SEC Form 4 · accession 0001225208-17-006536
TRUIST FINANCIAL CORP · TFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Nichols Thompson
Director
Period of report
Mar 15, 2017
Accepted (ET)
Mar 17, 2017 · 4:36 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 | Mar 15, 2017 | M | 7,722 | $16.88 | A | 564,421 | D | |
| Common Stock | Mar 15, 2017 | M | 5,797 | $34.29 | A | 570,218 | D | |
| Common Stock | Mar 15, 2017 | M | 4,285 | $27.75 | A | 574,503 | D | |
| Common Stock | Mar 15, 2017 | M | 3,221 | $27.73 | A | 577,724 | D | |
| Common StockF1 | Mar 15, 2017 | S | 21,025 | $47.7388 | D | 556,699 | D | |
| Common Stock | holding | — | — | — | 3,814 | I | By Son |
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)F2 | $27.73 | Mar 15, 2017 | M | 3,221 | D | Feb 22, 2012 | Feb 22, 2021 | Common Stock | 3,221 | 0 | D |
| Stock Option (right to buy)F3 | $27.75 | Mar 15, 2017 | M | 4,285 | D | Feb 23, 2011 | Feb 23, 2020 | Common Stock | 4,285 | 0 | D |
| Stock Option (right to buy)F4 | $16.88 | Mar 15, 2017 | M | 7,722 | D | Feb 24, 2010 | Feb 24, 2019 | Common Stock | 7,722 | 0 | D |
| Stock Option (right to buy)F5 | $34.29 | Mar 15, 2017 | M | 5,797 | D | Feb 26, 2009 | Feb 26, 2018 | Common Stock | 5,797 | 0 | D |
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually received ranged from $47.5600 to $47.8239. 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.
- F2The option is exercisable in four equal annual installments beginning on 2/22/2012.
- 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.