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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (1) | 02/17/2019 | M | 19,516 | (5) | (5) | Common Shares | 19,516 (6) | $ 0 | 0 | D | ||||
Restricted Stock Units | (1) | 02/17/2019 | M | 24,692 | (7) | (7) | Common Shares | 24,692 | $ 0 | 24,692 (8) | D | ||||
Restricted Stock Units | (1) | 02/17/2019 | M | 13,318 | (9) | (9) | Common Shares | 13,318 | $ 0 | 26,636 (10) | D | ||||
Restricted Stock Units | (1) | 02/17/2019 | M | 12,753 | (11) | (11) | Common Shares | 12,753 | $ 0 | 38,258 (12) | D | ||||
Restricted Stock Units | (1) | 02/18/2019 | A | 63,963 | (13) | (13) | Common Shares | 63,963 | $ 0 | 63,963 | D | ||||
Option to Buy | $ 17.51 | 02/18/2019 | A | 91,205 | (14) | 02/18/2029 | Common Shares | 91,205 | $ 0 | 91,205 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gorman Christopher M. C/O KEYCORP 127 PUBLIC SQUARE CLEVELAND, OH 44114 |
Pres. of Banking & Vice Chair |
Carrie A. Benedict POA for Christopher M. Gorman | 02/20/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Each restricted stock unit represents the right to receive one KeyCorp common share at vesting. |
(2) | Includes approximately 4,018 common shares acquired through dividend reinvestments between September and December 2018 and approximately 235 common shares acquired under the KeyCorp Amended and Restated Discount Stock Purchase Plan between August 2018 and February 2019. |
(3) | These shares were received for no consideration upon the satisfaction of certain performance criteria underlying the performance share units granted on February 15, 2016. |
(4) | Reported as of February 8, 2019. |
(5) | The restricted stock units, granted on February 16, 2015, vested in four equal annual installments ending on February 17, 2019. |
(6) | Includes approximately 587 dividend-equivalent restricted stock units accrued between March and December 2018. |
(7) | The restricted stock units, granted on February 15, 2016, vest in four equal annual installments beginning on February 17, 2017. |
(8) | Includes approximately 1,485 dividend-equivalent restricted stock units accrued between March and December 2018. |
(9) | The restricted stock units, granted on February 20, 2017, vest in four equal annual installments beginning on February 17, 2018. |
(10) | Includes approximately 1,202 dividend-equivalent restricted stock units accrued between March and December 2018. |
(11) | The restricted stock units, granted on February 19, 2018, vest in four equal annual installments beginning on February 17, 2019. |
(12) | Includes approximately 1,534 dividend-equivalent restricted stock units accrued between March and December 2018. |
(13) | The restricted stock units, granted on February 18, 2019, vest in four equal annual installments beginning on February 17, 2020. |
(14) | The options to buy, granted on February 18, 2019, vest in four equal annual installments beginning on February 17, 2020. |