SEC Form 4 · accession 0001294671-19-000013
KEYCORP /NEW/ · KEY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Amy G. Brady
Officer — Chief Information Officer
Period of report
Feb 17, 2019
Accepted (ET)
Feb 20, 2019 · 4:50 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 | Feb 17, 2019 | M | 20,056 | — | A | 108,533 | D | |
| Common Shares | Feb 17, 2019 | F | 6,341 | $17.51 | D | 102,192 | D | |
| Common SharesF3 | Feb 18, 2019 | A | 32,800 | — | A | 134,992 | D | |
| Common Shares | Feb 18, 2019 | F | 10,438 | $17.51 | D | 124,554 | 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 UnitsF1,F4,F5 | — | Feb 17, 2019 | M | 4,684 | D | — | — | Common Shares | 4,684 | 0 | D |
| Restricted Stock UnitsF7,F1,F6 | — | Feb 17, 2019 | M | 6,687 | D | — | — | Common Shares | 6,687 | 6,687 | D |
| Restricted Stock UnitsF9,F1,F8 | — | Feb 17, 2019 | M | 3,780 | D | — | — | Common Shares | 3,780 | 7,560 | D |
| Restricted Stock UnitsF11,F1,F10 | — | Feb 17, 2019 | M | 4,906 | D | — | — | Common Shares | 4,906 | 14,714 | D |
| Restricted Stock UnitsF1,F12 | — | Feb 18, 2019 | A | 31,982 | A | — | — | Common Shares | 31,982 | 31,982 | D |
| Option to BuyF13 | $17.51 | Feb 18, 2019 | A | 45,602 | A | — | Feb 18, 2029 | Common Shares | 45,602 | 45,602 | D |
Explanation of responses
- F1Each restricted stock unit represents the right to receive one KeyCorp common share at vesting.
- F10These restricted stock units, granted on February 19, 2018, vest in four equal annual installments beginning on February 17, 2019.
- F11Includes approximately 590 dividend-equivalent restricted stock units accrued between March and December 2018.
- F12These restricted stock units, granted on February 18, 2019, vest in four equal annual installments beginning on February 17, 2020.
- F13The options to buy, granted on February 18, 2019, vest in four equal annual installments beginning on February 17, 2020.
- F2Includes approximately 366 common shares acquired under the KeyCorp Amended and Restated Discount Stock Purchase Plan between June 2018 and February 2019.
- F3These shares were received for no consideration upon the satisfaction of certain performance criteria underlying the performance share units granted on February 15, 2016.
- F4The restricted stock units, granted on February 16, 2015, vested in four equal annual installments ending on February 17, 2019.
- F5Includes approximately 141 dividend-equivalent restricted stock units accrued between March and December 2018.
- F6The restricted stock units, granted on February 15, 2016, vest in four equal annual installments beginning on February 17, 2017.
- F7Includes approximately 402 dividend-equivalent restricted stock units accrued between March and December 2018.
- F8The restricted stock units, granted on February 20, 2017, vest in four equal annual installments beginning on February 17, 2018.
- F9Includes approximately 341 dividend-equivalent restricted stock units accrued between March and December 2018.