SEC Form 4 · accession 0001294671-17-000078
KEYCORP /NEW/ · KEY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Beth E Mooney
Officer — Chairman and CEO · Director
Period of report
Jul 26, 2017
Accepted (ET)
Jul 27, 2017 · 4:16 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 SharesF1 | Jul 26, 2017 | M | 350,000 | $6.12 | A | 1,114,782 | D | |
| Common Shares | Jul 26, 2017 | F | 230,793 | $18.21 | D | 883,989 | D | |
| Common Shares | Jul 26, 2017 | M | 46,564 | $8.59 | A | 930,553 | D | |
| Common Shares | Jul 26, 2017 | F | 22,031 | $18.16 | D | 908,522 | D | |
| Common Shares | Jul 26, 2017 | M | 12,531 | $7.98 | A | 921,053 | D | |
| Common Shares | Jul 26, 2017 | F | 5,512 | $18.14 | D | 915,541 | D | |
| Common SharesF2 | holding | — | — | — | 5,525 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to BuyF3 | $6.12 | Jul 26, 2017 | M | 350,000 | D | Mar 31, 2011 | Jun 12, 2019 | Common Shares | 350,000 | 0 | D |
| Option to BuyF4 | $8.59 | Jul 26, 2017 | M | 46,564 | D | — | May 19, 2021 | Common Shares | 46,564 | 249,879 | D |
| Option to BuyF5 | $7.98 | Jul 26, 2017 | M | 12,531 | D | — | Mar 2, 2022 | Common Shares | 12,531 | 437,737 | D |
Explanation of responses
- F1Includes approximately 1,385 common shares acquired through dividend reinvestments since December 2016.
- F2Reported as of July 27, 2017.
- F3This option, which was issued on June 12, 2009 in connection with KeyCorp's participation in the U.S. Treasury's Troubled Assets Relief Program ("TARP"), was fully vested on the date of grant, but not exercisable until KeyCorp's repayment of its TARP obligations (which occurred on the date shown).
- F4This option vested in four equal annual installments ending on May 19, 2015.
- F5This option vested in four equal annual installments ending on March 2, 2016.