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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (1) | 02/17/2018 | M | 33,683 | (5) | (5) | Common Shares | 33,683 (6) | $ 0 | 0 | D | ||||
Restricted Stock Units | (1) | 02/17/2018 | M | 30,287 | (7) | (7) | Common Shares | 30,287 | $ 0 | 30,287 (8) | D | ||||
Restricted Stock Units | (1) | 02/17/2018 | M | 43,907 | (9) | (9) | Common Shares | 43,907 | $ 0 | 87,811 (10) | D | ||||
Restricted Stock Units | (1) | 02/17/2018 | M | 23,683 | (11) | (11) | Common Shares | 23,683 | $ 0 | 71,047 (12) | D | ||||
Restricted Stock Units | (1) | 02/19/2018 | A | 101,332 | (13) | (13) | Common Shares | 101,332 | $ 0 | 101,332 | D | ||||
Option to Buy | $ 21.02 | 02/19/2018 | A | 104,003 | (14) | 02/19/2028 | Common Shares | 104,003 | $ 0 | 104,003 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MOONEY BETH E KEYCORP 127 PUBLIC SQUARE CLEVELAND, OH 44114 |
X | Chairman and CEO |
Carrie A. Benedict POA for Beth E. Mooney | 02/21/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Each restricted stock unit represents the right to receive one KeyCorp common share at vesting. |
(2) | Includes approximately 973 common shares acquired through dividend reinvestments since September 2017. |
(3) | These shares were received for no consideration upon the satisfaction of certain performance criteria underlying the performance share units granted on February 16, 2015. |
(4) | Reported as of January 26, 2018. |
(5) | The restricted stock units, granted on February 17, 2014, vested in four equal annual installments ending on February 17, 2018. |
(6) | Includes approximately 675 dividend-equivalent restricted stock units accrued between March and December 2017. |
(7) | The restricted stock units, granted on February 16, 2015, vest in four equal annual installments beginning on February 17, 2016. |
(8) | Includes approximately 1,217 dividend-equivalent restricted stock units accrued between March and December 2017. |
(9) | The restricted stock units, granted on February 15, 2016, vest in four equal annual installments beginning on February 17, 2017. |
(10) | Includes approximately 2,645 dividend-equivalent restricted stock units accrued between March and December 2017. |
(11) | The restricted stock units, granted on February 20, 2017, vest in four equal annual installments beginning on February 17, 2018. |
(12) | Includes approximately 1,903 dividend-equivalent restricted stock units accrued between March and December 2017. |
(13) | The restricted stock units, granted on February 19, 2018, vest in four equal annual installments beginning on February 17, 2019. |
(14) | The options to buy, granted on February 19, 2018, vest in four equal annual installments beginning on February 17, 2019. |