SEC Form 4 · accession 0001567619-18-005085
PEABODY ENERGY CORP · BTU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
A. Verona Dorch
Officer — EVP,CLO,Govt Affairs&Corp Sec
Period of report
Nov 1, 2018
Accepted (ET)
Nov 5, 2018 · 4:28 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 | Nov 1, 2018 | S | 3,187 | $35.28 | D | 142,456 | D | |
| Common StockF1,F3 | Nov 5, 2018 | S | 25,800 | $35.04 | D | 116,656 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares of Common Stock were sold pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 20, 2018.
- F2The price reported is a weighted average price for the shares sold on November 1, 2018. These shares were sold in multiple transactions at prices ranging from $35.01 to $35.40, inclusive. The reporting person undertakes to provide Peabody Energy Corporation, any security holder of Peabody Energy Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
- F3The price reported is a weighted average price for the shares sold on November 5, 2018. These shares were sold in multiple transactions at prices ranging from $34.99 to $35.25, inclusive. The reporting person undertakes to provide Peabody Energy Corporation, any security holder of Peabody Energy Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.