SEC Form 4 · accession 0001294671-16-000152
KEYCORP /NEW/ · KEY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William L. Hartmann
Officer — Chief Risk Officer
Period of report
Mar 1, 2016
Accepted (ET)
Mar 3, 2016 · 5:20 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000091576
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Mar 1, 2016 | M | 7,061 | — | A | 95,517 | D | |
| Common Shares | Mar 1, 2016 | F | 3,351 | $10.90 | D | 92,166 | D | |
| Common SharesF1 | Mar 2, 2016 | M | 8,048 | — | A | 100,214 | D | |
| Common Shares | Mar 2, 2016 | F | 3,820 | $11.31 | D | 96,394 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F1,F2 | — | Mar 1, 2016 | M | 7,061 | D | — | — | Common Shares | 7,061 | 7,120 | D |
| Restricted Stock UnitsF4,F1,F5 | — | Mar 2, 2016 | M | 5,651 | D | — | — | Common Shares | 5,651 | 0 | D |
| Restricted Stock UnitsF6,F1,F5 | — | Mar 2, 2016 | M | 2,397 | D | — | — | Common Shares | 2,397 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents the right to receive one KeyCorp common share at vesting.
- F2The restricted stock units, granted on March 1, 2013, vest in four equal annual installments.
- F3Includes approximately 318 dividend-equivalent restricted stock units accrued between March and December 2015.
- F4Includes approximately 139 dividend-equivalent restricted stock units accrued between March and December 2015.
- F5The restricted stock units, granted on March 2, 2012, vest fully on March 2, 2016.
- F6Includes approximately 59 dividend-equivalent restricted stock units accrued between March and December 2015.