SEC Form 4 · accession 0001127602-15-026485
SunCoke Energy, Inc. · SXC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick A. Henderson
Officer — Chairman & CEO · Director
Period of report
Sep 1, 2015
Accepted (ET)
Sep 2, 2015 · 5:03 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 | Sep 1, 2015 | M | 37,648 | $0.00 | A | 196,257 | D | |
| Common StockF2 | Sep 1, 2015 | F | 17,206 | $10.67 | D | 179,051 | 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 | — | Sep 1, 2015 | M | 37,648 | D | — | — | Common Stock | 37,648 | 0 | D |
Explanation of responses
- F1Settlement of restricted common stock units awarded in July 2011 pursuant to the SunCoke Energy, Inc. Long-Term Performance Enhancement Plan, in a transaction exempt under Rule 16b-3. These units vest ratably in increments of one-third at the end of each of three annual vesting cycles commencing on the second anniversary of the reporting person's hire date. Incremental settlement is contingent only upon the continued employment of reporting person with SunCoke Energy, Inc. through the end of each vesting cycle.
- F2Shares used to satisfy minimum statutory tax withholding requirements on vesting of restricted common stock units.
- F3Conversion rate is 1 for 1.
- F4Not applicable.