SEC Form 4 · accession 0001225208-16-040924
TRUIST FINANCIAL CORP · TFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brantley J Standridge
Officer — Sr. Exec. Vice President
Period of report
Oct 28, 2016
Accepted (ET)
Nov 1, 2016 · 4:12 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 Stock | Oct 28, 2016 | M | 9,061 | $27.75 | A | 30,817 | D | |
| Common Stock | Oct 28, 2016 | M | 8,328 | $34.29 | A | 39,145 | D | |
| Common Stock | Oct 28, 2016 | M | 2,484 | $16.88 | A | 41,629 | D | |
| Common StockF1 | Oct 28, 2016 | S | 2,484 | $39.1261 | D | 39,145 | D | |
| Common StockF1 | Oct 28, 2016 | S | 8,328 | $39.1261 | D | 30,817 | D | |
| Common StockF1 | Oct 28, 2016 | S | 9,061 | $39.1261 | D | 21,756 | D | |
| Common StockF2 | holding | — | — | — | 6,517 | 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 | $27.75 | Oct 28, 2016 | M | 9,061 | D | Feb 23, 2011 | Feb 23, 2020 | Common Stock | 9,061 | 0 | D |
| Stock Option (right to buy)F4 | $16.88 | Oct 28, 2016 | M | 2,484 | D | Feb 24, 2010 | Feb 24, 2019 | Common Stock | 2,484 | 0 | D |
| Stock Option (right to buy)F5 | $34.29 | Oct 28, 2016 | M | 8,328 | D | Feb 26, 2009 | Feb 26, 2018 | Common Stock | 8,328 | 0 | D |
| Stock Option (right to buy)F6 | $44.15 | holding | — | — | — | Feb 20, 2008 | Feb 20, 2017 | Common Stock | 6,455 | 6,455 | D |
| Stock Option (right to buy)F7 | $30.09 | holding | — | — | — | Feb 21, 2013 | Feb 21, 2022 | Common Stock | 11,404 | 11,404 | D |
| Stock Option (right to buy)F8 | $27.73 | holding | — | — | — | Feb 22, 2012 | Feb 22, 2021 | Common Stock | 7,767 | 7,767 | D |
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually received ranged from $39.0700 to $39.1900. 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 57.743 shares acquired between July 1, 2016 and September 30, 2016, under the Issuer's 401(k) plan. The information in this report is based on a plan statements dated July 1, 2016 through September 30, 2016.
- F3The option is exercisable in four equal annual installments beginning on 02/23/2011.
- F4The option is exercisable in five equal annual installments beginning on 02/24/2010.
- F5The option is exercisable in five equal annual installments beginning on 2/26/2009.
- F6The option is exercisable in five equal annual installments beginning on 2/20/2008.
- F7The option is exercisable in four equal annual installments beginning on 02/21/2013.
- F8The option is exercisable in four equal annual installments beginning on 2/22/2012.