SEC Form 4 · accession 0001225208-17-008501
REGIONS FINANCIAL CORP · RF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William D. Ritter
Officer — SEVP
Period of report
Apr 24, 2017
Accepted (ET)
Apr 26, 2017 · 7:14 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001281761
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 24, 2017 | M | 150,000 | $7.00 | A | 195,423 | D | |
| Common Stock | Apr 24, 2017 | S | 39,258 | $13.816 | D | 156,165 | D | |
| Common StockF1 | Apr 24, 2017 | F | 110,742 | $13.816 | D | 45,423 | D | |
| Common Stock | Apr 25, 2017 | M | 15,290 | $6.54 | A | 60,713 | D | |
| Common StockF2 | Apr 25, 2017 | F | 7,240 | $13.81 | D | 53,473 | D | |
| Common StockF3 | holding | — | — | — | 993 | I | By 401(k) | |
| Common Stock | holding | — | — | — | 989 | I | By Spouse IRA | |
| Common Stock (phantom stock)F3 | holding | — | — | — | 1,514 | I | Indirect - By 401 (k) Supplemental Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $7.00 | Apr 24, 2017 | M | 150,000 | D | Jun 22, 2011 | Jun 21, 2020 | Common Stock | 150,000 | 83,150 | D |
| Stock Option (Right to Buy) | $6.54 | Apr 25, 2017 | M | 15,290 | D | Jun 1, 2012 | May 31, 2021 | Common Stock | 15,290 | 105,265 | D |
Explanation of responses
- F1Price per share of shares withheld and sold, representing payment of exercise price of nonqualified options and associated tax liability. Valued at execution price.
- F2Price per share of shares tendered and netted, representing payment of exercise price of incentive stock options. Valued at previous day close.
- F3Expressed as ownership units in the plan's unitized employer stock fund, which is managed such that each unit is intended to approximate the economic value of one share of common stock.