SEC Form 4 · accession 0001127602-19-006559
SunCoke Energy, Inc. · SXC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Katherine T Gates
Officer — Sr VP & General Counsel
Period of report
Feb 14, 2019
Accepted (ET)
Feb 19, 2019 · 12:05 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 14, 2019 | M | 2,415 | — | A | 10,331 | D | |
| Common StockF2 | Feb 14, 2019 | F | 708 | $9.61 | D | 9,623 | D | |
| Common StockF1 | Feb 15, 2019 | M | 1,929 | — | A | 11,552 | D | |
| Common StockF2 | Feb 15, 2019 | F | 566 | $9.87 | D | 10,986 | 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 (02.14.18)F3,F1 | — | Feb 14, 2019 | M | 2,415 | D | Feb 14, 2019 | Feb 14, 2021 | Common Stock | 2,415 | 4,829 | D |
| RSU's (02.15.17)F3,F1 | — | Feb 15, 2019 | M | 1,929 | D | Feb 15, 2018 | Feb 15, 2020 | Common Stock | 1,929 | 1,928 | D |
Explanation of responses
- F1Conversion rate is 1 for 1.
- F2Shares withheld by Registrant to satisfy minimum statutory withholding requirements on vesting of restricted common stock units.
- F3Grant 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.