Statement of Changes in Beneficial Ownership (4)
February 19 2020 - 4:43PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Alexander Victor B |
2. Issuer Name and Ticker or Trading Symbol
KEYCORP /NEW/
[
KEY
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Head of Consumer Bank |
(Last)
(First)
(Middle)
127 PUBLIC SQUARE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/17/2020 |
(Street)
CLEVELAND, OH 44114
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Shares | 2/17/2020 | | M | | 11866 | A | (1) | 85857 | D | |
Common Shares | 2/17/2020 | | F | | 3805 | D | $19.73 | 82052 | D | |
Common Shares | | | | | | | | 8042 (2) | I | 401(k) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (1) | 2/17/2020 | | M | | | 3208 | (3) | (3) | Common Shares | 3208 | $0 | 0 | D | |
Restricted Stock Units | (1) | 2/17/2020 | | M | | | 3245 | (4) | (4) | Common Shares | 3245 | $0 | 3244 | D | |
Restricted Stock Units | (1) | 2/17/2020 | | M | | | 2295 | (5) | (5) | Common Shares | 2295 | $0 | 4589 | D | |
Restricted Stock Units | (1) | 2/17/2020 | | M | | | 3118 | (6) | (6) | Common Shares | 3118 | $0 | 9350 | D | |
Explanation of Responses: |
(1) | Each restricted stock unit represents the right to receive one KeyCorp common share at vesting. |
(2) | Reported as of February 18, 2020. |
(3) | The restricted stock units, granted on February 15, 2016, vested in four equal annual installments ending on February 17, 2020. |
(4) | The restricted stock units, granted on February 20, 2017, vest in four equal annual installments beginning on February 17, 2018. |
(5) | These restricted stock units, granted on February 19, 2018, vest in four equal annual installments beginning on February 17, 2019. |
(6) | These restricted stock units, granted on February 18, 2019, vest in four equal annual installments beginning on February 17, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Alexander Victor B 127 PUBLIC SQUARE CLEVELAND, OH 44114 |
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| Head of Consumer Bank |
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Signatures
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Carrie A. Benedict POA for Victor B. Alexander | | 2/19/2020 |
**Signature of Reporting Person | Date |
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