AI assistant
KEYCORP /NEW/ — Director's Dealing 2017
Aug 8, 2017
30283_dirs_2017-08-08_a5ad379f-ef14-47f8-8950-0b2cf0ff684a.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: KEYCORP /NEW/ (KEY)
CIK: 0000091576
Period of Report: 2017-08-04
Reporting Person: Harris Paul N (General Counsel & Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-08-04 | Common Shares | I | 21151 | $18.40 | Disposed | 0 | Indirect |
| 2017-08-04 | Common Shares | M | 46038 | $11.16 | Acquired | 191896 | Direct |
| 2017-08-04 | Common Shares | M | 48531 | $5.55 | Acquired | 240427 | Direct |
| 2017-08-04 | Common Shares | M | 38262 | $8.42 | Acquired | 278689 | Direct |
| 2017-08-04 | Common Shares | M | 15056 | $9.26 | Acquired | 293745 | Direct |
| 2017-08-04 | Common Shares | M | 40236 | $7.98 | Acquired | 333981 | Direct |
| 2017-08-04 | Common Shares | M | 16901 | $9.33 | Acquired | 350882 | Direct |
| 2017-08-04 | Common Shares | S | 205024 | $18.56 | Disposed | 145858 | Direct |
| 2017-08-07 | Common Shares | M | 8962 | $11.16 | Acquired | 154820 | Direct |
| 2017-08-07 | Common Shares | F | 5447 | $18.36 | Disposed | 149373 | Direct |
| 2017-08-07 | Common Shares | M | 18019 | $5.55 | Acquired | 167392 | Direct |
| 2017-08-07 | Common Shares | F | 5438 | $18.39 | Disposed | 161954 | Direct |
| 2017-08-07 | Common Shares | M | 11876 | $8.42 | Acquired | 173830 | Direct |
| 2017-08-07 | Common Shares | F | 5443 | $18.37 | Disposed | 168387 | Direct |
| 2017-08-07 | Common Shares | M | 27350 | $9.26 | Acquired | 195737 | Direct |
| 2017-08-07 | Common Shares | F | 13786 | $18.37 | Disposed | 181951 | Direct |
| 2017-08-07 | Common Shares | M | 12989 | $7.98 | Acquired | 194940 | Direct |
| 2017-08-07 | Common Shares | F | 5656 | $18.33 | Disposed | 189284 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-08-04 | Option to Buy | $11.16 | M | 46038 | Disposed | 2018-07-25 | Common Shares (46038) | Direct |
| 2017-08-04 | Option to Buy | $5.55 | M | 48531 | Disposed | 2019-07-27 | Common Shares (48531) | Direct |
| 2017-08-04 | Option to Buy | $8.42 | M | 38262 | Disposed | 2020-07-27 | Common Shares (38262) | Direct |
| 2017-08-04 | Option to Buy | $9.26 | M | 15056 | Disposed | 2021-03-04 | Common Shares (15056) | Direct |
| 2017-08-04 | Option to Buy | $7.98 | M | 40236 | Disposed | 2022-03-02 | Common Shares (40236) | Direct |
| 2017-08-04 | Option to Buy | $9.33 | M | 16901 | Disposed | 2023-03-01 | Common Shares (16901) | Direct |
| 2017-08-07 | Option to Buy | $11.16 | M | 8962 | Disposed | 2018-07-25 | Common Shares (8962) | Direct |
| 2017-08-07 | Option to Buy | $5.55 | M | 18019 | Disposed | 2019-07-27 | Common Shares (18019) | Direct |
| 2017-08-07 | Option to Buy | $8.42 | M | 11876 | Disposed | 2020-07-27 | Common Shares (11876) | Direct |
| 2017-08-07 | Option to Buy | $9.26 | M | 27350 | Disposed | 2021-03-04 | Common Shares (27350) | Direct |
| 2017-08-07 | Option to Buy | $7.98 | M | 12989 | Disposed | 2022-03-02 | Common Shares (12989) | Direct |
Footnotes
F1: Includes approximately 21 common shares acquired through dividend reinvestment in March 2017.
F2: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.55 to $18.57.
F3: 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.
F4: This option vested in three equal annual installments ending on July 25, 2011.
F5: This option vested in three equal annual installments ending on July 27, 2012.
F6: This option vested in three equal annual installments ending on July 27, 2013.
F7: This option vested in four equal annual installments ending on March 4, 2015.
F8: This option vested in four equal annual installments ending on March 2, 2016.
F9: This option vested in four equal annual installments ending on March 1, 2017.