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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, Section 17(a) of the Public Utility Holding Company Act of 1935 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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CARRION RICHARD L PO BOX 362708 SAN JUAN, PR 00936-2708 |
X | Chairman & CEO |
Marie Reyes-Rodriguez, Attorney-in-fact | 05/22/2013 | |
**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) | Award of Restricted Stock pursuant to Popular, Inc.'s 2004 Omnibus Incentive Plan. The restrictions on such restricted stock lapse upon retirement of the executive officers. |
(2) | Represents Mr. Carrion's ownership of 18.27% in Junior Investment ("Junior Investment") Corporation, which owned 9,329,692 shares as of the date of the original filing. |
(3) | This amended filing is being made solely to correct Mr. Carrion's indirect ownership in Popular, Inc. Common Stock as a result of his ownership in Junior Investment Corporation ("Junior Investment"). In January 2005, Junior Investment effected a recapitalization pursuant to which it issued shares of preferred stock to one of its shareholders in exchange for a portion of such shareholder's common stock in Junior Investment. As a result of this transaction and the corresponding reduction in the common stock of Junior Investment outstanding, Mr. Carrion's ownership interest in Junior Investment increased from 17.89% to 18.27%. |