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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 | ||||||||
Stock Appreciation Rights | $ 9.82 | 01/27/2014 | D | 15,817 (1) (2) | 12/18/2009(3) | 12/18/2019 | Common Stock | 15,817 (1) (2) | $ 0 (4) | 260,388 (5) | D | ||||
Stock Appreciation Rights | $ 9.82 | 01/27/2014 | M | 49,183 (1) | 12/18/2009(3) | 12/18/2019 | Common Stock | 49,183 (1) | $ 0 (4) | 211,205 (5) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Alonso Steven 38 FOUNTAIN SQUARE PLAZA CINCINNATI, OH 45263 |
Executive Vice President |
H. Samuel Lind, as Attorney-in-Fact for Steven Alonso | 04/10/2014 | |
**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 reporting person's intial Form 4 filing did not include the forfeiture of Stock Appreciation Rights pursuant ot the Interim Final Rule on TARP Standards for Compensation and Corporate Governance issued by the U.S. Department of the Treasury. This amendment is being filed to report this forefeiture of Stock Appreciation Rights as well as to correct the resulting amount of Common Stock received, disposed to the Issuer and withheld for taxes after excercise of the reporting person's Stock Appreciation Rights. |
(2) | Stock Appreciation Rights previously granted that are forefeited pursuant to the Interim Final Rule on TARP Standards for Compensation and Corporate Governance issued by the U.S. Department of the Treasury. |
(3) | Indicates grant date. Stock appreciation rights are exercisable as follows: 25% one year from grant date, 50% two years from grant date, 75% three years from grant date, and 100% four years from grant date. |
(4) | Granted pursuant to the Fifth Third Bancorp 2008 Incentive Compensation Plan. No consideration paid. |
(5) | Includes total number of Stock Appreciation Rights previously reported. |