SEC Form 4 · accession 0001209191-19-016336
Koppers Holdings Inc. · KOP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A. Sullivan
Officer — SVP RPS, Global CM&C
Period of report
Mar 1, 2019
Accepted (ET)
Mar 5, 2019 · 3:27 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 | 484 | $0.00 | A | 36,641 | D | |
| Common StockF2 | Mar 1, 2019 | A | 1,461 | $0.00 | A | 38,102 | D | |
| Common StockF3,F4 | Mar 1, 2019 | F | 2,185 | $26.16 | D | 36,051 | 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 | 484 | A | — | — | Common Stock | 484 | 968 | 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 December 31, 2018 acquisition of 134 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.