SEC Form 4 · accession 0001127602-18-007327
SunCoke Energy, Inc. · SXC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Fay West
Officer — Senior Vice President & CFO · Director
Period of report
Feb 15, 2018
Accepted (ET)
Feb 20, 2018 · 6:02 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 15, 2018 | M | 2,802 | $0.00 | A | 25,289 | D | |
| Common StockF1 | Feb 15, 2018 | F | 970 | $10.61 | D | 24,319 | D | |
| Common Stock | Feb 18, 2018 | M | 3,037 | $0.00 | A | 27,356 | D | |
| Common StockF1 | Feb 18, 2018 | F | 1,051 | $10.80 | D | 26,305 | 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 (02.15.17)F2,F3 | — | Feb 15, 2018 | M | 2,802 | D | Feb 15, 2018 | Feb 15, 2021 | Common Stock | 2,802 | 5,604 | D |
| RSU's (Feb 2015)F2,F3,F4 | — | Feb 18, 2018 | M | 3,037 | D | — | — | Common Stock | 3,037 | 0 | D |
Explanation of responses
- F1Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted share 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 on the first, second and third anniversary of the grant date.
- F3Conversion rate is 1 for 1.
- F4Not applicable.