SEC Form 4 · accession 0001225208-18-008923
REGIONS FINANCIAL CORP · RF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David R. Keenan
Officer — SEVP
Period of report
May 7, 2018
Accepted (ET)
May 8, 2018 · 5:16 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 | May 7, 2018 | M | 56,543 | $6.54 | A | 104,050 | D | |
| Common StockF1 | May 7, 2018 | F | 5,330 | $18.7612 | D | 98,720 | D | |
| Common StockF2 | May 7, 2018 | S | 23,186 | $18.7612 | D | 75,534 | D | |
| Common StockF2 | May 7, 2018 | S | 24,915 | $18.7612 | D | 50,619 | D | |
| Common StockF3 | May 7, 2018 | F | 26,298 | $18.7612 | D | 24,321 | D | |
| Common StockF4 | holding | — | — | — | 13,851 | I | By 401(k) | |
| Common Stock (phantom stock)F4 | holding | — | — | — | 18,258 | 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) | $6.54 | May 7, 2018 | M | 56,543 | D | Jun 1, 2012 | May 31, 2021 | Common Stock | 56,543 | 0 | D |
Explanation of responses
- F1Weighted average execution price per share of shares withheld and sold, representing payment of exercise price of incentive stock options.
- F2Weighted average execution price.
- F3Weighted average execution price per share of shares withheld and sold, representing payment of exercise price of nonqualified options and associated tax liability.
- F4Expressed 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.