SEC Form 4 · accession 0001247524-15-000129
Walter Energy, Inc. · WLTGQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael T Tokarz
Director
Period of report
Apr 1, 2015
Accepted (ET)
Apr 2, 2015 · 6:34 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000837173
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF2,F1,F3 | — | Apr 1, 2015 | A | 71,094 | A | — | — | Common Stock | 71,094 | 200,070 | D |
Explanation of responses
- F1Each share of phantom stock is the economic equivalent of one share of the Issuer's common stock.
- F2Reflects phantom stock acquired through participation in the Issuer's Directors' Deferred Fee Plan.
- F3Payable in common stock on the earlier of the first day of the seventh month following the participant's death or the first day of the seventh month following a termination event.