SEC Form 4 · accession 0000918160-19-000033
AK STEEL HOLDING CORP · AKS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher J Ross
Officer — VP & Treasurer
Period of report
Jan 23, 2019
Accepted (ET)
Jan 25, 2019 · 5:50 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000918160
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 23, 2019 | A | 2,242 | $0.00 | A | 31,928 | D | |
| Common StockF2 | Jan 23, 2019 | M | 2,527 | $0.00 | A | 34,455 | D | |
| Common Stock | Jan 23, 2019 | F | 1,581 | $2.655 | D | 32,874 | D | |
| Common Stock | Jan 23, 2019 | A | 12,500 | $0.00 | A | 45,374 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance SharesF2 | — | Jan 23, 2019 | M | 3,800 | D | Dec 31, 2018 | Dec 31, 2018 | Common Stock | 2,527 | 0 | D |
| Employee Stock Option (Right to Buy)F3 | $2.655 | Jan 23, 2019 | A | 21,008 | A | Jan 23, 2020 | Jan 23, 2029 | Common Stock | 21,008 | 21,008 | D |
Explanation of responses
- F1This represents Common Stock which was earned pursuant to a January 20, 2016 grant of Performance Shares. The Common Stock was issued at a conversion rate of 0.590 shares of Common Stock for each Performance Share awarded.
- F2This represents Common Stock which was earned pursuant to a January 20, 2016 grant of Performance Shares. The Common Stock was issued at a conversion rate of 0.665 shares of Common Stock for each Performance Share awarded.
- F3Options vest in three equal annual installments beginning one year after grant date.