Filing Details
- Accession Number:
- 0001179110-11-004389
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-03-07 07:37:15
- Reporting Period:
- 2011-03-04
- Filing Date:
- 2011-03-07
- Accepted Time:
- 2011-03-07 07:37:15
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 837173 | Walter Energy Inc. | WLT | Bituminous Coal & Lignite Mining (1220) | 133429953 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1485027 | T Michael Madden | 16243 Highway 216 Brookwood AL 35444 | Svp-Sales & Marketing | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2011-03-04 | 10,000 | $21.02 | 36,498 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-03-04 | 3,642 | $25.24 | 40,140 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-03-04 | 1,081 | $47.97 | 41,221 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-03-04 | 959 | $83.52 | 42,180 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-03-04 | 15,682 | $129.33 | 26,498 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-qualified stock option | Acquisiton | 2011-03-04 | 10,000 | $0.00 | 10,000 | $21.02 |
| Common Stock | Non-qualified stock option | Acquisiton | 2011-03-04 | 3,642 | $0.00 | 3,642 | $25.24 |
| Common Stock | Non-qualified stock option | Acquisiton | 2011-03-04 | 1,081 | $0.00 | 1,081 | $47.97 |
| Common Stock | Non-qualified stock option | Acquisiton | 2011-03-04 | 959 | $0.00 | 959 | $83.52 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 18,139 | 2016-10-24 | No | 4 | M | Direct | |
| 0 | 2017-01-31 | No | 4 | M | Direct | |
| 0 | 2018-02-27 | No | 4 | M | Direct | |
| 1,918 | 2020-03-02 | No | 4 | P | Direct |
Footnotes
- Options vest in 3 equal annual installments beginning 10/24/07, subject to continued employment.
- Options vest in 3 equal annual installments beginning 01/31/08, subject to continued employment.
- Options vest in 3 equal annual installments beginning 02/27/09, subject to continued employment.
- Options vest in 3 equal annual installments beginning 03/02/11, subject to continued employment.
- Includes shares held by reporting Person under Employee Stock Purchase Plan.
- Represents the weighted average sale price for price increments ranging from $129.30 to $129.42. The Reporting Person will undertake to provide, upon request of the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
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