SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Warder Jamie

(Last) (First) (Middle)
127 PUBLIC SQUARE

(Street)
CLEVELAND OH 44114

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
05/17/2021
3. Issuer Name and Ticker or Trading Symbol
KEYCORP /NEW/ [ KEY ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Head of Digital Banking
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Shares 33,259 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Option to Buy 02/17/2021(1) 02/17/2030 Common Shares 15,527 19.73 D
Option to Buy 02/17/2022(1) 02/15/2031 Common Shares 20,710 20.98 D
Restricted Stock Units (2) (2) Common Shares 3,259 (3) D
Restricted Stock Units (4) (4) Common Shares 9,488 (3) D
Restricted Stock Units (5) (5) Common Shares 8,099 (3) D
Restricted Stock Units (6) (6) Common Shares 11,110 (3) D
Restricted Stock Units 02/15/2024 02/15/2024 Common Shares 52,903 (3) D
Explanation of Responses:
1. Vests in four equal annual installments, beginning on the date shown.
2. These restricted stock units vest in four equal annual installments. The first installment vested on February 17, 2019.
3. Each restricted stock unit represents the right to receive one KeyCorp common share at vesting.
4. These restricted stock units vest in four equal annual installments. The first installment vested on February 17, 2020.
5. These restricted stock units vest in four equal annual installments. The first installment vested on February 17, 2021.
6. These restricted stock units vest in four equal annual installments. The first installment will vest on February 17, 2022.
Remarks:
Carrie A. Benedict POA for Jamie Warder 05/25/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.