SEC Form 4 · accession 0001127602-17-007172
SunCoke Energy, Inc. · SXC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Allison S Lausas
Officer — Vice President & Controller
Period of report
Feb 17, 2017
Accepted (ET)
Feb 21, 2017 · 11:02 am 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 17, 2017 | M | 1,645 | $0.00 | A | 4,678 | D | |
| Common StockF1 | Feb 17, 2017 | D | 1,046 | $9.99 | D | 3,632 | D | |
| Common StockF2 | Feb 17, 2017 | F | 599 | $9.99 | D | 3,033 | 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 (02.17.2016)F3,F4,F5 | — | Feb 17, 2017 | M | 1,645 | D | — | — | Common Stock | 1,645 | 3,289 | D |
Explanation of responses
- F1Settlement of restricted common stock units (RSUs) for cash, net of shares withheld to satisfy tax withholding obligations incurred in connection with vesting of RSUs.
- F2Shares withheld by Registrant to satisfy minimum statutory withholding requirement on vesting of RSUs.
- F3On February 17, 2016, reporting person was awarded 4,934 RSUs, pursuant to the SunCoke Energy, Inc. Long-Term Performance Enhancement Plan, in a transaction exempt under Rule 16b-3. These RSUs vest in three equal annual installments beginning on the first anniversary of the grant date.
- F4RSUs convert into common stock on a one-for-one basis.
- F5Not applicable.