SEC Form 4 · accession 0001247524-19-000011
WARRIOR MET COAL, INC. · HCC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dale W Boyles
Officer — Chief Financial Officer
Period of report
Feb 8, 2019
Accepted (ET)
Feb 12, 2019 · 5:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001691303
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Feb 8, 2019 | A | 3,003 | $0.00 | A | 39,480 | D | |
| Common StockF2 | Feb 8, 2019 | F | 877 | $27.08 | D | 38,603 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF5 | — | Feb 8, 2019 | A | 7,662 | A | — | — | Common Stock | 7,662 | 7,662 | D |
| Restricted Stock UnitsF4 | — | holding | — | — | — | — | — | Common Stock | 3,266 | 3,266 | D |
Explanation of responses
- F1Represents the issuance of shares of common stock of the issuer pursuant to the performance-based restricted stock units granted to the reporting person on March 5, 2018 based on the issuer's performance during the performance period from January 1, 2018 through December 31, 2018. This transaction is exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-3(d) thereunder.
- F2Includes 9,415 shares of restricted stock granted to the reporting person on January 1, 2017 under the Warrior Met Coal, Inc. 2016 Equity Incentive Plan, which vest in equal installments on January 1, 2020, January 1, 2021 and January 1, 2022.
- F3Represents the withholding of shares for tax purposes.
- F4The 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 March 5, 2018, the date of grant.
- F5The 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 February 8, 2019, the date of grant.