SEC Form 3 · accession 0001294671-16-000160
KEYCORP /NEW/ · KEY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathleen F Terrell
Officer — Chief Human Resources Officer
Period of report
Mar 10, 2016
Accepted (ET)
Mar 18, 2016 · 4:17 pm EDT
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 Shares | holding | — | — | — | 41,377 | D | ||
| Common Shares | holding | — | — | — | 3,424 | I | 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to BuyF1 | $36.37 | holding | — | — | — | Jul 21, 2007 | Jul 21, 2016 | Common Shares | 6,494 | — | D |
| Options to BuyF1 | $36.20 | holding | — | — | — | Jul 20, 2008 | Jul 20, 2017 | Common Shares | 10,714 | — | D |
| Options to BuyF1 | $11.16 | holding | — | — | — | Jul 25, 2009 | Jul 25, 2018 | Common Shares | 10,000 | — | D |
| Options to BuyF1 | $8.42 | holding | — | — | — | Jul 27, 2011 | Jul 27, 2020 | Common Shares | 4,481 | — | D |
| Options to BuyF1 | $9.26 | holding | — | — | — | Mar 4, 2012 | Mar 4, 2021 | Common Shares | 11,950 | — | D |
| Options to BuyF1 | $7.98 | holding | — | — | — | Mar 2, 2013 | Mar 2, 2022 | Common Shares | 13,750 | — | D |
| Options to BuyF2 | $9.33 | holding | — | — | — | Mar 1, 2014 | Mar 1, 2023 | Common Shares | 4,225 | — | D |
| Options to BuyF2 | $12.92 | holding | — | — | — | Feb 17, 2015 | Feb 17, 2024 | Common Shares | 2,946 | — | D |
| Options to BuyF2 | $14.11 | holding | — | — | — | Feb 16, 2016 | Feb 16, 2025 | Common Shares | 3,695 | — | D |
| Options to BuyF2 | $10.49 | holding | — | — | — | Feb 15, 2017 | Feb 15, 2026 | Common Shares | 8,177 | — | D |
| Restricted Stock UnitsF4,F3 | — | holding | — | — | — | — | — | Common Shares | 2,597 | — | D |
| Restricted Stock UnitsF4,F5 | — | holding | — | — | — | — | — | Common Shares | 3,765 | — | D |
| Restricted Stock UnitsF4,F6 | — | holding | — | — | — | — | — | Common Shares | 5,242 | — | D |
| Restricted Stock UnitsF4,F7 | — | holding | — | — | — | — | — | Common Shares | 10,076 | — | D |
| Deferred SharesF9,F8 | — | holding | — | — | — | — | — | Common Shares | 919 | — | D |
Explanation of responses
- F1Vested in four equal annual installments, beginning on the date shown. These options have fully vested.
- F2Vests in four equal annual installments, beginning on the date shown.
- F3These restricted stock units vest in four equal annual installments. The first installment vested on March 1, 2014.
- F4Each restricted stock unit represents the right to receive one KeyCorp common share at vesting.
- F5These restricted stock units vest in four equal annual installments. The first installment vested on February 17, 2015.
- F6These restricted stock units vest in four equal annual installments. The first installment vested on February 17, 2016.
- F7These restricted stock units vest in four equal annual installments, beginning on February 17, 2017.
- F8Deferred shares held in the Common Share account of the KeyCorp Deferred Savings Plan (the "Plan") are only distributable in accordance with the terms of that Plan, which is not a date certain. Contributions to the Common Share account of the Plan were frozen beginning in 2012.
- F9Each deferred share represents the right to receive one KeyCorp common share at distribution.