SEC Form 4 · accession 0001294671-19-000023
KEYCORP /NEW/ · KEY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Beth E Mooney
Officer — Chairman and CEO · Director
Period of report
Feb 17, 2019
Accepted (ET)
Feb 20, 2019 · 7:39 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 | Feb 17, 2019 | M | 127,029 | — | A | 1,163,752 | D | |
| Common Shares | Feb 17, 2019 | F | 58,563 | $17.51 | D | 1,105,189 | D | |
| Common SharesF2 | Feb 18, 2019 | A | 222,038 | — | A | 1,327,227 | D | |
| Common Shares | Feb 18, 2019 | F | 102,352 | $17.51 | D | 1,224,875 | D | |
| Common SharesF3 | holding | — | — | — | 5,754 | I | 401(k) Plan |
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 | 31,226 | D | — | — | Common Shares | 31,226 | 0 | D |
| Restricted Stock UnitsF7,F1,F6 | — | Feb 17, 2019 | M | 45,267 | D | — | — | Common Shares | 45,267 | 45,267 | D |
| Restricted Stock UnitsF9,F1,F8 | — | Feb 17, 2019 | M | 24,417 | D | — | — | Common Shares | 24,417 | 48,833 | D |
| Restricted Stock UnitsF11,F1,F10 | — | Feb 17, 2019 | M | 26,119 | D | — | — | Common Shares | 26,119 | 78,356 | D |
| Restricted Stock UnitsF1,F12 | — | Feb 18, 2019 | A | 145,745 | A | — | — | Common Shares | 145,745 | 145,745 | D |
| Option to BuyF13 | $17.51 | Feb 18, 2019 | A | 207,817 | A | — | Feb 18, 2029 | Common Shares | 207,817 | 207,817 | D |
Explanation of responses
- F1Each restricted stock unit represents the right to receive one KeyCorp common share at vesting.
- F10The restricted stock units, granted on February 19, 2018, vest in four equal annual installments beginning on February 17, 2019.
- F11Includes approximately 3,142 dividend-equivalent restricted stock units accrued between March and December 2018.
- F12The 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.
- F2These shares were received for no consideration upon the satisfaction of certain performance criteria underlying the performance share units granted on February 15, 2016.
- F3Reported as of February 8, 2019.
- F4The restricted stock units, granted on February 16, 2015, vested in four equal annual installments ending on February 17, 2019.
- F5Includes approximately 939 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 2,723 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 2,203 dividend-equivalent restricted stock units accrued between March and December 2018.