SEC Form 4 · accession 0000919574-17-003814
PEABODY ENERGY CORP · BTU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Robert K. Citrone
10% Owner
Period of report
May 4, 2017
Accepted (ET)
May 8, 2017 · 5:29 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, $0.01 par valueF1,F2 | May 4, 2017 | S | 1,852,496 | $23.09 | D | 13,210,534 | I | See Footnote |
| Common Stock, $0.01 par valueF3,F4 | May 4, 2017 | S | 4,337,504 | $23.09 | D | 8,707,776 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Person's previous Form 4 filing reported 15,063,034 shares deemed to be beneficially owned by the Reporting Person. Because fractional shares upon exercise of the Warrants were not issued pursuant to the Warrant Agreement, the number of shares deemed to be beneficially owned by the Reporting Person as of the date of the previous Form 4 was 15,063,030.
- F2The securities are held in the accounts of various clients of Discovery Capital Management, LLC ("Discovery") and may be deemed to be beneficially owned by Discovery, as the investment manager to such clients, and Robert K. Citrone, as the managing member of Discovery.
- F3The Reporting Person's previous Form 4 filing reported 13,045,282 shares deemed to be beneficially owned by the Reporting Person. Because fractional shares upon exercise of the Warrants were not issued pursuant to the Warrant Agreement, the number of shares deemed to be beneficially owned by the Reporting Person as of the date of the previous Form 4 was 13,045,280
- F4The securities are held in the account of Discovery Global Opportunity Partners, LP (the "Fund") and may be deemed to be beneficially owned by Discovery, as the general partner of the Fund, and Robert K. Citrone, as the managing member of Discovery.