SEC Form 4 · accession 0001209191-18-037264
Koppers Holdings Inc. · KOP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Louann E Tronsberg-Deihle
Officer — Treasurer
Period of report
Jun 8, 2018
Accepted (ET)
Jun 12, 2018 · 5:04 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001315257
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 8, 2018 | M | 5,204 | $15.26 | A | 26,495 | D | |
| Common StockF2 | Jun 8, 2018 | S | 3,485 | $43.10 | D | 23,010 | D | |
| Common Stock | Jun 8, 2018 | M | 2,326 | $28.10 | A | 25,336 | D | |
| Common StockF2 | Jun 8, 2018 | S | 607 | $43.10 | D | 24,729 | D | |
| Common Stock | Jun 8, 2018 | M | 9,255 | $17.57 | A | 33,954 | D | |
| Common StockF2 | Jun 8, 2018 | S | 7,506 | $43.10 | D | 26,448 | D | |
| Common Stock | Jun 8, 2018 | M | 4,268 | $18.11 | A | 30,716 | D | |
| Common StockF2 | Jun 8, 2018 | S | 2,550 | $43.10 | D | 28,166 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (Rights to Buy) | $15.26 | Jun 8, 2018 | M | 5,204 | D | Feb 20, 2012 | Feb 20, 2019 | Common Stock | 5,204 | 0 | D |
| Employee Stock Options (Rights to Buy) | $28.10 | Jun 8, 2018 | M | 2,326 | D | Feb 22, 2013 | Feb 22, 2020 | Common Stock | 2,326 | 0 | D |
| Employee Stock Options (Rights to BuyF3 | $17.57 | Jun 8, 2018 | M | 9,225 | D | Mar 3, 2016 | Mar 3, 2025 | Common Stock | 9,225 | 3,075 | D |
| Employee Stock Options (Rights to Buy)F3 | $18.11 | Jun 8, 2018 | M | 4,268 | D | Mar 1, 2017 | Mar 1, 2026 | Common Stock | 4,268 | 4,268 | D |
Explanation of responses
- F1Includes 73 shares of Koppers Holdings Inc. common stock acquired pursuant to the Koppers Holdings Inc. Employee Stock Purchase Plan ("ESPP") on March 29, 2018. These acquisitions were exempt under both Rule 16b-3(c) and Rule 16b-3(d).
- F2The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.86 to $43.40, inclusive. The reporting person undertakes to provide to the Securities and Exchange Commission, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.
- F3The options vest in annual installments of 25% over 4 years.