SEC Form 4 · accession 0001127602-16-041934
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
Feb 15, 2016
Accepted (ET)
Feb 17, 2016 · 5:40 pm EST
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 | Feb 15, 2016 | M | 16,807 | $0.00 | A | 195,858 | D | |
| Common StockF2 | Feb 15, 2016 | F | 5,452 | $3.37 | D | 190,406 | 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 | — | Feb 15, 2016 | M | 16,807 | D | — | — | Common Stock | 16,807 | 0 | D |
Explanation of responses
- F1Represents conversion of 16,807 common stock units granted on February 15, 2012 pursuant to the Employment Letter Agreement, dated as of September 2, 2010 and amended as of May 25, 2011 in accordance with the SunCoke Energy, Inc. Long-Term Performance Enhancement Plan, in a transaction exempt under Rule 16b-3. These units vest subject to continued employment, in equal installments on the first, second, third and fourth anniversaries of the date of grant.
- F2Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted common stock units.
- F3Conversion rate is 1 for 1.
- F4Not applicable.