SEC Form 4 · accession 0000899243-16-027154
PEABODY ENERGY CORP · BTU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Charles F Meintjes
Officer — President - Australia
Period of report
Aug 11, 2016
Accepted (ET)
Aug 15, 2016 · 5:51 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001064728
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 11, 2016 | J | 624 | $0.00 | D | 9,210 | D | |
| Common Stock | Aug 11, 2016 | J | 789 | $0.00 | D | 8,421 | D | |
| Common StockF2 | Aug 11, 2016 | J | 155 | $0.00 | D | 9,485 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On April 13, 2016, the Issuer filed voluntarily petitions under Chapter 11 of Title 11 of the U.S. Code (the "Bankruptcy Code") in the U.S. Bankruptcy Court for the Eastern District of Missouri. Section 503(c) of the Bankruptcy Code places limitations on payments made to insiders; as such, the Reporting Person's prepetition restricted stock awards are prohibited from vesting while the Issuer is in bankruptcy and the Issuer has therefore cancelled such awards.
- F2Reflects three additional shares issued by the Issuer to the Reporting Person on December 11, 2015 in connection with the implementation of the Issuer's 1-for-15 reverse stock split which occurred on October 1, 2015. Reflects 1,256 shares which were previously held indirectly in a trust but which are now held directly by the Reporting Person. The amount of shares held by the Reporting Person no longer include 151 shares held indirectly through the Issuer's 401(k) plan. As of March 2016, the Issuer no longer offered its stock as an investment option under the Issuer's 401(k) plan.