SEC Form 4 · accession 0001104659-19-012889

CLOUD PEAK ENERGY INC. · CLD

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — SVP Marketing & Bus Dev.

Period of report

Mar 4, 2019

Accepted (ET)

Mar 5, 2019 · 4:45 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001441849

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F3	Mar 4, 2019	M	63,590	$0.47	A	100,047	D
Common Stock^F2,F3	Mar 4, 2019	F	18,429	$0.47	D	81,618	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F5,F4	—	Mar 4, 2019	M	63,590	D	—	—	Common Stock	63,590	64,650	D

F1Reflects the number of shares of common stock issued by the Issuer in connection with the vesting of 2016 restricted stock units ("RSUs") granted on March 4, 2016 and originally reported in Table II on the Form 4 filed on March 8, 2016.
F2Reflects the number of shares of common stock withheld by the Issuer in satisfaction of the Reporting Person's tax withholding obligation upon the vesting of 2016 RSUs.
F3This total does not include RSUs granted to the Reporting Person in 2017 or 2018 as vested RSUs may be paid in shares, cash or a combination of shares and cash, in the discretion of the Compensation Committee.
F4Each 2016 RSU represented a contingent right to receive the value of one share of Cloud Peak Energy Inc. ("CPE") common stock. The RSUs vested 3 years from the date of grant (which was March 4, 2016). The performance share units that were also granted on March 4, 2016 did not vest and were cancelled based on CPE relative total shareholder return.
F5Reflects RSUs granted to the Reporting Person in 2017 and 2018.