REGIONS FINANCIAL CORPORATION (NYSE:RF) Files An 8-K Temporary Suspension of Trading Under Registrant’s Employee Benefit Plans
Item 5.04 Temporary Suspension of Trading Under Registrant’s
Employee Benefit Plans.
sent a notice to participants and beneficiaries in the Regions
Financial Corporation 401(k) Plan (the “Plan”) that, effective
January 1, 2017, the recordkeeper of the Plan is being changed.
This notice indicated that, in order to change the recordkeeper,
there will be a blackout period that begins at 2:00 p.m. Central
Time on December 23, 2016, and is expected to end on January 13,
2017 (the “Blackout Period”). During the Blackout Period,
participants in the Plan will temporarily be unable to make
changes or conduct transactions within their account, including
redirecting investment allocations or requesting withdrawals or
distributions of any type. A copy of the notice is attached
hereto as Exhibit 99.1 to this Current Report on Form 8-K and is
incorporated herein by reference.
person may obtain, without charge, information regarding the
Blackout Period by contacting MassMutual at 800-701-8892 Monday
through Friday between 7:00 a.m. and 8:00 p.m. Central Time and
referencing 62273.
Company sent a notice to its Executive Officers and Directors to
Section 306 of the Sarbanes-Oxley Act of 2002 and Rule 104 of the
Securities and Exchange Commission Regulation BTR (Blackout
Trading Restriction). A copy of the notice is attached hereto as
Exhibit 99.2 to this Current Report on Form 8-K and is
incorporated herein by reference.
|
No.
|
Exhibit
|
|
99.1
|
Notice sent on November 22, 2016 to Regions Financial
Corporation 401(k) Plan Participants and Beneficiaries regarding a Blackout Period. |
|
99.2
|
Notice sent on November 22, 2016 to Regions Financial
Corporation’s Executive Officers and Directors regarding a Blackout Period. |
About REGIONS FINANCIAL CORPORATION (NYSE:RF)
Regions Financial Corporation is a financial holding company. The Company conducts its banking operations through Regions Bank, an Alabama state-chartered commercial bank, which is a member of the Federal Reserve System. It operates in three segments: Corporate Bank, which represents its commercial banking functions, including commercial and industrial, commercial real estate and investor real estate lending; Consumer Bank, which represents its branch network, including consumer banking products and services related to residential first mortgages, home equity lines and loans, small business loans, indirect loans, consumer credit cards and other consumer loans, as well as the corresponding deposit relationships, and Wealth Management, which offers individuals, businesses, governmental institutions and non-profit entities a range of solutions to enable transfer of wealth. It provides traditional commercial, retail and mortgage banking services, as well as other financial services. REGIONS FINANCIAL CORPORATION (NYSE:RF) Recent Trading Information
REGIONS FINANCIAL CORPORATION (NYSE:RF) closed its last trading session up +0.04 at 13.15 with 25,605,349 shares trading hands.