $63.67. |
(5) | 1 for 1. |
(6) | Dividend reinvestment shares acquired. |
(7) | Phantom Stock Units will be settled in cash upon distribution from the reporting person's plan account and generally do not expire. |
(8) | Dividend reinvestment shares acquired under the PNC Deferred Compensation Plan at various prices. |
(9) | Dividend reinvestment shares acquired under the PNC Supplemental Incentive Savings Plan at various prices. |
Remarks: Form (1 of 2) Because the number of reportable transactions exceeds the Form 4 limit, additional transactions are reported on a second Form 4 on the same date. |