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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Performance Options (02.17.2016) (1) | $ 6.03 | 03/16/2016 | A | 90,925 | 02/17/2017 | 02/17/2026 | Common Stock | 90,925 | $ 0 | 90,925 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Henderson Frederick A. 1011 WARRENVILLE ROAD SUITE 600 LISLE, IL 60532 |
X | Chairman, CEO & President |
/s/ Rita M. Slager, attorney-in-fact | 04/19/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This amendment is being filed to correct the previously reported exercise price for the performance options granted to reporting person. The correct exercise price is $6.03/share. Performance stock options (rights to buy) SunCoke Energy, Inc. common stock, granted March 16, 2016, pursuant to the SunCoke Energy, Inc. Long-Term Performance Enhancement Plan in a transaction exempt under Rule 16b-3. These options vest in equal installments on the following vesting dates: February 17, 2017, February 17, 2018 and February 17, 2019 (subject to the reporting person's continued employment through each applicable vesting date) and, to the extent vested, become exercisable only on and after the first trading day following the trading day on which the closing price of SunCoke Energy, Inc. common stock equals or exceeds $9.50/share for any 15 trading days during the three-year period beginning on the grant date. Once exercisable, these performance options will have an exercise (or "strike") price of $6.03/share. |