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KEYCORP /NEW/ — Director's Dealing 2017
Feb 3, 2017
30283_dirs_2017-02-03_9098b76d-9127-4dc7-8c50-b8ca96964f58.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: KEYCORP /NEW/ (KEY)
CIK: 0000091576
Period of Report: 2017-02-01
Reporting Person: Crosby Gary M (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-02-01 | Common Shares | M | 21149 | $12.83 | Acquired | 769911 | Direct |
| 2017-02-01 | Common Shares | F | 17575 | $18.15 | Disposed | 752336 | Direct |
| 2017-02-01 | Common Shares | M | 31157 | $16.41 | Acquired | 783493 | Direct |
| 2017-02-01 | Common Shares | F | 29328 | $18.12 | Disposed | 754165 | Direct |
| 2017-02-01 | Common Shares | M | 40421 | $15.68 | Acquired | 794586 | Direct |
| 2017-02-01 | Common Shares | F | 36949 | $18.14 | Disposed | 757637 | Direct |
| 2017-02-01 | Common Shares | M | 72784 | $11.19 | Acquired | 830421 | Direct |
| 2017-02-01 | Common Shares | F | 55192 | $18.15 | Disposed | 775229 | Direct |
| 2017-02-01 | Common Shares | M | 101382 | $10.07 | Acquired | 876611 | Direct |
| 2017-02-01 | Common Shares | F | 77702 | $18.14 | Disposed | 798909 | Direct |
| 2017-02-01 | Common Shares | M | 214844 | $10.54 | Acquired | 1013753 | Direct |
| 2017-02-01 | Common Shares | F | 171203 | $18.16 | Disposed | 842550 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-02-01 | Option to Buy | $12.83 | M | 21149 | Disposed | 2019-07-13 | Common Shares (21149) | Direct |
| 2017-02-01 | Option to Buy | $16.41 | M | 31157 | Disposed | 2020-01-25 | Common Shares (31157) | Direct |
| 2017-02-01 | Option to Buy | $15.68 | M | 40421 | Disposed | 2021-01-24 | Common Shares (40421) | Direct |
| 2017-02-01 | Option to Buy | $11.19 | M | 72784 | Disposed | 2021-08-05 | Common Shares (72784) | Direct |
| 2017-02-01 | Option to Buy | $10.07 | M | 101382 | Disposed | 2017-08-05 | Common Shares (101382) | Direct |
| 2017-02-01 | Option to Buy | $10.54 | M | 214844 | Disposed | 2017-08-05 | Common Shares (214844) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Shares | 641 | Indirect |
Footnotes
F1: This option vested in three equal annual installments ending on July 13, 2012.
F2: This option was assumed by KeyCorp in the merger with First Niagara Financial Group, Inc. ("FNFG") and converted into a stock option exercisable for a number of whole shares (rounded down to the nearest whole share) equal to (i) the number of shares of FNFG common stock subject to such option multipled by (ii) 0.88.
F3: This option vested in three equal annual installments ending on January 25, 2013.
F4: This option vested in three equal annual installments ending on January 24, 2014.
F5: This option vested in three equal annual installments ending on March 30, 2015.
F6: The expiration date of this option was accelerated in connection with the merger of KeyCorp and FNFG pursuant to the terms of the plan under which the option was granted.
F7: This option vested in three equal annual installments ending on March 28, 2016.
F8: This option fully vested on August 5, 2016 in connection with the merger of KeyCorp and FNFG.