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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 | (5) | (5) | (5) | Common Stock | 995.8049 | 995.8049 | D | ||||||||
Phantom Stock (6) | (6) | (6) | (6) | Common Stock | 2,732.31 | 2,732.31 | D | ||||||||
Option (7) | (7) | 02/14/2014 | M | 8,709.727 | 02/14/2014 | 02/14/2022 | Common Stock | 8,709.727 | (7) | 8,709.727 | D | ||||
Option (7) | (7) | 02/14/2014 | F | 2,905 | 02/14/2014 | 02/14/2022 | Common Stock | 2,905 | (7) | 5,804.727 | D | ||||
Option (8) | $ 32.27 | 02/08/2014 | 02/08/2021 | Common Stock | 19,300 | 19,300 | D | ||||||||
Option (9) | $ 21.67 | (9) | 02/14/2022 | Common Stock | 29,599 | 29,599 | D | ||||||||
Option (9) | $ 27.41 | 02/26/2014 | 02/26/2023 | Common Stock | 11,464 | 11,464 | D | ||||||||
Option (9) | $ 27.41 | 02/26/2015 | 02/26/2023 | Common Stock | 11,464 | 11,464 | D | ||||||||
Option (9) | $ 27.41 | 02/26/2016 | 02/26/2023 | Common Stock | 11,465 | 11,465 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gillani Aleem 303 PEACHTREE STREET, N.E. ATLANTA, GA 30303 |
Corp. Exex. Vice Pres and CFO |
David A. Wisniewski, Attorney-in-Fact for Aleem Gillani | 02/18/2014 | |
**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) | Granted under the SunTrust Banks, Inc. 2009 Stock Plan. The plan is exempt under SEC Rule 16b-3. |
(2) | Shares are held in a custodial account for the benefit of an adult familiy member over which account the reporting person has investment and voting control. |
(3) | Shares are held in a family trust over which the reporting person has voting and investment control. |
(4) | Because the stock fund component of the 401(k) Plan is accounted for in unit accounting, the number of share equivalents vares based on the closing price of SunTrust stock on the applicable measurement date. |
(5) | Acquired under the SunTrust Banks, Inc. Deferred Compensation Plan. These convert to common stock on a one-for-one basis. |
(6) | Reflects satisfaction of performance vesting condition (Tier 1 Capital) as of December 31, 2011 with respect to restricted stock units originally granted under the SunTrust Banks, Inc. 2009 Stock Plan on April 26, 2011. Grant was exempt pursuant to Rule 16b-3. Award remains subject to time-vesting criterion and will vest pro rata annually (i.e. one-third each year) and will vest post-retirement provided certain noncompetition and other restrictive covenants are performed. Includes shares acquired upon dividend reinvestment. |
(7) | Represents satisfaction of return on asset performance condition of performance-vested restricted stock units granted on 2/14/2012. Granted under the 2009 Stock Plan. Award will settle in shares in February, 2015. |
(8) | Granted under the SunTrust Banks, Inc. 2009 Stock Plan. |
(9) | Granted pursuant to the SunTrust Banks, inc. 2009 Stock Plan. One third of the award vests each year for three years. |