FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 03/10/2016 |
3. Issuer Name and Ticker or Trading Symbol
KEYCORP /NEW/ [ KEY ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Shares | 31,756 | D | |
Common Shares | 31,806 | I | By spouse |
Common Shares | 17,525 | I | 401(k) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Options to Buy | 07/21/2007(1) | 07/21/2016 | Common Shares | 3,247 | $36.37 | D | |
Options to Buy | 07/20/2008(1) | 07/20/2017 | Common Shares | 3,810 | $36.2 | D | |
Options to Buy | 07/25/2009(1) | 07/25/2018 | Common Shares | 25,000 | $11.16 | D | |
Options to Buy | 06/12/2010(1) | 06/12/2019 | Common Shares | 20,000 | $6.12 | D | |
Options to Buy | 03/04/2012(1) | 03/04/2021 | Common Shares | 34,696 | $9.26 | D | |
Options to Buy | 03/02/2013(1) | 03/02/2022 | Common Shares | 39,919 | $7.98 | D | |
Options to Buy | 03/01/2014(2) | 03/01/2023 | Common Shares | 12,676 | $9.33 | D | |
Options to Buy | 02/17/2015(2) | 02/17/2024 | Common Shares | 13,307 | $12.92 | D | |
Options to Buy | 02/16/2016(2) | 02/16/2025 | Common Shares | 21,362 | $14.11 | D | |
Options to Buy | 02/15/2017(2) | 02/15/2026 | Common Shares | 89,953 | $10.49 | D | |
Restricted Stock Units | (3) | (3) | Common Shares | 7,793 | (4) | D | |
Restricted Stock Units | (5) | (5) | Common Shares | 17,007 | (4) | D | |
Restricted Stock Units | (6) | (6) | Common Shares | 36,444 | (4) | D | |
Restricted Stock Units | (7) | (7) | Common Shares | 50,975 | (4) | D | |
Restricted Stock Units | (8) | (8) | Common Shares | 30,311 | (4) | D | |
Restricted Stock Units | (9) | (9) | Common Shares | 110,843 | (4) | D | |
Deferred Shares | (10) | (10) | Common Shares | 33,025 | (11) | D |
Explanation of Responses: |
1. Vested in four equal annual installments, beginning on the date shown. These options have fully vested. |
2. Vests in four equal annual installments, beginning on the date shown. |
3. These restricted stock units vest in four equal annual installments. The first installment vested on March 1, 2014. |
4. Each restricted stock unit represents the right to receive one KeyCorp common share at vesting. |
5. These restricted stock units vest in four equal annual installments. The first installment vested on February 17, 2015. |
6. These restricted stock units will vest in full on February 17, 2017. |
7. These restricted stock units will vest in full on February 17, 2018. |
8. These restricted stock units vest in four equal annual installments. The first installment vested on February 17, 2016. |
9. These restricted stock units vest in four equal annual installments, beginning on February 17, 2017. |
10. Deferred shares held in the Common Share account of the KeyCorp Deferred Savings Plan (the "Plan") are only distributable in accordance with the terms of that Plan, which is not a date certain. Contributions to the Common Share account of the Plan were frozen beginning in 2012. |
11. Each deferred share represents the right to receive one KeyCorp common share at distribution. |
Remarks: |
Carrie A. Benedict POA for Andrew J. Paine III | 03/18/2016 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |