SEC Form 4/A · accession 0000899243-16-027767
PEABODY ENERGY CORP · BTU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Charles F Meintjes
Officer — President - Australia
Period of report
Aug 11, 2016
Accepted (ET)
Aug 19, 2016 · 5:35 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 StockF2 | Aug 11, 2016 | J | 155 | $0.00 | D | 9,525 | 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.
- F2This Form 4 is filed for the purpose of correcting an error in a Form 4 filed by the Reporting Person on August 15, 2016 (the "Prior Form 4"), which incorrectly reported the amount of securities beneficially owned following the transactions reported in the Prior Form 4 as a result of an inadvertent mathematical error. The amount reported in this Form 4 reflects the correct amount of securities beneficially owned following the transactions that were previously reported in the Prior Form 4.