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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 | ||||||||
Phantom Stock (2) | (2) | (2) | (2) | Common Stock | 1,868.1102 | 1,868.1102 | D | ||||||||
Phantom Stock (3) | (3) | (3) | (3) | Common Stock | 17,813.319 | 17,813.319 | D | ||||||||
Phantom Stock (4) | (4) | 02/09/2019 | 02/09/2019 | Common Stock | 13,587 | 13,587 | D | ||||||||
Option (3) | $ 29.2 | 04/01/2012 | 04/01/2021 | Common Stock | 84,439 | 84,439 | D | ||||||||
Option (3) | $ 21.67 | (3) | 02/14/2022 | Common Stock | 136,200 | 136,200 | D | ||||||||
Option (3) | $ 27.41 | 02/26/2014 | 02/26/2023 | Common Stock | 36,707 | 36,707 | D | ||||||||
Option (3) | $ 27.41 | 02/26/2015 | 02/26/2023 | Common Stock | 36,707 | 36,707 | D | ||||||||
Option (3) | $ 27.41 | 02/26/2016 | 02/26/2023 | Common Stock | 36,707 | 36,707 | D | ||||||||
Phantom Stock (5) | (5) | 02/21/2017 | 02/21/2018 | Common Stock | 20,030.867 | 20,030.867 | D | ||||||||
Phantom Stock (8) | (8) | 02/13/2018 | A | 109,768.432 | 02/13/2018 | (8) | Common Stock | 109,768.432 | (8) | 109,768.432 | D | ||||
Phantom Stock (6) | (6) | 02/13/2018 | A | 7,656.066 | 02/13/2019 | (6) | Common Stock | 7,656.066 | (6) | 7,656.066 | D | ||||
Phantom Stock (6) | (6) | 02/13/2018 | A | 7,656.066 | 02/13/2020 | (6) | Common Stock | 7,656.066 | (6) | 7,656.066 | D | ||||
Phantom Stock (6) | (6) | 02/13/2018 | A | 7,657.066 | 02/13/2021 | (6) | Common Stock | 7,656.066 | (6) | 7,656.066 | D | ||||
Phantom Stock (7) | (7) | 02/14/2018 | M | 7,733.158 | 02/14/2018 | (7) | Common Stock | 7,733.158 | (7) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROGERS WILLIAM H JR 303 PEACHTREE STREET, N.E. ATLANTA, GA 30308 |
Chairman and CEO |
Curt Phillips, Attorney-in-Fact for William H. Rogers, Jr. | 02/15/2018 | |
**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) | Because the stock fund component of the 401(k) Plan is accounted for in unit accounting, the number of share equivalents varies based on the closing price of SunTrust stock on the applicable measurement date. |
(2) | The phantom stock units were acquired under the SunTrust Banks, Inc. Deferred Compensation Plan and convert to common stock on a one-to-one basis. |
(3) | Granted pursuent to the SunTrust Banks, Inc. 2009 Stock Plan. |
(4) | Represents time-vested restricted stock units granted on February 9, 2016 under the sunTrust Banks, Inc. 2009 Stock Plan. The plan is exempt under Rule 16b-3. Units will be settled in shares. The award agreement contains tax withholding features which allow us to withhold units to satisfy withholding obligations. |
(5) | Represents performance stock which was granted on February 21, 2014 and which vested on February 21, 2017. Award is settled in common stock. Because exceptional performance resulted in the award vesting at greater than 130% of target, the amount that vested in excess of 130% is subject to a one year deferral. |
(6) | Represents time-vested restricted stock units granted on February 13, 2018 under the SunTrust Banks, Inc. 2009 Stock Plan. The plan is exempt under Rule 16b-3. Units will be settled in shares. The award agreement contains tax withholding features which allow us to withhold units to satisfy tax withholding obligations. |
(7) | Represents time-vested restricted stock units granted on February 14, 2017 under the SunTrust Banks, Inc. 2009 Stock Plan The plan is exempt under Rule 16b-3. Units will be settled in shares. The award agreement contains tax withholding features which allow us to withhold units to satisfy tax withholding obligations. |
(8) | Represents performance-vested restricted stock units granted on February 10, 2015 under the SunTrust Banks, Inc. 2009 Stock Plan. Transaction represents the satisfaction of EPS/TSR/ROTCE performance conditions. Performance resulted in the award vesting at 120% of target. The plan is exempt under Rule 16b-3. Units will be settled in shares. The award agreement contains tax withholding features which allow us to withhold units to satisfy tax withholding obligations. |