3: Initial statement of beneficial ownership of securities
Published on March 22, 2012
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right-to-Buy) | 07/21/2009(2) | 07/21/2018 | $5 Par Common Stock | 33,000 | $ 63.69 | D | |
Employee Stock Option (Right-to-Buy) | 01/22/2009(2) | 01/22/2018 | $5 Par Common Stock | 44,000 | $ 57.21 | D | |
Employee Stock Option (Right-to-Buy) | 01/25/2008(2) | 01/25/2017 | $5 Par Common Stock | 38,500 | $ 72.65 | D | |
Employee Stock Option (Right-to-Buy) | 01/23/2007(2) | 01/23/2016 | $5 Par Common Stock | 49,500 | $ 65.445 | D | |
Employee Stock Option (Right-to-Buy) | 01/06/2005(2) | 01/06/2014 | $5 Par Common Stock | 8,513 | $ 54.04 | D | |
Employee Stock Option (Right-to-Buy) | 04/26/2011(2) | 04/26/2020 | $5 Par Common Stock | 25,000 | $ 66.77 | D | |
Employee Stock Option (Right-to-Buy) | 02/12/2010(2) | 02/12/2019 | $5 Par Common Stock | 52,800 | $ 31.07 | D | |
Employee Stock Option (Right-to-Buy) | 02/12/2012(2) | 02/19/2012 | $5 Par Common Stock | 50,000 | $ 31.07 | D | |
Employee Stock Option (Right-to-Buy) Reload | 08/24/2007(2) | 01/03/2013 | $5 Par Common Stock | 8,557 | $ 70.67 | D | |
Employee Stock Option (Right-to-Buy) Reload | 12/07/2006(2) | 01/03/2013 | $5 Par Common Stock | 7,197 | $ 63.545 | D | |
Employee Stock Option (Right-to-Buy) Reload | 05/25/2006(2) | 01/03/2013 | $5 Par Common Stock | 6,242 | $ 54.905 | D | |
Employee Stock Option (Right-to-Buy) Reload | 11/23/2005(2) | 01/03/2013 | $5 Par Common Stock | 5,490 | $ 54.2 | D | |
Employee Stock Option (Right-to-Buy) Reload | 05/17/2005(2) | 01/03/2013 | $5 Par Common Stock | 4,217 | $ 53.43 | D | |
Employee Stock Option (Right-to-Buy) Reload) | 05/06/2009(2) | 01/06/2014 | $5 Par Common Stock | 22,511 | $ 70.63 | D | |
Employee Stock Option (Right-to-Buy) Reload) | 09/10/2008(2) | 01/03/2013 | $5 Par Common Stock | 3,243 | $ 68.06 | D | |
Employee Stock Option (Right-to-Buy) Reload) | 09/10/2008(2) | 01/06/2014 | $5 Par Common Stock | 6,606 | $ 68.06 | D | |
Employee Stock Option (Right-to-Buy) Reload) | 08/24/2007(2) | 10/21/2012 | $5 Par Common Stock | 3,271 | $ 70.67 | D | |
Phantom Stock Unit | (3) | (3) | $5 Par Common Stock | 6,696 | $ (3) | I | Deferred Compensation Plan |
Phantom Stock Unit | (3) | (3) | $5 Par Common Stock | 3,118 | $ (3) | I | Supplemental Incentive Savings Plan |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hall Neil F ONE PNC PLAZA 249 FIFTH AVE PITTSBURGH, PA 15222 |
Executive Vice President |
Signatures
Frederick Bradley Christof Attorney-in-Fact for Neil F. Hall | 03/22/2012 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | 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). |
(1) | The amount of securities beneficially owned represents the number of shares of common stock indirectly held for the account of the reporting person under The PNC Financial Services Group, Inc. ("PNC") Incentive Savings Plan (the "ISP"). Shares of PNC common stock are not directly allocated to ISP participants, but instead are held in a unitized fund, approximately 98% of which consists of PNC common stock, and the remainder of which is invested in a money market fund. The percentage of assets in the unitized fund investment option that are deemed to be invested in PNC common stock may vary from time to time. |
(2) | Grant of stock options subject to the precondition of an appropriate agreement, signed by the parties. These options become exercisable on the first anniversary of the date of grant. |
(3) | One phantom stock unit is the economic equivalent of one share of The PNC Financial Services Group, Inc. ("PNC") Common Stock. Phantom stock units will be settled in cash upon distribution to the reporting person and generally do not expire. |