SEC Form 4 · accession 0001127602-17-033620
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
Nov 30, 2017
Accepted (ET)
Dec 1, 2017 · 1:34 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 | Nov 30, 2017 | M | 4,444 | $3.80 | A | 70,161 | D | |
| Common Stock | Nov 30, 2017 | S | 4,444 | $11.37 | D | 65,717 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Market Options (02.17.2016)F1 | $3.80 | Nov 30, 2017 | M | 4,444 | D | — | Feb 17, 2026 | Common Stock | 4,444 | 8,889 | D |
Explanation of responses
- F1Broker-assisted cashless exercise of first tranche of 13,333 market options granted February 16, 2016 pursuant to SunCoke Energy, Inc. Long-Term Performance Enhancement Plan in a transaction exempt under Rule 16b-3. These options vest in three approximately equal annual installments on the first, second and third anniversaries of the grant date.