SEC Form 4 · accession 0001127602-18-015253
WARRIOR MET COAL, INC. · HCC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen D. Williams
Director
Period of report
Apr 23, 2018
Accepted (ET)
Apr 25, 2018 · 5:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001691303
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | — | Apr 23, 2018 | A | 6,302 | A | — | — | Common Stock | 6,302 | 6,302 | D |
| Restricted Stock UnitsF2 | — | holding | — | — | — | — | — | Common Stock | 13,157 | 13,157 | D |
| Restricted Stock UnitsF3 | — | holding | — | — | — | — | — | Common Stock | 6,053 | 6,053 | D |
| Phantom SharesF4 | — | holding | — | — | — | — | — | Common Stock | 43,580 | 43,580 | D |
Explanation of responses
- F1The restricted stock units were granted to the reporting person under the Warrior Met Coal, Inc. 2017 Equity Incentive Plan, and vest in equal installments on each of the first three anniversaries of April 23, 2018, the date of grant.
- F2The restricted stock units were granted under the Warrior Met Coal, Inc. 2017 Equity Incentive Plan and were fully vested as of April 19, 2017, the date of grant. The units will settle in shares of common stock of Warrior Met Coal, Inc. on a one-for-one basis in a single installment on the earlier to occur of (i) a change of control or (ii) the fifth anniversary of the date of grant.
- F3The restricted stock units were granted under the Warrior Met Coal, Inc. 2017 Equity Incentive Plan and were fully vested as of June 1, 2017, the date of grant. The units will settle in shares of common stock of Warrior Met Coal, Inc. on a one-for-one basis on the earliest of (i) one-third on each of the first three anniversaries of the date of grant; (ii) a change of control; (iii) the undersigned's separation from service with Warrior Met Coal, Inc. or its affiliates; or (iv) death of the undersigned.
- F4The phantom shares were granted under the Warrior Met Coal, LLC 2016 Equity Incentive Plan and were fully vested as of April 1, 2016, the date of grant. The shares will settle in shares of common stock of Warrior Met Coal, Inc. on a one-for-one basis in a single installment on the earlier to occur of (i) a change of control or (ii) the fifth anniversary of the date of grant.