SEC Form 4 · accession 0001247524-15-000095
Walter Energy, Inc. · WLTGQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Earl H Doppelt
Officer — EVP - General Counsel & Sec
Period of report
Feb 19, 2015
Accepted (ET)
Feb 23, 2015 · 6:32 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000837173
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 19, 2015 | F | 345 | $1.02 | D | 51,888 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-qualified stock optionsF2 | $1.02 | Feb 19, 2015 | A | 71,314 | A | — | Feb 19, 2025 | Common Stock | 71,314 | 71,314 | D |
Explanation of responses
- F1Payment of tax liability by delivering or withholding securities incident to the vesting of securities issued in accordance with Rule 16b-3.
- F2Options vest in 3 equal annual installments beginning 2/19/16.