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) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Employee Stock Option (Right-to-Buy)
|
01/22/2009(2)
|
01/22/2018 |
$5 Par Common Stock
|
4,000
|
$
57.21
|
D
|
|
Employee Stock Option (Right-to-Buy)
|
02/12/2010(2)
|
02/12/2019 |
$5 Par Common Stock
|
4,500
|
$
31.07
|
D
|
|
Employee Stock Option (Right-to-Buy)
|
01/25/2011(2)
|
01/25/2020 |
$5 Par Common Stock
|
12,000
|
$
54.01
|
D
|
|
Employee Stock Option (Right-to-Buy)
|
02/09/2012(2)
|
02/09/2021 |
$5 Par Common Stock
|
16,000
|
$
64.21
|
D
|
|
Employee Stock Option (Right-to-Buy)
|
01/23/2007(2)
|
01/23/2016 |
$5 Par Common Stock
|
1,200
|
$
70.055
|
D
|
|
Employee Stock Option (Right-to-Buy)
|
01/06/2005(2)
|
01/06/2014 |
$5 Par Common Stock
|
1,200
|
$
54.04
|
D
|
|
Employee Stock Option (Right-to-Buy) Reload Option
|
10/24/2006(2)
|
02/16/2010 |
$5 Par Common Stock
|
2,000
|
$
58.645
|
D
|
|
Employee Stock Option (Right-to-Buy) Reload Option
|
01/25/2008(2)
|
01/06/2014 |
$5 Par Common Stock
|
1,110
|
$
72.65
|
D
|
|
Phantom Stock Unit
|
(3)
|
(3)
|
$5 Par Common Stock
|
2,256
|
$
(3)
|
I
|
Deferred Compensation Plan
|
Phantom Stock Unit
|
(3)
|
(3)
|
$5 Par Common Stock
|
436
(4)
|
$
(3)
|
I
|
Supplemental Incentive Savings Plan
|
Restricted Share Units
|
(5)
|
(5)
|
$5 Par Common Stock
|
576
|
$
(5)
|
D
|
|
Restricted Share Units
|
(6)
|
(6)
|
$5 Par Common Stock
|
247
|
$
(6)
|
D
|
|
* |
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. Options generally become exercisable in three equal annual installments, beginning one year after 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. |
(4) |
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") Supplemental Incentive Savings Plan (the "SISP"). Shares of PNC common stock are not directly allocated to SISP 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. |
(5) |
Each Restricted Share Unit represents the contingent right to receive the cash value of one share of PNC common stock. The Restricted Share Units will vest in installments of 288 units on February 7, 2014 and 288 units on February 7, 2015. |
(6) |
Each Restricted Share Unit represents the contingent right to receive the cash value of one share of PNC common stock. The Restricted Share Units will vest on February 9, 2014. |