0001294671-18-000080.txt : 20181106 0001294671-18-000080.hdr.sgml : 20181106 20181106163727 ACCESSION NUMBER: 0001294671-18-000080 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181102 FILED AS OF DATE: 20181106 DATE AS OF CHANGE: 20181106 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: 181163506 MAIL ADDRESS: STREET 1: C/O NEWALLIANCE BANK STREET 2: 195 CHURCH STREET CITY: NEW HAVEN STATE: CT ZIP: 06510 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 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2018-11-02 0000091576 KEYCORP /NEW/ KEY 0001379848 Highsmith Carlton L C/O KEYCORP 127 PUBLIC SQUARE CLEVELAND OH 44114 1 0 0 0 Common Shares 2018-11-02 4 M 0 6963 13.93 A 68088 D Common Shares 2018-11-02 4 S 0 6963 18.37 D 61125 D Option to Buy 13.93 2018-11-02 4 M 0 6963 D 2018-11-03 Common Shares 6963 0 D This option vested in three equal annual installments ending on November 3, 2011. This option was assumed by KeyCorp in the merger with First Niagara Financial Group, Inc. ("FNFG") 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. Carrie A. Benedict POA for Carlton L. Highsmith 2018-11-06