SEC Form 4 · accession 0001294671-17-000018
KEYCORP /NEW/ · KEY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Trina M Evans
Officer — Director, Corporate Center
Period of report
Feb 17, 2017
Accepted (ET)
Feb 22, 2017 · 5:04 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 | Feb 17, 2017 | M | 8,227 | — | A | 61,597 | D | |
| Common Shares | Feb 17, 2017 | F | 2,714 | $18.96 | D | 58,883 | D | |
| Common SharesF2 | Feb 20, 2017 | A | 9,427 | — | A | 68,310 | D | |
| Common Shares | Feb 20, 2017 | F | 3,144 | $18.96 | D | 65,166 | 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 UnitsF4,F1,F3 | — | Feb 17, 2017 | M | 2,578 | D | — | — | Common Shares | 2,578 | 2,577 | D |
| Restricted Stock UnitsF6,F1,F5 | — | Feb 17, 2017 | M | 2,226 | D | — | — | Common Shares | 2,226 | 4,452 | D |
| Restricted Stock UnitsF8,F1,F7 | — | Feb 17, 2017 | M | 3,423 | D | — | — | Common Shares | 3,423 | 10,267 | D |
| Restricted Stock UnitsF1,F9 | — | Feb 20, 2017 | A | 11,075 | A | — | — | Common Shares | 11,075 | 11,075 | D |
| Option to BuyF10 | $18.96 | Feb 20, 2017 | A | 8,695 | A | — | Feb 20, 2027 | Common Shares | 8,695 | 8,695 | D |
Explanation of responses
- F1Each restricted stock unit represents the right to receive one KeyCorp common share at vesting.
- F10The options to buy, granted on February 20, 2017, vest in four equal annual installments beginning on February 17, 2018.
- F2These shares were received for no consideration upon the satisfaction of certain performance criteria underlying the performance share units granted on February 17, 2014.
- F3The restricted stock units, granted on February 17, 2014, vest in four equal annual installments that began on February 17, 2015.
- F4Includes approximately 130 dividend-equivalent restricted stock units accrued between March and December 2016.
- F5The restricted stock units, granted on February 16, 2015, vest in four equal annual installments beginning on February 17, 2016.
- F6Includes approximately 168 dividend-equivalent restricted stock units accrued between March and December 2016.
- F7The restricted stock units, granted on February 15, 2016, vest in four equal annual installments beginning on February 17, 2017.
- F8Includes approximately 344 dividend-equivalent restricted stock units accrued between March and December 2016.
- F9The restricted stock units, granted on February 20, 2017, vest in four equal annual installments beginning on February 17, 2018.