SEC Form 4 · accession 0001209191-15-002550
PEABODY ENERGY CORP · BTU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory H Boyce
Officer — Chairman and CEO · Director
Period of report
Jan 2, 2015
Accepted (ET)
Jan 6, 2015 · 6:46 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 | 142,576 | $0.00 | A | 144,836 | D | |
| Common Stock | holding | — | — | — | 331,370 | I | By Family Trust |
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 | 349,464 | A | — | Jan 2, 2025 | Common Stock | 349,464 | 349,464 | D |
| Stock Appreciation RightF5 | $7.74 | Jan 2, 2015 | A | 70,000 | A | — | Jan 2, 2025 | Common Stock | 70,000 | 70,000 | D |
| Cash-Settled Restricted Stock UnitsF8,F6,F7 | — | Jan 2, 2015 | A | 129,199 | A | — | — | Common Stock | 129,199 | 129,199 | D |
Explanation of responses
- F1Represents a restricted stock award that vests in three equal installments beginning on Janaury 2, 2016.
- F2Includes 2,260 shares acquired under 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.
- F5The stock appreciation rights vest in three equal annual installments beginning January 2, 2016.
- F6Each restricted stock unit represents a contingent right to receive one share of BTU common stock.
- F7The restricted stock units shall become vested on the date of the appointment of the reporting person's successor as Chairman of the Board and will settle in cash rather than through delivery of shares of common stock.
- F8Does not include restricted stock units with different expiration dates and vesting and settlement terms.