SEC Form 4 · accession 0000750556-19-000036
SUNTRUST BANKS INC · STI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Laura Allison Dukes
Officer — Chief Financial Officer
Period of report
Feb 8, 2019
Accepted (ET)
Feb 11, 2019 · 9:08 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 8, 2019 | M | 2,337 | $64.37 | A | 22,324 | D | |
| Common Stock | Feb 8, 2019 | F | 767 | $64.37 | D | 21,557 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF1 | — | Feb 8, 2019 | M | 2,337 | D | Feb 9, 2019 | — | Common Stock | 2,337 | 0 | D |
| Phantom Stock UnitsF3 | — | Feb 8, 2019 | A | 3,207 | A | Feb 8, 2020 | — | Common Stock | 3,207 | 3,207 | D |
| Phantom Stock UnitsF3 | — | Feb 8, 2019 | A | 3,207 | A | Feb 8, 2021 | — | Common Stock | 3,207 | 3,207 | D |
| Phantom Stock UnitsF3 | — | Feb 8, 2019 | A | 3,207 | A | Feb 8, 2022 | — | Common Stock | 3,207 | 3,207 | D |
| OptionsF2 | $27.41 | holding | — | — | — | Feb 26, 2016 | Feb 26, 2023 | Common Stock | 5,061 | 5,061 | D |
| Phantom Stock UnitsF1 | — | holding | — | — | — | Feb 14, 2019 | Feb 14, 2019 | Common Stock | 1,483 | 1,483 | D |
| Phantom Stock UnitsF1 | — | holding | — | — | — | Feb 14, 2020 | Feb 14, 2020 | Common Stock | 1,483 | 1,483 | D |
| Phantom Stock UnitsF1 | — | holding | — | — | — | Feb 13, 2019 | Feb 13, 2019 | Common Stock | 1,840 | 1,840 | D |
| Phantom Stock UnitsF1 | — | holding | — | — | — | Feb 13, 2020 | Feb 13, 2020 | Common Stock | 1,840 | 1,840 | D |
| Phantom Stock UnitsF1 | — | holding | — | — | — | Feb 13, 2021 | Feb 13, 2021 | Common Stock | 1,840 | 1,840 | D |
| Phantom Stock UnitsF1 | — | holding | — | — | — | Aug 9, 2019 | Aug 9, 2019 | Common Stock | 24,274 | 24,274 | D |
Explanation of responses
- F1Represents time-vested restricted stock units granted pursuant to the SunTrust Banks, Inc. 2009 Stock Plan. The Plan is exempt under Rule 16b-3. Units will be settled in shares of common stock. The award agreements contain tax withholding features that allow us to withhold units to satisfy tax withholding obligations.
- F2Granted pursuant to the SunTrust Banks, Inc. 2009 Stock Plan.
- F3Represents time-vested restricted stock units granted pursuant to the SunTrust Banks, Inc. 2018 Omnibus Incentive Compensation Plan. The Plan is exempt under Rule 16b-3. Units will be settled in shares of common stock. The award agreements contain tax withholding features that allow us to withhold units to satisfy tax withholding obligations.