SEC Form 4 · accession 0000899243-17-009570
PEABODY ENERGY CORP · BTU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kemal Williamson
Officer — PRESIDENT - AMERICAS
Period of report
Apr 3, 2017
Accepted (ET)
Apr 5, 2017 · 8:02 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 | Apr 3, 2017 | J | 7,140 | $0.00 | D | 0 | D | |
| Common StockF2 | Apr 3, 2017 | A | 226,963 | $0.00 | A | 226,963 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Pursuant to the Second Amended Joint Plan of Reorganization of Debtors and Debtors in Possession as revised March 15, 2017 (the "Plan of Reorganization") approved by the issuer's board of directors and confirmed by the United States Bankruptcy Court for the Eastern District of Missouri, all shares of the issuer's common stock outstanding prior to the effective date of the Plan of Reorganization (April 3, 2017), including all options to purchase common stock and other equity awards, were cancelled and extinguished on the effective date of the Plan of Reorganization for no value.
- F2Represent restricted stock units ("RSU") that will vest in three equal annual installments on the first, second and third anniversaries of the grant date of April 3, 2017, subject to the executive officer's continued employment on each applicable vesting date. The RSUs will become fully vested upon a termination of employment by the issuer and its subsidiaries without cause or by the executive officer for good reason or due to a termination of employment with the issuer and its subsidiaries by reason of death or disability.