SEC Form 4 · accession 0001225208-15-001004
TRUIST FINANCIAL CORP · TFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kelly S King
Officer — Chairman and CEO · Director
Period of report
Dec 29, 2014
Accepted (ET)
Jan 7, 2015 · 4:47 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000092230
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 29, 2014 | G | 4,884 | $0.00 | A | 449,337 | D | |
| Common StockF2 | Dec 29, 2014 | G | 4,884 | $0.00 | D | 56,132 | I | By Spouse |
| Common StockF3 | holding | — | — | — | 4,936 | I | By 401(k) | |
| Common StockF4 | holding | — | — | — | 91,987 | I | By IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F5 | $44.15 | holding | — | — | — | Feb 20, 2008 | Feb 20, 2017 | Common Stock | 126,294 | 126,294 | D |
| Stock Option (right to buy)F6 | $39.73 | holding | — | — | — | Feb 21, 2007 | Feb 21, 2016 | Common Stock | 116,290 | 116,290 | D |
| Stock Option (right to buy)F7 | $30.09 | holding | — | — | — | Feb 21, 2013 | Feb 21, 2022 | Common Stock | 180,789 | 180,789 | D |
| Stock Option (right to buy)F8 | $38.64 | holding | — | — | — | Feb 22, 2006 | Feb 22, 2015 | Common Stock | 125,000 | 125,000 | D |
| Stock Option (right to buy)F9 | $27.73 | holding | — | — | — | Feb 22, 2012 | Feb 22, 2021 | Common Stock | 126,372 | 126,372 | D |
| Stock Option (right to buy)F10 | $27.75 | holding | — | — | — | Feb 23, 2011 | Feb 23, 2020 | Common Stock | 164,062 | 164,062 | D |
| Stock Option (right to buy)F11 | $16.88 | holding | — | — | — | Feb 24, 2010 | Feb 24, 2019 | Common Stock | 46,216 | 46,216 | D |
| Stock Option (right to buy)F12 | $34.29 | holding | — | — | — | Feb 26, 2009 | Feb 26, 2018 | Common Stock | 162,415 | 162,415 | D |
| Stock Option (right to buy)F13 | $30.08 | holding | — | — | — | Feb 26, 2014 | Feb 26, 2023 | Common Stock | 101,806 | 101,806 | D |
Explanation of responses
- F1Includes 1,531.405 shares acquired between September 2014 and December 2014, under the Issuer's Dividend Reinvestment Plan.
- F10The option is exercisable in four equal annual installments beginning on 02/23/2011.
- F11The option is exercisable in five equal annual installments beginning on 02/24/2010.
- F12The option is exercisable in five equal annual installments beginning on 2/26/2009.
- F13The option is exercisable in three equal annual installments beginning on 02/26/2014.
- F2Includes 779.415 shares acquired between September 2014 and December 2014, under the Issuer's Dividend Reinvestment Plan.
- F3Includes 31.136 shares acquired between July 1, 2014 and December 31, 2014, under the Issuer's 401(k) Plan. The information in this report is based on plan statements dated July 1, 2014 through December 31, 2014.
- F4Includes 1,173.425 shares acquired between September 2014 and December 2014, under Dividend Reinvestment Plans.
- F5The option is exercisable in five equal annual installments beginning on 2/20/2008.
- F6The option is exercisable in five equal annual installments beginning on 2/21/2007.
- F7The option is exercisable in four equal annual installments beginning on 02/21/2013.
- F8The option is exercisable in five equal annual installments beginning on 02/22/2006.
- F9The option is exercisable in four equal annual installments beginning on 2/22/2012.