SEC Form 4 · accession 0001140361-17-016309
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 18, 2017
Accepted (ET)
Apr 20, 2017 · 5:20 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 18, 2017 | P | 172,055 | $24.0737 | A | 1,477,659 | D | |
| Common Stock, par value $0.01 per ShareF1 | Apr 18, 2017 | P | 16,000 | $23.8599 | A | 1,493,659 | D | |
| Common Stock, par value $0.01 per ShareF1 | Apr 18, 2017 | X | 94 | $0.01 | A | 1,493,753 | D | |
| Common Stock, par value $0.01 per ShareF1 | Apr 19, 2017 | P | 74,016 | $24.9221 | A | 1,567,769 | 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) | $0.01 | Apr 18, 2017 | X | 94 | D | Apr 3, 2017 | Jul 3, 2017 | Common Stock | 94 | 0 | 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.