SEC Form 4 · accession 0000035527-16-000229
FIFTH THIRD BANCORP · FITB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark D Hazel
Officer — SVP and Controller
Period of report
Nov 10, 2016
Accepted (ET)
Nov 15, 2016 · 6:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000035527
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 10, 2016 | M | 7,000 | $3.96 | A | 41,974 | D | |
| Common Stock | Nov 10, 2016 | D | 1,168 | $23.74 | D | 40,806 | D | |
| Common Stock | Nov 10, 2016 | F | 1,799 | $23.74 | D | 39,007 | D | |
| Common StockF3 | holding | — | — | — | 12,839 | I | by 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF2,F1 | $3.96 | Nov 10, 2016 | M | 7,000 | D | Apr 21, 2009 | Apr 21, 2019 | Common Stock | 7,000 | 0 | D |
Explanation of responses
- F1Indicates 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.
- F2Issued pursuant to Fifth Third Bancorp Incentive Compensation Plan. No consideration paid.
- F3ncludes 261 shares acquired under Fifth Third's 401(k) plan since the date of the reporting person's last ownership report.