SEC Form 4 · accession 0001294671-18-000030
KEYCORP /NEW/ · KEY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert A DeAngelis
Officer — Dir. of Qual. & Prod. Mgmt.
Period of report
Feb 21, 2018
Accepted (ET)
Feb 23, 2018 · 4:51 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 Shares | Feb 21, 2018 | M | 31,038 | $11.16 | A | 175,053 | D | |
| Common SharesF1,F2 | Feb 21, 2018 | S | 25,000 | $21.11 | D | 150,053 | D | |
| Common Shares | Feb 21, 2018 | M | 13,481 | $8.42 | A | 163,534 | D | |
| Common Shares | Feb 21, 2018 | F | 5,425 | $20.92 | D | 158,109 | 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 BuyF3 | $11.16 | Feb 21, 2018 | M | 31,038 | D | — | Jul 25, 2018 | Common Shares | 31,038 | 0 | D |
| Option to BuyF4 | $8.42 | Feb 21, 2018 | M | 13,481 | D | — | Jul 27, 2020 | Common Shares | 13,481 | 22,983 | D |
Explanation of responses
- F1The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.10 to $21.12.
- F2The 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.
- F3This option vested in three equal annual installments ending on July 25, 2011.
- F4This option vested in three equal annual installments ending on July 27, 2013.