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Published: 2021-01-27 09:11:56 ET
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8-K
CITIZENS FINANCIAL GROUP INC/RI Depositary Shares, each representing a 1/40th interest in a share of 6.350% Fixed-To-Floating Rate Non-CumulativePerpetual Preferred Stock, Series D Depositary Shares, each representing a 1/40th interest in a share of 5.000% Fixed-Rate Non-CumulativePerpetual Preferred Stock, Series E false 0000759944 0000759944 2021-01-27 2021-01-27 0000759944 us-gaap:CommonStockMember 2021-01-27 2021-01-27 0000759944 cfg:DepositarySharesEachRepresentingA140thInterestInAShareOf6.350FixedToFloating2Member 2021-01-27 2021-01-27 0000759944 cfg:DepositarySharesEachRepresentingA140thInterestInAShareOf5.000FixedRateNonCumulative1Member 2021-01-27 2021-01-27

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): January 27, 2021

 

 

CITIZENS FINANCIAL GROUP, INC.

(Exact Name of Registrant as Specified In Its Charter)

 

 

 

Delaware    001-36636    05-0412693

(State or other jurisdiction

of incorporation)

   

(Commission File

Number)

   

(I.R.S. Employer

Identification No.)

 

One Citizens Plaza

Providence, RI

   02903
(Address of principal executive offices)   (Zip Code)

(401) 456-7000

(Registrant’s telephone number, including area code)

Not Applicable

(Former name or former address, if changed since last report.)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

☐

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

☐

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

☐

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

☐

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

   

Trading

symbol(s)

   

Name of each exchange

on which registered

Common stock, $0.01 par value per share    CFG    New York Stock Exchange
Depositary Shares, each representing a 1/40th interest in a share of 6.350% Fixed-To-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series D    CFG PrD    New York Stock Exchange
Depositary Shares, each representing a 1/40th interest in a share of 5.000% Fixed-Rate Non-Cumulative Perpetual Preferred Stock, Series E    CFG PrE    New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 under the Securities Act (17 CFR 230.405) or Rule 12 under the Exchange Act (17 CFR 240.12b-2).

Emerging growth company  ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐

 

 

 

Item 8.01.   Other Events.

On January 27, 2021, Citizens Financial Group, Inc. issued a press release announcing the extension of the early participation date and the early results of its subordinated debt exchange offers, a copy of which is included as Exhibit 99.1 to this Current Report on Form 8-K and incorporated herein by reference.

Item 9.01.   Financial Statements and Exhibits.

(d) Exhibits

 

Exhibit
Number		   

Description

99.1    Press Release of Citizens Financial Group, Inc., dated January 27, 2021, relating to its exchange offers
104    Cover Page Interactive Data File (embedded within the Inline XBRL document)

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

   

Citizens Financial Group, Inc.

(Registrant)

Date: January 27, 2021   By:  

/s/ Stephen T. Gannon

  Name:     Stephen T. Gannon
  Title:    

Executive Vice President, General Counsel and

Chief Legal Officer