SEC Form 4 · accession 0001209191-19-016333
Koppers Holdings Inc. · KOP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven R Lacy
Officer — Chief Admin. Officer, GC & Sec
Period of report
Mar 1, 2019
Accepted (ET)
Mar 5, 2019 · 3:21 pm EST
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 | Mar 1, 2019 | M | 580 | $0.00 | A | 67,081 | D | |
| Common StockF2 | Mar 1, 2019 | A | 1,759 | $0.00 | A | 68,840 | D | |
| Common StockF3,F4 | Mar 1, 2019 | F | 2,614 | $26.16 | D | 66,807 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F5 | — | Mar 1, 2019 | M | 580 | A | — | — | Common Stock | 580 | 1,161 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2Represents previously granted performance share units for which the performance criteria for the three year performance period of 2016 through 2018 have been satisfied.
- F3Shares surrendered to the issuer by the reporting person as payment for tax withholding related to the vesting of time-based restricted stock units and performance-based stock units.
- F4Reflects the acquisition of 581 shares of Koppers Holdings Inc. common stock acquired pursuant to the Koppers Holdings Inc. Employee Stock Purchase Plan which is exempt under both Rule 16b-3(c) and Rule 16b-3(d).
- F5On March 3, 2017, the reporting person was granted restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date.