Statement of Changes in Beneficial Ownership (4)
16 Giugno 2023 - 8:44PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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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1. Name and Address of Reporting Person
*
Alemany Ellen R |
2. Issuer Name and Ticker or Trading Symbol
FIRST CITIZENS BANCSHARES INC /DE/
[
FCNCA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Vice Chairwoman |
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(Last)
(First)
(Middle)
4300 SIX FORKS ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/15/2023 |
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(Street)
RALEIGH, NC 27609 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Class A Common | | | | | | | | 18597 (1)(2) | D | |
| Class A Common | 6/15/2023 | | G | | 188 | D | $0.00 | 0 (2) | I | March 2021 GRAT #1 |
| Class A Common | | | | | | | | 5757 (1) | I | May 2022 GRAT |
| Class A Common | 6/15/2023 | | G | | 188 | A | $0.00 | 10294 (2) | I | Family GST Exempt Trust |
| Series C Preferred Stock | | | | | | | | 30000 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security
(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) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | On June 14 and June 15, 2023, 1,875 shares and 14 shares, respectively, of Class A Common Stock were distributed from the reporting person's May 2022 GRAT (the "GRAT," of which she serves as a trustee) to the reporting person and are now reported in this Form 4 as directly owned, and the remaining 5,757 shares held by the GRAT continue to be so held and to be reported in this Form 4 as indirectly owned. |
| (2) | In connection with the termination of the reporting person's March 2021 GRAT #1 (the "GRAT," of which she serves as a trustee) on June 14, 2023, 1,050 shares of Class A Common Stock were distributed to the reporting person and are now reported in this Form 4 as directly owned, and on June 15, 2023, the remaining 188 shares held by the GRAT were transferred to the Family GST Exempt Trust as the remainder beneficiary and continue to be reported in this Form 4 as indirectly owned. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Alemany Ellen R
4300 SIX FORKS ROAD
RALEIGH, NC 27609 | X |
| Vice Chairwoman |
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Signatures
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| Ellen R. Alemany, By: E. Knox Proctor V, Attorney-in-fact | | 6/16/2023 |
| **Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * | 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). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| 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. |
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