SEC Form 4 · accession 0001225208-17-001647
TRUIST FINANCIAL CORP · TFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
W Bennett Bradley
Officer — Sr. Executive Vice President
Period of report
Jan 23, 2017
Accepted (ET)
Jan 25, 2017 · 5:29 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 Stock | Jan 23, 2017 | M | 13,181 | $34.29 | A | 29,825 | D | |
| Common Stock | Jan 23, 2017 | M | 10,035 | $44.15 | A | 39,860 | D | |
| Common Stock | Jan 23, 2017 | M | 3,648 | $16.88 | A | 43,508 | D | |
| Common StockF1 | Jan 23, 2017 | S | 26,864 | $45.3867 | D | 16,644 | D | |
| Common Stock | Jan 24, 2017 | S | 2,132 | $45.54 | D | 14,512 | D | |
| Common Stock | Jan 24, 2017 | G | 300 | $0.00 | D | 14,212 | D | |
| Common StockF2 | holding | — | — | — | 5,578 | I | By 401(k) | |
| Common StockF3 | holding | — | — | — | 952 | I | By Spouse | |
| Common StockF4 | holding | — | — | — | 10,193 | 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)F5 | $44.15 | Jan 23, 2017 | M | 10,035 | D | Feb 20, 2008 | Feb 20, 2017 | Common Stock | 10,035 | 0 | D |
| Stock Option (right to buy)F6 | $16.88 | Jan 23, 2017 | M | 3,648 | D | Feb 24, 2010 | Feb 24, 2019 | Common Stock | 3,648 | 0 | D |
| Stock Option (right to buy)F7 | $34.29 | Jan 23, 2017 | M | 13,181 | D | Feb 26, 2009 | Feb 26, 2018 | Common Stock | 13,181 | 0 | D |
| Stock Option (right to buy)F8 | $27.73 | holding | — | — | — | Feb 22, 2012 | Feb 22, 2021 | Common Stock | 5,565 | 5,565 | D |
| Stock Option (right to buy)F9 | $27.75 | holding | — | — | — | Feb 23, 2011 | Feb 23, 2020 | Common Stock | 7,762 | 7,762 | D |
| Stock Option (right to buy)F10 | $30.09 | holding | — | — | — | Feb 21, 2013 | Feb 21, 2022 | Common Stock | 7,022 | 7,022 | D |
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually received ranged from $45.3600 to $45.4150. 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.
- F2Includes 76.707 shares acquired between July 1, 2016 and December 31, 2016, under the Issuer's 401(k) plan. The information in this report is based on plan statements dated July 1, 2016 through December 31, 2016.
- F3Includes 13.572 shares acquired in September 2016 and December 2016, under the Issuer's Dividend Reinvestment Plan.
- F4Includes 337.527 shares acquired between July 1, 2016 and December 31, 2016, under the Issuer's 401(k) plan. The information in this report is based on plan statements dated July 1, 2016 through December 31, 2016.
- F5The option is exercisable in five equal annual installments beginning on 2/20/2008.
- 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.
- F8The option is exercisable in four equal annual installments beginning on 2/22/2012.
- F9The option is exercisable in four equal annual installments beginning on 02/23/2011.