Filing Details
- Accession Number:
- 0001294671-17-000095
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-10-26 16:49:07
- Reporting Period:
- 2017-10-26
- Accepted Time:
- 2017-10-26 16:49:07
- SEC Url:
- Form 4 Filing
Issuer
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1669883 | Iii J Andrew Paine | C/O Keycorp 127 Public Square Cleveland OH 44114 | Co-Head Corporate Bank | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Shares | Acquisiton | 2017-10-24 | 25,000 | $11.16 | 110,052 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2017-10-24 | 19,817 | $18.55 | 90,235 | No | 4 | F | Direct | |
| Common Shares | Acquisiton | 2017-10-24 | 20,000 | $6.12 | 110,235 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2017-10-24 | 13,025 | $18.55 | 97,210 | No | 4 | F | Direct | |
| Common Shares | Acquisiton | 2017-10-24 | 34,696 | $9.26 | 131,906 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2017-10-24 | 46,854 | $18.56 | 85,052 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Shares | Option to Buy | Disposition | 2017-10-24 | 25,000 | $0.00 | 25,000 | $11.16 |
| Common Shares | Option to Buy | Disposition | 2017-10-24 | 20,000 | $0.00 | 20,000 | $6.12 |
| Common Shares | Option to Buy | Disposition | 2017-10-24 | 34,696 | $0.00 | 34,696 | $9.26 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2018-07-25 | No | 4 | M | Direct | |
| 0 | 2011-03-31 | 2019-06-12 | No | 4 | M | Direct |
| 0 | 2021-03-04 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Shares | 29,230 | Indirect | By spouse |
| Common Shares | 17,918 | Indirect | 401(k) Plan |
| Common Shares | 445 | Indirect | By Paine Investments LP |
Footnotes
- The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.52 to $18.59.
- The reporting person may provide to KeyCorp, any security holder of KeyCorp, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
- Reported as of July 27, 2017.
- This option vested in three equal annual installments ending on July 25, 2011.
- This option, which was issued on June 12, 2009 in connection with KeyCorp's participation in the U.S. Treasury's Troubled Assets Relief Program ("TARP"), was fully vested on the date of grant, but not exercisable until KeyCorp's repayment of its TARP obligations (which occurred on the date shown).
- This option vested in four equal annual installments ending on March 4, 2015.
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