SEC Form 4 · accession 0001127602-15-023261
SunCoke Energy, Inc. · SXC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Fay West
Officer — Senior Vice President & CFO · Director
Period of report
Jul 21, 2015
Accepted (ET)
Jul 22, 2015 · 5:35 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001514705
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 21, 2015 | M | 2,692 | $0.00 | A | 11,268 | D | |
| Common StockF2 | Jul 21, 2015 | F | 838 | $12.48 | D | 10,430 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock UnitsF3,F4,F5 | — | Jul 21, 2015 | M | 2,692 | D | — | — | Common Stock | 2,692 | 0 | D |
Explanation of responses
- F1The shares of common stock were acquired pursuant to a grant of restricted common stock units under the SunCoke Energy, Inc. Long-Term Performance Enhancement Plan. This transaction represents the settlement of vested restricted common stock units in shares of common stock.
- F2Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted common stock units.
- F3Grant of restricted common stock units awarded in July 2011. These units were awarded pursuant to the SunCoke Energy, Inc. Long-Term Performance Enhancement Plan, in a transaction exempt under Rule 16b-3. Half of these units vest ratably in increments of one-third at the end of each of three annual vesting cycles. The remaining half vests on the fourth anniversary of the date of grant. Incremental settlement is contingent only upon the continued employment of reporting person with SunCoke Energy, Inc. through the end of each vesting cycle.
- F4Conversion rate is 1 for 1.
- F5Not applicable.