SEC Form 4 · accession 0000902664-18-000594
PEABODY ENERGY CORP · BTU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
ELLIOTT ASSOCIATES, L.P.
10% Owner
Period of report
Jan 31, 2018
Accepted (ET)
Feb 2, 2018 · 5:20 pm EST
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, $0.01 par value per share (the "Common Stock")F3,F1,F2 | Jan 31, 2018 | C | 4,526,600 | — | A | 11,308,687 | I | See footnotes |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF1,F3,F2 | $40.30 | Jan 31, 2018 | C | 2,404,192 | A | — | — | Common Stock | 4,526,600 | 0 | I |
Explanation of responses
- F1This Form 4 is filed by Elliott Associates, L.P. ("Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
- F2Securities owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person.
- F3Pursuant to the terms of the Certificate of Designation of the Series A Convertible Preferred Stock, the shares of Series A Convertible Preferred Stock automatically converted into shares of Common Stock without any action by the Reporting Person on January 31, 2018. These shares of Series A Convertible Preferred Stock had no expiration date.