Initial Statement of Beneficial Ownership (3)
May 17 2019 - 2:02PM
Edgar (US Regulatory)
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FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Quanci John F
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2. Date of Event Requiring Statement (MM/DD/YYYY)
5/9/2019
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3. Issuer Name
and
Ticker or Trading Symbol
SunCoke Energy, Inc. [SXC]
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(Last)
(First)
(Middle)
1011 WARRENVILLE ROAD, SUITE 600
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Vice President, Technology and /
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(Street)
LISLE, IL 60532
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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15496
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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RSU's (02.13.19)
(1)
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(2)
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(2)
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Common Stock
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10163
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$0
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D
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RSU's (02.14.18)
(3)
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(2)
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(2)
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Common Stock
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4006
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$0
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D
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RSU's (02.15.17)
(4)
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(2)
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(2)
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Common Stock
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1380
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$0
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D
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Stock Options (02.13.2019)
(5)
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2/13/2020
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2/13/2029
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Common Stock
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8175
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$9.87
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D
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Stock Options (02.14.2018)
(5)
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2/14/2019
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2/14/2028
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Common Stock
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3905
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$10.49
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D
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Stock Options (02.15.2017)
(5)
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2/15/2018
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2/15/2027
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Common Stock
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2630
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$9.85
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D
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Stock Options (02.17.2016)
(5)
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2/17/2017
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2/17/2026
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Common Stock
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4532
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$3.80
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D
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Stock Options (02.18.2015)
(5)
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2/18/2016
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2/18/2025
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Common Stock
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9406
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$16.90
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D
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Stock Options (02.20.2013)
(5)
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2/20/2014
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2/20/2023
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Common Stock
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5290
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$16.55
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D
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Stock Options (02.26.2014)
(5)
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2/26/2015
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2/26/2024
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Common Stock
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5028
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$22.30
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D
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Stock Options (07.21.2011)
(5)
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7/21/2012
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7/21/2021
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Common Stock
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18182
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$17.39
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D
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Explanation of Responses:
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(1)
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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 installments commencing on February 13, 2019.
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(2)
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Not applicable.
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(3)
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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 installments. Vesting commenced on February 13, 2018.
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(4)
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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 installments. Vesting commenced on February 13, 2017.
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(5)
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Grant of stock options (right to buy SunCoke Energy, Inc. common stock) awarded pursuant to the SunCoke Energy, Inc. Long-Term Performance Enhancement Plan in a transaction exempt under Rule 16b-3. These stock options are exercisable during a term expiring ten years from the date of grant, and exercisable in three equal annual installments commencing on the first anniversary of the grant date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Quanci John F
1011 WARRENVILLE ROAD
SUITE 600
LISLE, IL 60532
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Vice President, Technology and
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Signatures
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/s/ Rita M. Slager, attorney-in-fact
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5/17/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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