Sec Form 4 Filing - Gates Katherine T @ SunCoke Energy, Inc. - 2019-02-13

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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1. Name and Address of Reporting Person
Gates Katherine T
2. Issuer Name and Ticker or Trading Symbol
SunCoke Energy, Inc. [ SXC]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Sr VP & General Counsel
(Last) (First) (Middle)
1011 WARRENVILLE ROAD, STE. 600
3. Date of Earliest Transaction (MM/DD/YY)
02/13/2019
(Street)
LISLE, IL60532
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock ( 1 ) 02/17/2019 J 31,865 A $ 9.87 39,781 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
RSU's (02.13.19) ( 2 ) ( 3 ) 02/13/2019 A 12,765 02/13/2020 02/13/2022 Common Stock 12,765 $ 0 25,530 D
Stock Options (02.13.19) ( 4 ) $ 9.87 02/13/2019 A 20,537 02/13/2020 02/13/2029 Common Stock 20,537 $ 9.87 41,074 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Gates Katherine T
1011 WARRENVILLE ROAD, STE. 600
LISLE, IL60532
Sr VP & General Counsel
Signatures
/s/ Rita M. Slager, attorney-in-fact 02/15/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Represent settlement of Performance Share Unit ("PSU") award granted February 17, 2016 pursuant to SunCoke Energy, Inc. ("SXC") Long Term Performance Plan in a transaction exempt under Rule 16b-3. PSU award settled, at the end of applicable three-year vesting period, in shares of SXC common stock, (net of shares withheld by Registrant to satisfy minimum statutory withholding requirements).
( 2 )Grant of 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 annual installments commencing on February 13, 2020.
( 3 )Conversion rate is 1 for 1.
( 4 )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 and exercisable in three equal annual installments commencing on February 13, 2020.

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