SEC Form 4 · accession 0001225208-16-040880
TRUIST FINANCIAL CORP · TFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nido R Qubein
Director
Period of report
Oct 27, 2016
Accepted (ET)
Oct 31, 2016 · 5:15 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 | Oct 27, 2016 | S | 20,000 | $39.3699 | D | 70,840 | D | |
| Common Stock | Oct 27, 2016 | G | 10,437 | $0.00 | D | 60,403 | D | |
| Series E Nonconvertible Perpetual Preferred Stock | holding | — | — | — | 4,500 | D | ||
| Common Stock | holding | — | — | — | 8,641 | I | By Spouse | |
| Common StockF2 | holding | — | — | — | 3,050 | I | By Spouse for Custodian for Children |
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 | 4,672 | 4,672 | D |
| Stock Option (right to buy)F4 | $27.73 | holding | — | — | — | Feb 22, 2012 | Feb 22, 2021 | Common Stock | 3,221 | 3,221 | D |
| Stock Option (right to buy)F5 | $27.75 | holding | — | — | — | Feb 23, 2011 | Feb 23, 2020 | Common Stock | 4,285 | 4,285 | D |
| Stock Option (right to buy)F6 | $16.88 | holding | — | — | — | Feb 24, 2010 | Feb 24, 2019 | Common Stock | 7,722 | 7,722 | D |
| Stock Option (right to buy)F7 | $34.29 | holding | — | — | — | Feb 26, 2009 | Feb 26, 2018 | Common Stock | 5,797 | 5,797 | D |
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually received ranged from $39.3200 to $39.4100. 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 71.052 shares acquired between March 2016 and September 2016, under the Issuer's Dividend Reinvestment Plan.
- F3The option is exercisable in five equal annual installments beginning on 2/20/2008.
- F4The option is exercisable in four equal annual installments beginning on 2/22/2012.
- F5The option is exercisable in four equal annual installments beginning on 02/23/2011.
- F6The option is exercisable in five equal annual installments beginning on 02/24/2010.
- F7The option is exercisable in five equal annual installments beginning on 2/26/2009.