Statement of Changes in Beneficial Ownership (4)
May 12 2021 - 4:49PM
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
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Crosby Gary M |
2. Issuer Name and Ticker or Trading Symbol
KEYCORP /NEW/
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KEY
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O KEYCORP, 127 PUBLIC SQUARE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/10/2021 |
(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 | 5/10/2021 | | M | | 6723 | A | (1) | 10472 | D | |
Common Shares | 5/10/2021 | | D | | 3361 | D | $20.94 | 7111 | D | |
Common Shares | | | | | | | | 536348 | I | By Trust (2) |
Common Shares | | | | | | | | 641 | 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 |
Deferred Shares | (1) | 5/10/2021 | | M | | | 6723 | 5/10/2021 | 5/10/2021 | Common Shares | 6723.0 | (1) | 21378 (3) | D | |
Explanation of Responses: |
(1) | Each Deferred Share was the economic equivalent of one KeyCorp Common Share. On May 10, 2021, 3,361 of the Reporting Person's Deferred Shares were settled for cash, and the remaining 3,362 Deferred Shares were settled for an equal number of KeyCorp Common Shares. |
(2) | These shares are held in a living trust. The reporting person is trustee of the trust. |
(3) | Includes approximately 1,342 dividend-equivalent Deferred Shares accrued between June 2020 and March 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Crosby Gary M C/O KEYCORP 127 PUBLIC SQUARE CLEVELAND, OH 44114 | X |
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Signatures
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Carrie A. Benedict POA for Gary M. Crosby | | 5/12/2021 |
**Signature of Reporting Person | Date |
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