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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 Units (5) | (5) | (5) | (5) | Common Stock | 14,112.4216 | 14,112.4216 | D | ||||||||
Phantom Stock Units (6) | (6) | (6) | (6) | Common Stock | 34,000 | 34,000 | D | ||||||||
Option (7) | $ 73.0625 | 11/09/2002 | 11/09/2009 | Common Stock | 75,000 | 75,000 | D | ||||||||
Option (8) | $ 51.125 | 11/14/2003 | 11/14/2010 | Common Stock | 150,000 | 150,000 | D | ||||||||
Option (8) | $ 64.57 | 11/13/2004 | 11/13/2011 | Common Stock | 150,000 | 150,000 | D | ||||||||
Option (8) | $ 54.28 | 02/11/2006 | 02/11/2013 | Common Stock | 150,000 | 150,000 | D | ||||||||
Option (8) | $ 73.19 | 02/10/2007 | 02/10/2014 | Common Stock | 150,000 | 150,000 | D | ||||||||
Option (9) | $ 73.14 | 02/08/2008 | 02/08/2015 | Common Stock | 97,000 | 97,000 | D | ||||||||
Option (9) | $ 71.03 | 02/14/2009 | 02/14/2016 | Common Stock | 163,000 | 163,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HUMANN L PHILLIP 303 PEACHTREE STREET ATLANTA, GA 30308 |
X | Executive Chairman |
David A. Wisniewski, Attorney-in-Fact for L. Phillip Humann | 05/01/2008 | |
**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) | Held by Humann Partners, L.P. |
(2) | Held in trust by spouse for members of immediate family. |
(3) | 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. |
(4) | Restricted stock held under 1986 SunTrust Executive Stock Plan, 1995 SunTrust Executive Stock Plan, SunTrust Banks, Inc. 2000 Stock Plan and SunTrust Banks Inc. 2004 Stock Plan. Subject to certain vesting conditions. Restricted stock agreements contain tax withholding features allowing stock to be withheld to satisfy tax withholding obligations. All plans are exempt under Rule 16(b)-3. Includes 29,649 shares which vest on 2/14/2009. |
(5) | The reported phantom stock units were acquired under SunTrust Banks, Inc.s' 401(k) excess benefit plan. These phantom stock units convert to common stock on a one-for-one basis. |
(6) | Granted in exchange for restricted stock. Will be paid out on various dates. These phantom stock units convert to common stock on a one-for-one basis. |
(7) | Granted pursuant to the 1995 SunTrust Executive Stock Plan. |
(8) | Granted pursuant to the SunTrust Banks, Inc. 2000 Stock Plan. |
(9) | Granted pursuant to the SunTrust Banks, Inc. 2004 Stock Plan. |