SEC Form 4 · accession 0001127602-17-007061
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
Feb 15, 2017
Accepted (ET)
Feb 17, 2017 · 6:22 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001514705
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| RSU's (02.15.17)F1,F2 | — | Feb 15, 2017 | A | 4,629 | A | Feb 15, 2018 | Feb 15, 2021 | Common Stock | 4,629 | 9,258 | D |
| Market Options (02.15.17)F3 | $9.85 | Feb 15, 2017 | A | 4,410 | A | Feb 15, 2018 | Feb 15, 2027 | Common Stock | 4,410 | 8,820 | D |
| Performance Options (02.15.17)F4 | $9.85 | Feb 15, 2017 | A | 5,014 | A | Feb 15, 2018 | Feb 15, 2027 | Common Stock | 5,014 | 10,028 | D |
Explanation of responses
- F1Grant of restricted 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 February 15, 2018.
- F2Conversion rate is 1 for 1.
- F3Grant of stock options (right to buy SunCoke Energy, Inc. common stock) awarded pursuant to the SunCoke Energy, Inc. Long-Term Performance Enhancement Plan in a transaction exempt under Rule 16b-3 and exercisable in three equal annual installments commencing on February 15, 2018.
- F4Performance stock options (right to buy SunCoke Energy, Inc. common stock), granted February 15, 2017, pursuant to the SunCoke Energy, Inc. Long-Term Performance Enhancement Plan in a transaction exempt under Rule 16b-3. These options vest, subject to reporting person's continued employment, in equal installments on the first, second and third anniversaries of the date of grant, and the vested portion of such options will become exercisable beginning on the first trading day following that on which the closing price of the common stock equals or exceeds $14.78/share.