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SunCoke Energy, Inc. — Director's Dealing 2011
Jul 26, 2011
32605_dirs_2011-07-26_9c0d088b-5c83-4c84-a17b-978a34aa83a4.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SunCoke Energy, Inc. (SXC)
CIK: 0001514705
Period of Report: 2011-07-26
Reporting Person: HENDERSON FREDERICK A (Chairman and Chief Executive O)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-07-26 | Common Stock | P | 15000 | $16.00 | Acquired | 15000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-07-26 | Common Stock Unit | $ | A | 112941 | Acquired | Common Stock (112941) | Direct | |
| 2011-07-26 | Stock Options (Right to Buy) | $17.39 | A | 646465 | Acquired | 2021-07-23 | Common Stock (646465) | Direct |
Footnotes
F1: Purchase of common stock in directed share program contingent upon the closing of the initial public offering of SunCoke Energy, Inc.
F2: Grant of restricted common stock units contingent upon the closing of the registrant's initial public offering. These units were awarded pursuant to the SunCoke Energy, Inc. Long-Term Performance Enhancement Plan, in a transaction exempt under Rule 16b-3. These restricted share units will vest subject to continued employment, in equal one-third installments on the third, fourth, and fifth anniversaries of the reporting person's effective date of hire.
F3: Conversion rate is 1 for 1.
F4: Not applicable.
F5: Grant of stock options (right to buy SunCoke Energy, Inc. common stock), contingent upon the closing of the registrant's initial public offering. These options were awarded pursuant to the SunCoke Energy, Inc. Long-Term Performance Enhancement Plan, in a transaction exempt under Rule 16b-3, and are exercisable, subject to continued employment, as follows: (1) five sevenths of such options will vest in equal one-third installments on the first, second, and third anniversaries of the initial public offering; (2) the remaining two sevenths will vest in equal one-third installments on the third, fourth, and fifth anniversaries of the reporting person's effective date of hire.