SEC Form 4 · accession 0001127602-19-006280
SunCoke Energy, Inc. · SXC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary P Yeaw
Officer — Senior Vice President
Period of report
Feb 13, 2019
Accepted (ET)
Feb 15, 2019 · 4:04 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 StockF1 | Feb 17, 2019 | J | 35,139 | $9.87 | A | 79,209 | 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 (02.13.19)F2,F3 | — | Feb 13, 2019 | A | 8,548 | A | Feb 13, 2020 | Feb 13, 2022 | Common Stock | 8,548 | 17,096 | D |
| Stock Options (02.13.19)F4 | $9.87 | Feb 13, 2019 | A | 13,753 | A | Feb 13, 2020 | Feb 13, 2029 | Common Stock | 13,753 | 27,506 | D |
Explanation of responses
- F1Represents settlement of Performance Share Unit ("PSU") award granted February 17, 2016 pursuant to the SunCoke Energy, Inc. ("SXC") Long Term Performance Enhancement Plan in a transaction exempt under Rule 16b-3. PSU award settled, at the end of applicable three-year vesting period, in shares of SXC common stock, (net of shares withheld by Registrant to satisfy minimum statutory withholding requirements).
- 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 13, 2020.
- F3Conversion rate is 1 for 1.
- F4Grant 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 13, 2020.