SEC Form 4 · accession 0000750556-17-000011

SUNTRUST BANKS INC · STI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Corp. EVP & General Counsel

Period of report

Feb 2, 2017

Accepted (ET)

Feb 6, 2017 · 10:26 am EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000750556

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock	holding	—	—		—	13,566	D
Common Stock^F1	holding	—	—		—	1,047	I	401(k)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Phantom Stock^F2	—	Feb 2, 2017	S	1,932	D	—	—	Common Stock	1,932	0	D
Phantom Stock^F3	—	holding	—	—	—	Feb 21, 2015	—	Common Stock	2,315	2,315	D
Phantom Stock^F3	—	holding	—	—	—	Feb 21, 2016	—	Common Stock	2,315	2,315	D
Phantom Stock^F3	—	holding	—	—	—	Feb 21, 2017	—	Common Stock	2,316	2,316	D
Phantom Stock^F4	—	holding	—	—	—	Feb 10, 2017	—	Common Stock	2,104	2,104	D
Phantom Stock^F4	—	holding	—	—	—	Feb 10, 2018	—	Common Stock	2,104	2,104	D
Phantom Stock^F5	—	holding	—	—	—	Feb 9, 2017	—	Common Stock	2,339	2,339	D
Phantom Stock^F5	—	holding	—	—	—	Feb 9, 2018	—	Common Stock	2,339	2,339	D
Phantom Stock^F5	—	holding	—	—	—	Feb 9, 2019	—	Common Stock	2,339	2,339	D
Option^F6	$85.06	holding	—	—	—	Feb 13, 2010	Feb 13, 2017	Common Stock	18,000	18,000	D
Option^F6	$64.58	holding	—	—	—	Feb 12, 2011	Feb 12, 2018	Common Stock	33,500	33,500	D
Option^F6	$9.06	holding	—	—	—	Feb 10, 2012	Feb 8, 2019	Common Stock	50,863	50,000	D
Option^F7	$21.67	holding	—	—	—	—	Feb 14, 2022	Common Stock	30,000	30,000	D

F1Because the stock fund component of the 401(k) Plan is accounted for in unit accounting, the number of share equivalents varies based on the closing price of SunTrust stock on the applicable measurement date.
F2The phantom stock units were acquired under the SunTrust Banks, Inc. Deferred Compensation Plan and convert to common stock on a one-to-one basis.
F3Represents time-vested phantom stock granted on February 21, 2014 under the SunTrust Banks, Inc. 2009 Stock Plan. The plan is exempt under Rule 16b-3. The restricted stock unit agreements contain tax withholding provisions which allow us to withhold units to satisfy tax withholding obligations. Units will be settled in shares.
F4Represents time-vested restricted stock units granted on February 10, 2015 under the 2009 Stock Plan. the Plan is exempt under Rule 16b-3. The restricted stock unit award agreements contain tax withholding features which allow us to withhold units to satisfly withholding obligations. Units will be settled in shares.
F5Represents time-vested restricted stock units granted on February 9, 2016 under the 2009 Stock Plan. The Plan is exempt under Rule 16b-3. The restricted stock unit award agreements contain tax withholding features which allow us to withhold units to satisfly withholding obligations. Units will be settled in shares.
F6Granted pursuant to the SunTrust Banks, Inc. 2004 Stock Plan.
F7Granted pursuant to the SunTrust Banks, Inc. 2009 Stock Plan.