SEC Info - Ball M Leroy - ‘4’ for 3/3/20 re: Koppers Holdings Inc.

FORM 4

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
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

BALL M LEROY

(Last)

(First)

(Middle)

436 SEVENTH AVENUE

(Street)

PITTSBURGH

15219

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
Koppers Holdings Inc. [ KOP ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
X	Officer (give title below)	Other (specify below)
President and CEO

3. Date of Earliest Transaction (Month/Day/Year)
3/3/20

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	3/3/20		M		22,675	A	⁽¹⁾	203,570.2224	D
Common Stock	3/3/20		M		2,268	A	⁽¹⁾	205,838.2224	D
Common Stock	3/3/20		F ⁽²⁾		9,787	D	$19.63	196,051.2224	D
Common Stock ⁽³⁾	3/3/20		A		26,422	A	$0.00	222,473.2224	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 (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 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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Stock Units	⁽¹⁾	3/3/20		M			22,675	⁽⁴⁾	⁽⁴⁾	Common Stock	22,675	$0.00	0	D
Restricted Stock Units	⁽¹⁾	3/3/20		M			2,267	⁽⁵⁾	⁽⁵⁾	Common Stock	2,267	$0.00	2,268	D
Employee Stock Options (Right to Buy)	$19.63	3/3/20		A		92,180		⁽⁶⁾	3/3/30	Common Stock	92,180	$0.00	92,180	D

Explanation of Responses:

(1) Restricted stock units convert into common stock on a one-for-one basis.

(2) Shares surrendered to the issuer by the reporting person as payment for tax withholding related to the vesting of performance share units.

(3) The reporting person was awarded time-based restricted stock units on March 3, 2020, which will vest in annual installments of 25 percent over four years.

(4) Represents previously granted performance share units for which the performance criteria for the three-year performance period from January 1, 2017 through December 31, 2019 have been satisfied, as reported in the reporting person's Form 4 filed on February 13, 2020, as amended on February 18, 2020.

(5) On March 3, 2017, the reporting person was granted restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date.

(6) The reporting person was granted stock options on March 3, 2020, which will vest in annual installments of 25 percent over four years.

Remarks:

	/s/Stephanie L. Apostolou, Attorney in Fact	3/5/20
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.

____________ Transaction Codes:
A	Grant, award or other acquisition pursuant to Rule 16b-3(d).
F	Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
M	Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.

Ball M Leroy – ‘4’ for 3/3/20 re: Koppers Holdings Inc.

On: Thursday, 3/5/20, at 7:12pm ET · For: 3/3/20 · Accession #: 1209191-20-16775 · File #: 1-32737

Previous ‘4’: ‘4/A’ on 2/18/20 for 2/11/20 · Next: ‘4/A’ on 3/9/20 for 3/3/20 · Latest: ‘4’ on 3/7/24 for 3/6/24

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Ball M Leroy – ‘4’ for 3/3/20 re: Koppers Holdings Inc.

On: Thursday, 3/5/20, at 7:12pm ET · For: 3/3/20 · Accession #: 1209191-20-16775 · File #: 1-32737

Previous ‘4’: ‘4/A’ on 2/18/20 for 2/11/20 · Next: ‘4/A’ on 3/9/20 for 3/3/20 · Latest: ‘4’ on 3/7/24 for 3/6/24

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents