SEC Form 4 · accession 0001294671-17-000100
KEYCORP /NEW/ · KEY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William L. Hartmann
Officer — Chief Risk Officer
Period of report
Nov 20, 2017
Accepted (ET)
Nov 21, 2017 · 4:23 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 | Nov 20, 2017 | M | 46,956 | — | A | 174,626 | D | |
| Common Shares | Nov 20, 2017 | F | 21,694 | $18.46 | D | 152,932 | 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 UnitsF3,F1 | — | Nov 20, 2017 | M | 46,956 | D | Nov 20, 2017 | Nov 20, 2017 | Common Shares | 46,956 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents the right to receive one KeyCorp common share at vesting.
- F2Includes approximately 21 common shares acquired through dividend reinvestments in March 2017.
- F3Includes approximately 3,751 dividend-equivalent restricted stock units accrued since November 2013.