SEC Form 4 · accession 0001225208-15-020672
TRUIST FINANCIAL CORP · TFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donna C Goodrich
Officer — Sr. Executive Vice President
Period of report
Nov 6, 2015
Accepted (ET)
Nov 10, 2015 · 4:58 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 | Nov 6, 2015 | S | 3,715 | $39.1001 | D | 0 | I | By IRA |
| Common StockF2 | Nov 6, 2015 | S | 3,596 | $39.0906 | D | 0 | I | By Spouse's IRA |
| Common StockF3 | holding | — | — | — | 59,819 | D | ||
| Common StockF4 | holding | — | — | — | 8,175 | I | By 401(k) | |
| Common StockF5 | holding | — | — | — | 9,834 | I | By Spouse | |
| Common StockF6 | holding | — | — | — | 8,381 | I | By Spouse's 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)F7 | $44.15 | holding | — | — | — | Feb 20, 2008 | Feb 20, 2017 | Common Stock | 36,635 | 36,635 | D |
| Stock Option (right to buy)F8 | $39.73 | holding | — | — | — | Feb 21, 2007 | Feb 21, 2016 | Common Stock | 8,429 | 8,429 | D |
| Stock Option (right to buy)F9 | $30.09 | holding | — | — | — | Feb 21, 2013 | Feb 21, 2022 | Common Stock | 36,455 | 36,455 | D |
| Stock Option (right to buy)F10 | $27.73 | holding | — | — | — | Feb 22, 2012 | Feb 22, 2021 | Common Stock | 28,505 | 28,505 | D |
| Stock Option (right to buy)F11 | $27.75 | holding | — | — | — | Feb 23, 2011 | Feb 23, 2020 | Common Stock | 36,875 | 36,875 | D |
| Stock Option (right to buy)F12 | $37.55 | holding | — | — | — | Feb 25, 2015 | Feb 25, 2024 | Common Stock | 5,131 | 5,131 | D |
| Stock Option (right to buy)F13 | $34.29 | holding | — | — | — | Feb 26, 2009 | Feb 26, 2018 | Common Stock | 46,642 | 46,642 | D |
| Stock Option (right to buy)F14 | $30.08 | holding | — | — | — | Feb 26, 2014 | Feb 26, 2023 | Common Stock | 21,587 | 21,587 | D |
| Stock Option (right to buy)F7 | $44.15 | holding | — | — | — | Feb 20, 2008 | Feb 20, 2017 | Common Stock | 3,490 | 3,490 | I |
| Stock Option (right to buy)F8 | $39.73 | holding | — | — | — | Feb 21, 2007 | Feb 21, 2016 | Common Stock | 3,652 | 3,652 | I |
| Stock Option (right to buy)F9 | $30.09 | holding | — | — | — | Feb 21, 2013 | Feb 21, 2022 | Common Stock | 3,825 | 3,825 | I |
| Stock Option (right to buy)F10 | $27.73 | holding | — | — | — | Feb 22, 2012 | Feb 22, 2021 | Common Stock | 3,044 | 3,044 | I |
| Stock Option (right to buy)F11 | $27.75 | holding | — | — | — | Feb 23, 2011 | Feb 23, 2020 | Common Stock | 3,946 | 3,946 | I |
| Stock Option (right to buy)F13 | $34.29 | holding | — | — | — | Feb 26, 2009 | Feb 26, 2018 | Common Stock | 4,978 | 4,978 | I |
Explanation of responses
- F1The total does not include a fractional share of 0.7210 that was disposed of for cash when the reporting person transferred shares from one account to another.
- F10The option is exercisable in four equal annual installments beginning on 2/22/2012.
- F11The option is exercisable in four equal annual installments beginning on 02/23/2011.
- F12On 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.
- F13The option is exercisable in five equal annual installments beginning on 2/26/2009.
- F14The option is exercisable in three equal annual installments beginning on 02/26/2014.
- F2The total does not include a fractional share of 0.1540 that was disposed of for cash when the reporting person's spouse transferred shares from one account to another.
- F3Includes 334.637 shares acquired in September 2015, under the Issuer's Dividend Reinvestment Plan.
- F4Includes 116.330 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.
- F5Includes 35.502 shares acquired in September 2015, under the Issuer's Dividend Reinvestment Plan.
- F6Includes 119.257 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.
- F7The option is exercisable in five equal annual installments beginning on 2/20/2008.
- F8The option is exercisable in five equal annual installments beginning on 2/21/2007.
- F9The option is exercisable in four equal annual installments beginning on 02/21/2013.