0001294671-16-000193.txt : 20160803
0001294671-16-000193.hdr.sgml : 20160803
20160803150734
ACCESSION NUMBER: 0001294671-16-000193
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160801
FILED AS OF DATE: 20160803
DATE AS OF CHANGE: 20160803
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: KEYCORP /NEW/
CENTRAL INDEX KEY: 0000091576
STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021]
IRS NUMBER: 346542451
STATE OF INCORPORATION: OH
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 127 PUBLIC SQ
CITY: CLEVELAND
STATE: OH
ZIP: 44114-1306
BUSINESS PHONE: 2166896300
MAIL ADDRESS:
STREET 1: 127 PUBLIC SQ
CITY: CLEVELAND
STATE: OH
ZIP: 44114-1306
FORMER COMPANY:
FORMER CONFORMED NAME: SOCIETY CORP
DATE OF NAME CHANGE: 19920703
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Highsmith Carlton L
CENTRAL INDEX KEY: 0001379848
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11302
FILM NUMBER: 161803550
MAIL ADDRESS:
STREET 1: C/O NEWALLIANCE BANK
STREET 2: 195 CHURCH STREET
CITY: NEW HAVEN
STATE: CT
ZIP: 06510
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2016-08-01
0000091576
KEYCORP /NEW/
KEY
0001379848
Highsmith Carlton L
C/O KEYCORP
127 PUBLIC SQUARE
CLEVELAND
OH
44114
1
0
0
0
Common Shares
2016-08-01
4
A
0
61125
A
61125
D
Option to Buy
16.70
2016-08-01
4
A
0
5909
A
2016-11-28
Common Shares
5909
5909
D
Option to Buy
13.06
2016-08-01
4
A
0
7600
A
2017-11-05
Common Shares
7600
7600
D
Option to Buy
13.93
2016-08-01
4
A
0
6963
A
2018-11-03
Common Shares
6963
6963
D
Option to Buy
11.38
2016-08-01
4
A
0
9515
A
2019-11-02
Common Shares
9515
9515
D
Acquired pursuant to the Agreement and Plan of Merger by and among First Niagara Financial Group, Inc. ("FNFG") and KeyCorp dated October 30, 2015 (the "Merger Agreement"), pursuant to which FNFG was merged with and into KeyCorp, effective August 1, 2016 (the "Merger"). Pursuant to the Merger, each issued and outstanding share of FNFG common stock was exchanged, in part, for 0.68 shares of KeyCorp common stock. Each unvested FNFG restricted stock award was converted into a KeyCorp restricted stock award for a number of whole shares (rounded down to the nearest whole share) of KeyCorp common stock equal to (i) the amount of FNFG common stock underlying such restricted stock award multiplied by (ii) 0.88.
This option vested in three equal annual installments ending on January 1, 2009.
This option was assumed by KeyCorp in the Merger and converted into a stock option exercisable for a number of whole shares (rounded down to the nearest whole share) equal to (i) the number of shares of FNFG common stock subject to such option multipled by (ii) 0.88.
This option vested in three equal annual installments ending on November 5, 2010.
This option vested in three equal annual installments ending on November 3, 2011.
This option vested in three equal annual installments ending on November 2, 2012.
Carrie A. Benedict POA for Carlton L. Highsmith
2016-08-03