Statement of Changes in Beneficial Ownership (4)
November 14 2019 - 11:14AM
Edgar (US Regulatory)
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 OF SECURITIES
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3235-0287
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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
*
Lacy Steven R |
2. Issuer Name and Ticker or Trading Symbol
Koppers Holdings Inc.
[
KOP
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Admin. Officer, GC & Sec |
(Last)
(First)
(Middle)
436 SEVENTH AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/12/2019 |
(Street)
PITTSBURGH, PA 15219
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 11/12/2019 | | M | | 7078 | A | $28.10 | 39600.3275 | D | |
Common Stock | 11/12/2019 | | S | | 5615 | D | $42.71 (1) | 34457.3275 (2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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 |
Employee Stock Options (Rights to Buy) | $28.10 | 11/12/2019 | | M | | 7078 | | 2/22/2013 (3) | 2/21/2020 | Common Stock | 7078 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.56 to $42.82, inclusive. The reporting person undertakes to provide to the Securities and Exchange Commission, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price. |
(2) | Includes 472 shares of Koppers Holdings Inc. common stock acquired pursuant to the Koppers Holdings Inc. Employee Stock Purchase Plan ("ESPP"). These acquisitions were exempt under both Rule 16b-3(c) and Rule 16b-3(d). |
(3) | Stock Options exercisable upon reporting person's completion of a consecutive three (3) year period of service measured from the vesting commencement date of February 22, 2010. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Lacy Steven R 436 SEVENTH AVENUE PITTSBURGH, PA 15219 |
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| Chief Admin. Officer, GC & Sec |
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Signatures
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Steven R. Lacy | | 11/14/2019 |
**Signature of Reporting Person | Date |
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