SEC Form 4 · accession 0001294671-18-000078
KEYCORP /NEW/ · KEY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ruth Ann M Gillis
Director
Period of report
Oct 1, 2018
Accepted (ET)
Oct 3, 2018 · 4:03 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 | Oct 1, 2018 | M | 6,541 | — | A | 16,187 | D | |
| Common SharesF2 | holding | — | — | — | 12,900 | I | By Trust | |
| Common SharesF2 | holding | — | — | — | 5,000 | I | By Trust | |
| Common SharesF3 | holding | — | — | — | 31,945 | I | By Trust | |
| Common SharesF4 | holding | — | — | — | 14,938 | I | By GRAT |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred SharesF1,F5 | — | Oct 1, 2018 | M | 6,541 | D | Oct 1, 2018 | Oct 1, 2018 | Common Shares | 6,541 | 63,969 | D |
Explanation of responses
- F1Each Deferred Share is the economic equivalent of one Common Share.
- F2These shares are held in a trust for the benefit of the reporting person's children. The reporting person's spouse is trustee of the trust.
- F3These shares are held in a living trust. The reporting person is trustee of the trust.
- F4These shares are held in a grantor retained annuity trust for the benefit of the reporting person and the reporting person's children. The reporting person is the trustee of the trust.
- F5Includes approximately 1005 dividend-equivalent Deferred Shares accrued between June and September 2018.