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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 | ||||||||
Common Stock Units (1) | (2) | 02/15/2012 | A | 67,227 | (3) | (3) | Common Stock | 67,227 | $ 0 | 67,227 | D | ||||
Stock Options (Right to Buy) (4) | $ 14.28 | 02/15/2012 | A | 393,386 | 02/15/2013 | 02/15/2022 | Common Stock | 393,386 | $ 14.28 | 393,386 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HENDERSON FREDERICK A 1011 WARRENVILLE ROAD SUITE 600 LISLE, IL 60532 |
Chairman & CEO |
/s/ Jaime M. Lamana, attorney-in-fact | 02/16/2012 | |
**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) | Grant of restricted common stock units pursuant to the Employment Letter Agreement, dated as of September 2, 2010 and amended as of May 25, 2011 (the "Letter Agreement"), made by Sunoco, Inc. and accepted by Frederick A. Henderson, and awarded under the SunCoke Energy, Inc. Long-Term Performance Enhancement Plan (the "LTPEP"), in a transaction exempt under Rule 16b-3. These restricted share units will vest subject to continued employment, in equal one-fourth installments on the first, second, third and fourth anniversaries of the date of grant. |
(2) | Conversion rate is 1 for 1. |
(3) | Not applicable. |
(4) | Grant of stock options (right to buy SunCoke Energy, Inc. common stock) pursuant to the Letter Agreement and awarded under the LTPEP, in a transaction exempt under Rule 16b-3. These stock options are exercisable in one-third installments on the anniversary of the date of grant. |