SEC Form 4 · accession 0001225208-15-020157
TRUIST FINANCIAL CORP · TFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cynthia B Powell
Officer — Corp. Controller, Exec VP
Period of report
Oct 29, 2015
Accepted (ET)
Nov 2, 2015 · 4:04 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 | Oct 29, 2015 | S | 6,000 | $37.92 | D | 10,789 | D | |
| Common StockF2 | holding | — | — | — | 2,829 | I | By 401(k) |
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 | 5,847 | 5,847 | D |
| Stock Option (right to buy)F4 | $39.73 | holding | — | — | — | Feb 21, 2007 | Feb 21, 2016 | Common Stock | 3,879 | 3,879 | D |
| Stock Option (right to buy)F5 | $30.09 | holding | — | — | — | Feb 21, 2013 | Feb 21, 2022 | Common Stock | 9,012 | 9,012 | D |
| Stock Option (right to buy)F6 | $27.73 | holding | — | — | — | Feb 22, 2012 | Feb 22, 2021 | Common Stock | 7,047 | 7,047 | D |
| Stock Option (right to buy)F7 | $34.29 | holding | — | — | — | Feb 26, 2009 | Feb 26, 2018 | Common Stock | 7,618 | 7,618 | D |
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually received ranged from $37.91 to $37.93. 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.
- F2Includes 90.676 shares acquired between April 1, 2015 and September 30, 2015, under the Issuer's 401(k) plan. The information in this report is based on a plan statement dated April 1, 2015 through September 30, 2015.
- 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 five equal annual installments beginning on 2/26/2009.