SEC Form 4 · accession 0001294671-17-000022
KEYCORP /NEW/ · KEY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul N Harris
Officer — General Counsel & Secretary
Period of report
Feb 17, 2017
Accepted (ET)
Feb 22, 2017 · 5:08 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,F2 | Feb 17, 2017 | M | 15,759 | — | A | 131,470 | D | |
| Common Shares | Feb 17, 2017 | F | 5,417 | $18.96 | D | 126,053 | D | |
| Common SharesF3 | Feb 20, 2017 | A | 22,626 | — | A | 148,679 | D | |
| Common Shares | Feb 20, 2017 | F | 7,546 | $18.96 | D | 141,133 | D | |
| Common SharesF4 | holding | — | — | — | 20,938 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF6,F1,F5 | — | Feb 17, 2017 | M | 4,950 | D | — | — | Common Shares | 4,950 | 4,950 | D |
| Restricted Stock UnitsF8,F1,F7 | — | Feb 17, 2017 | M | 4,452 | D | — | — | Common Shares | 4,452 | 8,903 | D |
| Restricted Stock UnitsF10,F1,F9 | — | Feb 17, 2017 | M | 6,357 | D | — | — | Common Shares | 6,357 | 19,067 | D |
| Restricted Stock UnitsF1,F11 | — | Feb 20, 2017 | A | 13,713 | A | — | — | Common Shares | 13,713 | 13,713 | D |
| Option to BuyF12 | $18.96 | Feb 20, 2017 | A | 14,130 | A | — | Feb 20, 2027 | Common Shares | 14,130 | 14,130 | D |
Explanation of responses
- F1Each restricted stock unit represents the right to receive one KeyCorp common share at vesting.
- F10Includes approximately 638 dividend-equivalent restricted stock units accrued between March and December 2016.
- F11The restricted stock units, granted on February 20, 2017, vest in four equal annual installments beginning on February 17, 2018.
- F12The options to buy, granted on February 20, 2017, vest in four equal annual installments beginning on February 17, 2018.
- F2Includes approximately 32 common shares acquired through dividend reinvestments in March 2016.
- F3These shares were received for no consideration upon the satisfaction of certain performance criteria underlying the performance share units granted on February 17, 2014.
- F4Reported as of February 9, 2017.
- F5The restricted stock units, granted on February 17, 2014, vest in four equal annual installments that began on February 17, 2015.
- F6Includes approximately 249 dividend-equivalent restricted stock units accrued between March and December 2016.
- F7The restricted stock units, granted on February 16, 2015, vest in four equal annual installments beginning on February 17, 2016.
- F8Includes approximately 335 dividend-equivalent restricted stock units accrued between March and December 2016.
- F9The restricted stock units, granted on February 15, 2016, vest in four equal annual installments beginning on February 17, 2017.