|
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 |
|
| ||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Stock (3) | (3) | (3) | (3) | Common Stock | 1,684.8943 | 1,684.8943 | D | ||||||||
Phantom Stock (4) | (4) | (4) | (4) | Common Stock | 22,350.1626 | 22,350.1626 | D | ||||||||
Phantom Stock (5) | (5) | 12/31/2011(5) | A | 32,012 | (5) | (5) | Common Stock | 32,012 | (5) | 32,012 | D | ||||
Option (6) | $ 54.28 | 02/11/2006 | 02/11/2013 | Common Stock | 15,000 | 15,000 | D | ||||||||
Option (6) | $ 73.19 | 02/10/2007 | 02/10/2014 | Common Stock | 18,000 | 18,000 | D | ||||||||
Option (7) | $ 73.14 | 02/08/2008 | 02/08/2015 | Common Stock | 18,000 | 18,000 | D | ||||||||
Option (7) | $ 71.03 | 02/14/2009 | 02/14/2016 | Common Stock | 32,000 | 32,000 | D | ||||||||
Option (7) | $ 85.06 | 02/13/2010 | 02/13/2017 | Common Stock | 35,000 | 35,000 | D | ||||||||
Option (7) | $ 64.58 | 02/12/2011 | 02/12/2018 | Common Stock | 88,800 | 88,800 | D | ||||||||
Option (7) | $ 29.54 | 12/31/2011 | 12/31/2018 | Common Stock | 100,000 | 100,000 | D | ||||||||
Option (8) | $ 29.2 | 04/01/2012 | 04/01/2021 | Common Stock | 84,439 | 84,439 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROGERS WILLIAM H JR 303 PEACHTREE STREET, N.E. ATLANTA, GA 30308 |
President and CEO |
David A. Wisniewski, Attorney-in-Fact for William H. Rogers, Jr. | 01/04/2012 | |
**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) | Reflects vesting of 800 shares on August 22, 2011. Also includes the following shares which are subject to forfeiture: 62,600 which vest on 2/10/2012; 2,000 which vest on 6/20/2012; 2,000 which vest on 9/16/2012; 2,000 which vest on 3/6/2013; and 2,000 which vest on 7/14/2013. |
(2) | 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. |
(3) | The phantom stock units were acquired under the SunTrust Banks, Inc. Deferred Compensation Plan and convert to common stock on a one-to-one basis. |
(4) | Represents stock units granted under the SunTrust Banks, Inc. 2009 Stock Plan and paid as salary which will be settled in cash on March 31, 2012 unless settled earlier due to the executive's death or disability or the company's change in control. |
(5) | 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 1, 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. |
(6) | Granted pursuant to the SunTrust Banks, Inc. 2000 Stock Plan. |
(7) | Granted pursuant to the SunTrust Banks, Inc. 2004 Stock Plan. |
(8) | Granted pursuant to the SunTrust Banks, Inc. 2009 Stock Plan. |