SEC Form 4 · accession 0001225208-17-001648
TRUIST FINANCIAL CORP · TFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jimmy D Godwin
Officer — Sr. Exec. 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 StockF1 | Jan 23, 2017 | M | 4,341 | $44.15 | A | 12,545 | D | |
| Common Stock | Jan 23, 2017 | M | 2,294 | $30.09 | A | 14,839 | D | |
| Common Stock | Jan 23, 2017 | M | 887 | $27.73 | A | 15,726 | D | |
| Common StockF2 | Jan 23, 2017 | S | 7,522 | $45.4655 | D | 8,204 | D | |
| Common StockF3 | holding | — | — | — | 148 | 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)F4 | $44.15 | Jan 23, 2017 | M | 4,341 | D | Feb 20, 2008 | Feb 20, 2017 | Common Stock | 4,341 | 0 | D |
| Stock Option (right to buy)F5 | $30.09 | Jan 23, 2017 | M | 2,294 | D | Feb 21, 2013 | Feb 21, 2022 | Common Stock | 2,294 | 0 | D |
| Stock Option (right to buy)F6 | $27.73 | Jan 23, 2017 | M | 887 | D | Feb 22, 2012 | Feb 22, 2021 | Common Stock | 887 | 0 | D |
Explanation of responses
- F1The total does not include a fractional share of 0.822 that was disposed of for cash when the reporting person transferred shares from one account to another.
- F2The price in Column 4 is a weighted average price. The prices actually received ranged from $45.4200 to $45.4950. 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.
- F3Includes 2.041 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.
- F4The option is exercisable in five equal annual installments beginning on 2/20/2008.
- 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.