SEC Form 4 · accession 0001127602-17-007520
SunCoke Energy, Inc. · SXC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick A. Henderson
Officer — Chairman, CEO & President · Director
Period of report
Feb 18, 2017
Accepted (ET)
Feb 21, 2017 · 6:53 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 Stock | Feb 18, 2017 | M | 14,423 | $0.00 | A | 256,933 | D | |
| Common StockF1 | Feb 18, 2017 | F | 4,486 | $9.99 | D | 252,447 | 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 (Feb 2015)F2,F3,F4 | — | Feb 18, 2017 | M | 14,423 | D | — | — | Common Stock | 14,423 | 14,423 | D |
Explanation of responses
- F1Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted common stock units.
- F2Grant 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 18, 2016.
- F3Conversion rate is 1 for 1.
- F4Not applicable.