SEC Form 4 · accession 0001140361-17-016025
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
Apr 12, 2017
Accepted (ET)
Apr 17, 2017 · 5:38 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, par value $0.01 per ShareF1 | Apr 12, 2017 | M | 51,446 | $0.01 | A | 1,248,633 | D | |
| Common Stock, par value $0.01 per ShareF1 | Apr 12, 2017 | F | 19 | $0.01 | D | 1,248,614 | D | |
| Common Stock, par value $0.01 per ShareF1,F2 | Apr 12, 2017 | M | 282,344 | $0.01 | A | 3,111,267 | I | See footnotes |
| Common Stock, par value $0.01 per ShareF1,F2 | Apr 12, 2017 | F | 93 | $0.01 | D | 3,111,174 | I | See footnotes |
| Common Stock, par value $0.01 per ShareF1 | Apr 13, 2017 | M | 52,721 | $0.01 | A | 1,301,335 | D | |
| Common Stock, par value $0.01 per ShareF1 | Apr 13, 2017 | F | 18 | $0.01 | D | 1,301,317 | D | |
| Common Stock, par value $0.01 per ShareF1,F2 | Apr 13, 2017 | M | 908 | $0.01 | A | 3,112,082 | I | See footnotes |
| Common Stock, par value $0.01 per ShareF1,F3 | Apr 13, 2017 | J | 4,287 | $0.00 | A | 1,305,604 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Warrant (Right to Buy)F4 | $0.01 | Apr 12, 2017 | X | 51,446 | D | Apr 3, 2017 | Jul 3, 2017 | Common Stock | 51,446 | 52,721 | D |
| Common Stock Warrant (Right to Buy)F4,F2 | $0.01 | Apr 12, 2017 | X | 282,344 | D | Apr 3, 2017 | Jul 3, 2017 | Common Stock | 282,344 | 908 | I |
| Common Stock Warrant (Right to Buy)F4 | $0.01 | Apr 12, 2017 | X | 52,721 | D | Apr 3, 2017 | Jul 3, 2017 | Common Stock | 52,721 | 0 | D |
| Common Stock Warrant (Right to Buy)F4,F2 | $0.01 | Apr 13, 2017 | X | 908 | D | Apr 3, 2017 | Jul 3, 2017 | Common Stock | 908 | 0 | I |
| Common Stock Warrant (Right to Buy)F4 | $0.01 | Apr 13, 2017 | J | 94 | A | Apr 3, 2017 | Jul 3, 2017 | Common Stock | 94 | 94 | D |
Explanation of responses
- F1This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
- F2Securities are owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person.
- F3These shares and warrants were acquired in connection with the settlement of certain claims in connection with the Issuer's emergence from Chapter 11 Bankruptcy.
- F4The warrants are currently exercisable.