Statement of Changes in Beneficial Ownership (4)
April 29 2021 - 6:57PM
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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3235-0287
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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
*
Keenan David R. |
2. Issuer Name and Ticker or Trading Symbol
REGIONS FINANCIAL CORP
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RF
]
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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) SEVP |
(Last)
(First)
(Middle)
P. O. BOX 10247 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/27/2021 |
(Street)
BIRMINGHAM, AL 35202-0247
(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 Stock | 4/27/2021 | | S | | 13435.0000 | D | $21.1200 (1) | 21685.0000 | D | |
Common Stock | 1/4/2021 | | J(2) |
V
| 151.8283 | A | $0 (2) | 15712.2134 (3) | I | By 401(k) |
Common Stock | 4/1/2021 | | J(2) |
V
| 114.9587 | A | $0 (2) | 15827.1721 (3) | I | By 401(k) |
Common Stock | 4/28/2021 | | I | | 15827.1721 | D | $21.0200 | 0.0000 (3) | I | By 401(k) |
Common Stock (phantom stock) | 1/4/2021 | | J(4) |
V
| 202.7139 | A | $0 (4) | 20723.6790 (3) | I | Indirect - By 401 (k) Supplemental Plan |
Common Stock (phantom stock) | 4/1/2021 | | J(4) |
V
| 155.3150 | A | $0 (4) | 20878.9940 (3) | I | Indirect - By 401 (k) Supplemental Plan |
Common Stock (phantom stock) | 4/28/2021 | | I | | 20878.9940 | D | $21.0200 | 0.0000 (3) | I | Indirect - By 401 (k) Supplemental 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 |
Explanation of Responses: |
(1) | Weighted average execution price. |
(2) | Shares acquired pursuant to a dividend reinvestment feature of the Regions Financial Corporation 401(k) Plan. Exempt pursuant to Rule 16a-11. |
(3) | Expressed as ownership units in the respective plan's unitized employer stock fund, which is managed such that each unit is intended to approximate the economic value of one share of common stock. |
(4) | Shares acquired pursuant to a dividend reinvestment feature of the Regions Financial Corporation Non-Qualified Excess 401(k) Plan. Exempt pursuant to Rule 16a-11. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Keenan David R. P. O. BOX 10247 BIRMINGHAM, AL 35202-0247 |
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| SEVP |
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Signatures
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Lachelle S. Koon - Attorney -in-Fact | | 4/29/2021 |
**Signature of Reporting Person | Date |
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