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KEYCORP /NEW/ — Director's Dealing 2017
Oct 26, 2017
30283_dirs_2017-10-26_043b9395-628b-4041-965c-3a2906f8f8a6.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: 2017-10-26
Reporting Person: Paine Andrew J III (Co-Head Corporate Bank)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-10-24 | Common Shares | M | 25000 | $11.16 | Acquired | 110052 | Direct |
| 2017-10-24 | Common Shares | F | 19817 | $18.55 | Disposed | 90235 | Direct |
| 2017-10-24 | Common Shares | M | 20000 | $6.12 | Acquired | 110235 | Direct |
| 2017-10-24 | Common Shares | F | 13025 | $18.55 | Disposed | 97210 | Direct |
| 2017-10-24 | Common Shares | M | 34696 | $9.26 | Acquired | 131906 | Direct |
| 2017-10-24 | Common Shares | S | 46854 | $18.56 | Disposed | 85052 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-10-24 | Option to Buy | $11.16 | M | 25000 | Disposed | 2018-07-25 | Common Shares (25000) | Direct |
| 2017-10-24 | Option to Buy | $6.12 | M | 20000 | Disposed | 2019-06-12 | Common Shares (20000) | Direct |
| 2017-10-24 | Option to Buy | $9.26 | M | 34696 | Disposed | 2021-03-04 | Common Shares (34696) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Shares | 29230 | Indirect |
| Common Shares | 17918 | Indirect |
| Common Shares | 445 | Indirect |
Footnotes
F1: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.52 to $18.59.
F2: The reporting person may provide to KeyCorp, any security holder of KeyCorp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
F3: Reported as of July 27, 2017.
F4: This option vested in three equal annual installments ending on July 25, 2011.
F5: This option, which was issued on June 12, 2009 in connection with KeyCorp's participation in the U.S. Treasury's Troubled Assets Relief Program ("TARP"), was fully vested on the date of grant, but not exercisable until KeyCorp's repayment of its TARP obligations (which occurred on the date shown).
F6: This option vested in four equal annual installments ending on March 4, 2015.