SEC Form 4 · accession 0001225208-15-006065
TRUIST FINANCIAL CORP · TFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Donna C Goodrich
Officer — Sr. Executive Vice President
Period of report
Feb 24, 2015
Accepted (ET)
Feb 26, 2015 · 7:30 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 | Feb 24, 2015 | A | 4,274 | $0.00 | A | 94,422 | D | |
| Common StockF2 | Feb 24, 2015 | A | 1,049 | $0.00 | A | 95,471 | D | |
| Common Stock | Feb 25, 2015 | F | 1,415 | $38.22 | D | 94,056 | D | |
| Common Stock | Feb 26, 2015 | F | 348 | $38.34 | D | 93,708 | D | |
| Common Stock | Feb 26, 2015 | F | 1,389 | $38.34 | D | 92,319 | D | |
| Common Stock | holding | — | — | — | 8,010 | I | By 401(k) | |
| Common Stock | holding | — | — | — | 3,667 | I | By IRA | |
| Common Stock | holding | — | — | — | 9,742 | I | By Spouse | |
| Common Stock | holding | — | — | — | 8,212 | I | By Spouse's 401(k) | |
| Common Stock | holding | — | — | — | 3,549 | I | By Spouse's 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)F3 | $44.15 | holding | — | — | — | Feb 20, 2008 | Feb 20, 2017 | Common Stock | 36,635 | 36,635 | D |
| Stock Option (right to buy)F4 | $39.73 | holding | — | — | — | Feb 21, 2007 | Feb 21, 2016 | Common Stock | 8,429 | 8,429 | D |
| Stock Option (right to buy)F5 | $30.09 | holding | — | — | — | Feb 21, 2013 | Feb 21, 2022 | Common Stock | 36,455 | 36,455 | D |
| Stock Option (right to buy)F6 | $27.73 | holding | — | — | — | Feb 22, 2012 | Feb 22, 2021 | Common Stock | 28,505 | 28,505 | D |
| Stock Option (right to buy)F7 | $27.75 | holding | — | — | — | Feb 23, 2011 | Feb 23, 2020 | Common Stock | 36,875 | 36,875 | D |
| Stock Option (right to buy)F8 | $37.55 | holding | — | — | — | Feb 25, 2015 | Feb 25, 2014 | Common Stock | 5,131 | 5,131 | D |
| Stock Option (right to buy)F9 | $34.29 | holding | — | — | — | Feb 26, 2009 | Feb 26, 2018 | Common Stock | 46,642 | 46,642 | D |
| Stock Option (right to buy)F10 | $30.08 | holding | — | — | — | Feb 26, 2014 | Feb 26, 2023 | Common Stock | 21,587 | 21,587 | D |
| Stock Option (right to buy)F3 | $44.15 | holding | — | — | — | Feb 20, 2008 | Feb 20, 2017 | Common Stock | 3,490 | 3,490 | I |
| Stock Option (right to buy)F4 | $39.73 | holding | — | — | — | Feb 21, 2007 | Feb 21, 2016 | Common Stock | 3,652 | 3,652 | I |
| Stock Option (right to buy)F5 | $30.09 | holding | — | — | — | Feb 21, 2013 | Feb 21, 2022 | Common Stock | 3,825 | 3,825 | I |
| Stock Option (right to buy)F6 | $27.73 | holding | — | — | — | Feb 22, 2012 | Feb 22, 2021 | Common Stock | 3,044 | 3,044 | I |
| Stock Option (right to buy)F7 | $27.75 | holding | — | — | — | Feb 23, 2011 | Feb 23, 2020 | Common Stock | 3,946 | 3,946 | I |
| Stock Option (right to buy)F9 | $34.29 | holding | — | — | — | Feb 26, 2009 | Feb 26, 2018 | Common Stock | 4,978 | 4,978 | I |
Explanation of responses
- F1On February 25, 2014, the reporting person was granted 12,825 restricted stock units, which shall vest and become earned ratably over three years based on certain performance criteria for each vesting year February 25, 2015, 2016, and 2017. The performance criteria for 2015 were met, resulting in vesting of 4,274 restricted stock units.
- F10The option is exercisable in three equal annual installments beginning on 02/26/2014.
- F2Performance Based Restricted Stock Units granted February 26, 2013 on which the performance measurement has been met.
- F3The option is exercisable in five equal annual installments beginning on 2/20/2008.
- F4The option is exercisable in five equal annual installments beginning on 2/21/2007.
- F5The option is exercisable in four equal annual installments beginning on 02/21/2013.
- F6The option is exercisable in four equal annual installments beginning on 2/22/2012.
- F7The option is exercisable in four equal annual installments beginning on 02/23/2011.
- F8On February 25, 2014, the reporting person was granted an option to purchase 15,396 shares of common stock. The option vests ratably over three years based on certain performance criteria for each vesting year ending February 25, 2015, 2016, and 2017. The performance criteria for 2015 were met, resulting in vesting of the option as to 5,131 shares.
- F9The option is exercisable in five equal annual installments beginning on 2/26/2009.