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Citizens Financial Group (CFG) filed a Form 13F Combination Report listing institutional equity positions managed by the firm and certain affiliates. The filing reports a Form 13F Information Table Value Total of $7,300,615,203 and an Information Table Entry Total of 1,007.
The report lists 2 other included managers: Citizens Bank, National Association and Clarfeld Financial Advisors, LLC. This submission confirms the manager’s authorization and completeness representations and indicates portions of holdings are reported by other managers as part of the combination format.
Citizens Financial Group (CFG) filed a Form 3, the initial statement of beneficial ownership for a company insider. The reporting person, an officer serving as Head of Commercial Banking, reported ownership of 90,372 shares of common stock, held directly.
The event date was 10/07/2025. No derivative securities were listed, and the form was filed by one reporting person.
Citizens Financial Group (CFG) furnished materials for its third quarter 2025 results. The company posted a press release and financial supplement, and shared an investor presentation in connection with its earnings call. These items were provided as Exhibits 99.1, 99.2, and 99.3.
The information was furnished under Items 2.02 and 7.01 and is not deemed filed under the Exchange Act, nor incorporated by reference under the Securities Act.
Citizens Financial Group announced a leadership change in its commercial banking business. Ted Swimmer, previously head of capital markets and advisory for Citizens Commercial Banking, has been named Head of Commercial Banking, effective immediately.
Swimmer is a 30-year banking industry veteran who joined the company in 2010 and has served on its Executive Committee since 2018. He succeeds Don McCree, who will remain with the company as Chair of Commercial Banking until his planned retirement at the end of March 2026. The announcement was detailed in a press release attached as an exhibit to the report.
Citizens Financial Group, Inc. updated its corporate charter following the redemption of its 5.650% Fixed-Rate Reset Non-Cumulative Perpetual Preferred Stock, Series F. On October 6, 2025, the company filed a Certificate of Elimination in Delaware to remove all provisions relating to the Series F preferred stock from its Restated Certificate of Incorporation after all outstanding Series F shares were redeemed the same day.
The company also filed a new Restated Certificate of Incorporation on October 6, 2025 that reflects the elimination of the Series F preferred stock and integrates the previously filed Certificate of Designations for its 6.500% Fixed-Rate Reset Non-Cumulative Perpetual Preferred Stock, Series I. Copies of these charter documents are included as exhibits to the report.
Citizens Financial Group interim Chief Financial Officer Christopher R. Emerson reported ownership of 38,828 shares of Citizens Financial Group, Inc. (CFG) on an initial Form 3 filed for the 08/16/2025 event. The filing indicates the position as an officer (Interim CFO) and that the shares are directly owned. The Form 3 was signed by an attorney-in-fact on 08/22/2025.
Citizens Financial Group executive Michelle Moosally, the Chief Legal Officer, submitted an amended initial insider ownership report on Form 3/A. The amendment does not list any stock transactions, and no shares were reported as bought, sold, acquired, or disposed in this filing.
Tracy A. Atkinson, a director of Citizens Financial Group, Inc. (CFG), reported a non-derivative acquisition on 08/14/2025. The filing shows 82.769 shares were credited to the reporting person’s account at a price of $0 as restricted stock units following the issuer’s dividend payment under the Amended & Restated Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan.
After the transaction, the reporting person beneficially owns 9,780.506 shares. The Form 4 was signed by an attorney-in-fact on 08/15/2025. The filing identifies the reporting person’s relationship as a Director and indicates this is a single-person Form 4 filing.
Marita Zuraitis, a director of Citizens Financial Group, Inc. (CFG), received 336.274 shares of Common Stock on 08/14/2025 at no cash cost, increasing her beneficial ownership to 54,231.415 shares. The filing reports these shares were restricted stock units credited to her account following the issuer's dividend payment under the Amended & Restated Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. The Form 4 was signed by an attorney-in-fact on 08/15/2025 and reflects a routine equity award conversion tied to dividend treatment of RSUs.
Robert G. Leary, a director of Citizens Financial Group, Inc. (CFG), was credited with 255.869 shares on 08/14/2025 under the companys director compensation plan. These shares were recorded at $0 and reflect restricted stock units (RSUs) credited following the issuers dividend payment, pursuant to awards granted under the Amended & Restated Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. After this crediting event, Leary beneficially owned 30,235.292 shares in total. The Form 4 was filed individually and signed by an attorney-in-fact on 08/15/2025.