SEC Form 4 · accession 0001294671-17-000085
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
Aug 4, 2017
Accepted (ET)
Aug 8, 2017 · 4:33 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 | Aug 4, 2017 | I | 21,151 | $18.40 | D | 0 | I | 401(k) Plan |
| Common SharesF1 | Aug 4, 2017 | M | 46,038 | $11.16 | A | 191,896 | D | |
| Common Shares | Aug 4, 2017 | M | 48,531 | $5.55 | A | 240,427 | D | |
| Common Shares | Aug 4, 2017 | M | 38,262 | $8.42 | A | 278,689 | D | |
| Common Shares | Aug 4, 2017 | M | 15,056 | $9.26 | A | 293,745 | D | |
| Common Shares | Aug 4, 2017 | M | 40,236 | $7.98 | A | 333,981 | D | |
| Common Shares | Aug 4, 2017 | M | 16,901 | $9.33 | A | 350,882 | D | |
| Common SharesF2,F3 | Aug 4, 2017 | S | 205,024 | $18.56 | D | 145,858 | D | |
| Common Shares | Aug 7, 2017 | M | 8,962 | $11.16 | A | 154,820 | D | |
| Common Shares | Aug 7, 2017 | F | 5,447 | $18.36 | D | 149,373 | D | |
| Common Shares | Aug 7, 2017 | M | 18,019 | $5.55 | A | 167,392 | D | |
| Common Shares | Aug 7, 2017 | F | 5,438 | $18.39 | D | 161,954 | D | |
| Common Shares | Aug 7, 2017 | M | 11,876 | $8.42 | A | 173,830 | D | |
| Common Shares | Aug 7, 2017 | F | 5,443 | $18.37 | D | 168,387 | D | |
| Common Shares | Aug 7, 2017 | M | 27,350 | $9.26 | A | 195,737 | D | |
| Common Shares | Aug 7, 2017 | F | 13,786 | $18.37 | D | 181,951 | D | |
| Common Shares | Aug 7, 2017 | M | 12,989 | $7.98 | A | 194,940 | D | |
| Common Shares | Aug 7, 2017 | F | 5,656 | $18.33 | D | 189,284 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to BuyF4 | $11.16 | Aug 4, 2017 | M | 46,038 | D | — | Jul 25, 2018 | Common Shares | 46,038 | 8,962 | D |
| Option to BuyF5 | $5.55 | Aug 4, 2017 | M | 48,531 | D | — | Jul 27, 2019 | Common Shares | 48,531 | 18,019 | D |
| Option to BuyF6 | $8.42 | Aug 4, 2017 | M | 38,262 | D | — | Jul 27, 2020 | Common Shares | 38,262 | 11,876 | D |
| Option to BuyF7 | $9.26 | Aug 4, 2017 | M | 15,056 | D | — | Mar 4, 2021 | Common Shares | 15,056 | 27,350 | D |
| Option to BuyF8 | $7.98 | Aug 4, 2017 | M | 40,236 | D | — | Mar 2, 2022 | Common Shares | 40,236 | 12,989 | D |
| Option to BuyF9 | $9.33 | Aug 4, 2017 | M | 16,901 | D | — | Mar 1, 2023 | Common Shares | 16,901 | 0 | D |
| Option to BuyF4 | $11.16 | Aug 7, 2017 | M | 8,962 | D | — | Jul 25, 2018 | Common Shares | 8,962 | 0 | D |
| Option to BuyF5 | $5.55 | Aug 7, 2017 | M | 18,019 | D | — | Jul 27, 2019 | Common Shares | 18,019 | 0 | D |
| Option to BuyF6 | $8.42 | Aug 7, 2017 | M | 11,876 | D | — | Jul 27, 2020 | Common Shares | 11,876 | 0 | D |
| Option to BuyF7 | $9.26 | Aug 7, 2017 | M | 27,350 | D | — | Mar 4, 2021 | Common Shares | 27,350 | 0 | D |
| Option to BuyF8 | $7.98 | Aug 7, 2017 | M | 12,989 | D | — | Mar 2, 2022 | Common Shares | 12,989 | 0 | D |
Explanation of responses
- F1Includes approximately 21 common shares acquired through dividend reinvestment in March 2017.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.55 to $18.57.
- F3The reporting person may provide to KeyCorp, any security holder of KeyCorp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
- F4This option vested in three equal annual installments ending on July 25, 2011.
- F5This option vested in three equal annual installments ending on July 27, 2012.
- F6This option vested in three equal annual installments ending on July 27, 2013.
- F7This option vested in four equal annual installments ending on March 4, 2015.
- F8This option vested in four equal annual installments ending on March 2, 2016.
- F9This option vested in four equal annual installments ending on March 1, 2017.