SEC Form 4 · accession 0000750556-17-000029
SUNTRUST BANKS INC · STI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dorinda C Smith
Officer — Pres & CEO SunTrust Mortgage
Period of report
Feb 9, 2017
Accepted (ET)
Feb 13, 2017 · 5:11 pm 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 | Feb 9, 2017 | M | 1,250 | $57.73 | A | 2,252 | D | |
| Common Stock | Feb 9, 2017 | F | 385 | $57.73 | D | 1,867 | D | |
| Common Stock | Feb 10, 2017 | M | 520 | $57.76 | A | 2,387 | D | |
| Common Stock | Feb 10, 2017 | F | 168 | $57.76 | D | 2,219 | D | |
| Common Stock | Feb 10, 2017 | M | 103 | $57.76 | A | 2,322 | D | |
| Common Stock | Feb 10, 2017 | F | 34 | $57.76 | D | 2,288 | D | |
| Common Stock | Feb 10, 2017 | M | 877 | $57.76 | A | 3,165 | D | |
| Common Stock | Feb 10, 2017 | F | 306 | $57.76 | D | 2,859 | D | |
| Common Stock | holding | — | — | — | 1,001 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1 | — | Feb 10, 2017 | M | 103 | D | Feb 11, 2017 | — | Common Stock | 103 | 0 | D |
| Phantom StockF1 | — | Feb 10, 2017 | M | 520 | D | Feb 11, 2017 | — | Common Stock | 520 | 0 | D |
| Phantom StockF1 | — | Feb 10, 2017 | M | 877 | D | Feb 11, 2018 | — | Common Stock | 877 | 0 | D |
| Phantom StockF1 | — | Feb 9, 2017 | M | 1,250 | D | Feb 9, 2017 | — | Common Stock | 1,250 | 0 | D |
| Phantom StockF1 | — | holding | — | — | — | Feb 9, 2018 | — | Common Stock | 1,221 | 1,221 | D |
| Phantom StockF1 | — | holding | — | — | — | Feb 9, 2019 | — | Common Stock | 1,222 | 1,222 | D |
Explanation of responses
- F1Represnents time-vested restricted stock granted under SunTrust Banks, Inc. 2004 Stock Plan and the 2009 Stock Plan. Restricted stock agreements contain tax withholding features allowing stock to be withheld to satisfy tax withholding obligations. This plan is exempt under Rule 16(b)-3.