SEC Form 4 · accession 0001225208-18-016285
TRUIST FINANCIAL CORP · TFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher L Henson
Officer — President and COO
Period of report
Apr 26, 2018
Accepted (ET)
Dec 6, 2018 · 4:22 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 | Apr 26, 2018 | G | 188 | $0.00 | D | 143,925 | D | |
| Common StockF1 | holding | — | — | — | 42,588 | I | By 401(k) | |
| Common StockF2 | holding | — | — | — | 652 | I | By Custodian for Child - Kristen | |
| Common StockF2 | holding | — | — | — | 652 | I | By Custodian for Child - Sydney | |
| Common Stock | holding | — | — | — | 8,594 | I | By IRA |
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 | $32.10 | holding | — | — | — | Mar 15, 2017 | Feb 23, 2026 | Common Stock | 21,103 | 21,103 | D |
| Stock Option (right to buy)F4 | $37.55 | holding | — | — | — | Feb 25, 2015 | Feb 25, 2024 | Common Stock | 29,763 | 29,763 | D |
| Stock Option (right to buy)F5 | $38.22 | holding | — | — | — | Mar 15, 2016 | Feb 24, 2025 | Common Stock | 49,375 | 49,375 | D |
Explanation of responses
- F1Includes 1,629.909 shares acquired between January 1, 2018 and September 30, 2018, under the Issuer's 401(k) plan. The information in this report is based on plan statements dated January 1, 2018 through September 30, 2018.
- F2Includes 15.144 shares acquired between March 2018 and December 2018, under the Issuer's Dividend Reinvestment Plan.
- F3On February 23, 2016, the reporting person was granted an option to purchase 63,307 shares of common stock. The option vests ratably over three years based on certain performance criteria for each vesting year ending March 15, 2017, 2018, and 2019. The performance criteria for 2018 were met, resulting in 21,103 options being earned.
- F4On February 25, 2014, the reporting person was granted an option to purchase 29,763 shares of common stock. The option vests ratably over three years based on certain performance criteria for each vesting year ending February 25, 2015, 2016, and 2017. The performance criteria for 2017 were met, resulting in 9,922 options being earned.
- F5On February 24, 2015, the reporting person was granted an option to purchase 49,375 shares of common stock. The option vests ratably over three years based on certain performance criteria for each vesting year ending March 15, 2016, 2017, and 2018. The performance criteria for 2018 were met, resulting in 16,458 options being earned.