SEC Form 4 · accession 0001209191-15-002505
PEABODY ENERGY CORP · BTU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher J Hagedorn
Officer — President-Asia & Trading
Period of report
Jan 2, 2015
Accepted (ET)
Jan 6, 2015 · 6:21 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 StockF1,F2 | Jan 2, 2015 | A | 14,212 | $0.00 | A | 146,727 | D | |
| Common StockF2 | Jan 3, 2015 | F | 10,792 | $0.00 | D | 135,935 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F4,F3 | $7.74 | Jan 2, 2015 | A | 41,812 | A | — | Jan 2, 2025 | Common Stock | 41,812 | 41,812 | D |
Explanation of responses
- F1Represents a restricted stock award that vests on January 2, 2017.
- F2Includes 5,106 shares held by the reporting person in the Company's Employee Stock Purchase Plan.
- F3The options vest in three equal annual installments beginning January 2, 2016.
- F4Does not include employee stock options with different expiration dates and exercise prices.