SEC Form 4 · accession 0001127602-16-063700
SunCoke Energy, Inc. · SXC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Phillip Michael Hardesty
Officer — Senior Vice President
Period of report
Oct 1, 2016
Accepted (ET)
Oct 3, 2016 · 4:59 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 | Oct 1, 2016 | F | 3,097 | $0.00 | D | 56,551 | D | |
| Common Stock | Oct 1, 2016 | M | 9,956 | $0.00 | A | 59,648 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| RSU's (Oct 2015)F2,F3,F4 | — | Oct 1, 2016 | M | 9,956 | D | — | — | Common Stock | 9,956 | 19,912 | D |
Explanation of responses
- F1Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted stock units.
- F2Restricted share units awarded pursuant to the SunCoke Energy, Inc. Long-Term Performance Enhancement Plan in a transaction exempt under Rule 16b-3. The restricted share units vest in three equal annual installments commencing on October 1, 2016.
- F3Conversion rate is 1 for 1.
- F4Not applicable.