Initial Statement of Beneficial Ownership (3)
May 25 2021 - 7:33PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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Gavrity Kenneth C |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/17/2021
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3. Issuer Name and Ticker or Trading Symbol
KEYCORP /NEW/ [KEY]
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(Last)
(First)
(Middle)
127 PUBLIC SQUARE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Head of Enterprise Payments / |
(Street)
CLEVELAND, OH 44114
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Shares | 37301 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Option to Buy | 2/17/2015 (1) | 2/17/2024 | Common Shares | 2376.0 | $12.92 | D | |
Option to Buy | 2/17/2016 (1) | 2/16/2025 | Common Shares | 3464.0 | $14.11 | D | |
Option to Buy | 2/17/2017 (1) | 2/15/2026 | Common Shares | 10981.0 | $10.49 | D | |
Option to Buy | 2/17/2018 (1) | 2/20/2027 | Common Shares | 7608.0 | $18.96 | D | |
Option to Buy | 2/17/2021 (2) | 2/17/2030 | Common Shares | 15527.0 | $19.73 | D | |
Option to Buy | 2/17/2022 (2) | 2/15/2031 | Common Shares | 20710.0 | $20.98 | D | |
Restricted Stock Units | (3) | (3) | Common Shares | 3462.0 | (4) | D | |
Restricted Stock Units | (5) | (5) | Common Shares | 9488.0 | (4) | D | |
Restricted Stock Units | (6) | (6) | Common Shares | 8099.0 | (4) | D | |
Restricted Stock Units | (7) | (7) | Common Shares | 11110.0 | (4) | D | |
Restricted Stock Units | 2/15/2024 | 2/15/2024 | Common Shares | 52903.0 | (4) | D | |
Explanation of Responses: |
(1) | Vested in four equal annual installments, beginning on the date shown. These options have fully vested. |
(2) | Vests in four equal annual installments, beginning on the date shown. |
(3) | These restricted stock units vest in four equal annual installments. The first installment vested on February 17, 2019. |
(4) | Each restricted stock unit represents the right to receive one KeyCorp common share at vesting. |
(5) | These restricted stock units vest in four equal annual installments. The first installment vested on February 17, 2020. |
(6) | These restricted stock units vest in four equal annual installments. The first installment vested on February 17, 2021. |
(7) | These restricted stock units vest in four equal annual installments. The first installment will vest on February 17, 2022. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Gavrity Kenneth C 127 PUBLIC SQUARE CLEVELAND, OH 44114 |
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| Head of Enterprise Payments |
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Signatures
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Carrie A. Benedict POA for Kenneth C Gavrity | | 5/25/2021 |
**Signature of Reporting Person | Date |
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