SEC Form 4 · accession 0001225208-15-011659
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
May 5, 2015
Accepted (ET)
May 7, 2015 · 4:50 pm EDT
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,F2 | May 5, 2015 | S | 7,000 | $38.984 | D | 85,476 | D | |
| Common Stock | May 7, 2015 | S | 8,000 | $38.57 | D | 77,476 | D | |
| Common StockF3 | holding | — | — | — | 8,059 | I | By 401(k) | |
| Common StockF4 | holding | — | — | — | 3,690 | I | By IRA | |
| Common StockF5 | holding | — | — | — | 9,766 | I | By Spouse | |
| Common StockF6 | holding | — | — | — | 8,262 | I | By Spouse's 401(k) | |
| Common StockF7 | holding | — | — | — | 3,572 | 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)F8 | $44.15 | holding | — | — | — | Feb 20, 2008 | Feb 20, 2017 | Common Stock | 36,635 | 36,635 | D |
| Stock Option (right to buy)F9 | $39.73 | holding | — | — | — | Feb 21, 2007 | Feb 21, 2016 | Common Stock | 8,429 | 8,429 | D |
| Stock Option (right to buy)F10 | $30.09 | holding | — | — | — | Feb 21, 2013 | Feb 21, 2022 | Common Stock | 36,455 | 36,455 | D |
| Stock Option (right to buy)F11 | $27.73 | holding | — | — | — | Feb 22, 2012 | Feb 22, 2021 | Common Stock | 28,505 | 28,505 | D |
| Stock Option (right to buy)F12 | $27.75 | holding | — | — | — | Feb 23, 2011 | Feb 23, 2020 | Common Stock | 36,875 | 36,875 | D |
| Stock Option (right to buy)F13 | $37.55 | holding | — | — | — | Feb 25, 2015 | Feb 25, 2014 | Common Stock | 5,131 | 5,131 | D |
| Stock Option (right to buy)F14 | $34.29 | holding | — | — | — | Feb 26, 2009 | Feb 26, 2018 | Common Stock | 46,642 | 46,642 | D |
| Stock Option (right to buy)F15 | $30.08 | holding | — | — | — | Feb 26, 2014 | Feb 26, 2023 | Common Stock | 21,587 | 21,587 | D |
| Stock Option (right to buy)F8 | $44.15 | holding | — | — | — | Feb 20, 2008 | Feb 20, 2017 | Common Stock | 3,490 | 3,490 | I |
| Stock Option (right to buy)F9 | $39.73 | holding | — | — | — | Feb 21, 2007 | Feb 21, 2016 | Common Stock | 3,652 | 3,652 | I |
| Stock Option (right to buy)F10 | $30.09 | holding | — | — | — | Feb 21, 2013 | Feb 21, 2022 | Common Stock | 3,825 | 3,825 | I |
| Stock Option (right to buy)F11 | $27.73 | holding | — | — | — | Feb 22, 2012 | Feb 22, 2021 | Common Stock | 3,044 | 3,044 | I |
| Stock Option (right to buy)F12 | $27.75 | holding | — | — | — | Feb 23, 2011 | Feb 23, 2020 | Common Stock | 3,946 | 3,946 | I |
| Stock Option (right to buy)F14 | $34.29 | holding | — | — | — | Feb 26, 2009 | Feb 26, 2018 | Common Stock | 4,978 | 4,978 | I |
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually received ranged from $38.980 to $38.990. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- F10The option is exercisable in four equal annual installments beginning on 02/21/2013.
- F11The option is exercisable in four equal annual installments beginning on 2/22/2012.
- F12The option is exercisable in four equal annual installments beginning on 02/23/2011.
- F13On 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.
- F14The option is exercisable in five equal annual installments beginning on 2/26/2009.
- F15The option is exercisable in three equal annual installments beginning on 02/26/2014.
- F2Includes 156.948 shares acquired in March 2015, under the Issuer's Dividend Reinvestment Plan.
- F3Includes 98.169 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 46.783 shares acquired between September 2014 and December 2014, under Dividend Reinvestment Plans.
- F5Includes 49.614 shares acquired between September 2014 and December 2014, under the Issuer's Dividend Reinvestment Plan.
- F6Includes 100.640 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
- F7Includes 22.427 shares acquired between September 2014 and December 2014, under Dividend Reinvestment Plans.
- F8The option is exercisable in five equal annual installments beginning on 2/20/2008.
- F9The option is exercisable in five equal annual installments beginning on 2/21/2007.