UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Phantom Stock (3) | Â (3) | Â (3) | Common Stock | 1,080.196 | $ (3) | D | Â |
Phantom Stock (2) | 02/14/2020 | 02/14/2020 | Common Stock | 1,971.813 | $ (2) | D | Â |
Phantom Stock (2) | 02/14/2019 | 02/14/2019 | Common Stock | 1,971.813 | $ (2) | D | Â |
Phantom Stock (2) | 02/14/2018 | 02/14/2018 | Common Stock | 1,972.818 | $ (2) | D | Â |
Phantom Stock (2) | 02/09/2020 | 02/09/2020 | Common Stock | 46,488.511 | $ (2) | D | Â |
Phantom Stock (2) | 02/09/2019 | 02/09/2019 | Common Stock | 46,488.514 | $ (2) | D | Â |
Phantom Stock (2) | 02/09/2019 | 02/09/2019 | Common Stock | 3,625.766 | $ (2) | D | Â |
Phantom Stock (2) | 02/09/2018 | 02/09/2018 | Common Stock | 3,625.765 | $ (2) | D | Â |
Phantom Stock (2) | 02/10/2018 | 02/10/2018 | Common Stock | 3,332.148 | $ (2) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Cummins Hugh S. III 303 PECHTREE STREET, NE ATLANTA, GA 30308 |
 |  |  CEVP & Wholesale Banking Exec |  |
David Wisniewski, Attorney-in-Fact for Hugh S. Cummins, III | 04/04/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Represents time-vested restricted stock units under the 2009 Stock Plan. The Plan is exempt under Rule 16b-3. The restricted stock unit award agreements contain tax withholding features which allow us to withhold units to satisfly withholding obligations. Units will be settled in shares. |
(3) | The phantom stock units were acquired under SunTrust Banks, Inc.'s Deferred Compensation Plan. These securities convert to common stock on a one-for-one basis. |