Filing Details
- Accession Number:
- 0001179110-10-004361
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2010-03-03 12:00:00
- Reporting Period:
- 2009-11-04
- Filing Date:
- 2010-03-03
- Accepted Time:
- 2010-03-03 17:14:53
- Original Submission Date:
- 2009-11-06
- 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 |
|---|---|---|---|---|---|---|---|
| 1428655 | C Charles Stewart | 3500 35Th Avenue North Birmingham AL 35207 | Pres.,Coo,Walter Coke | 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 | 2009-11-04 | 23,000 | $21.02 | 72,792 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2009-11-04 | 20,000 | $62.50 | 52,792 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2009-11-04 | 1,837 | $62.50 | 50,955 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2009-11-05 | 1,000 | $0.00 | 49,955 | No | 4 | G | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | F | Direct | |
| No | 4 | G | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-qualified stock option | Disposition | 2009-11-04 | 23,000 | $0.00 | 23,000 | $21.02 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 11,639 | 2016-10-24 | No | 4 | M | Direct |
Footnotes
- In connection with the spin-off of Mueller Water Products, Inc. on December 14, 2006 and under the anti-dilution provisions of the Company's 2002 Long-Term Incentive Award Plan, these options were modified on December 15, 2006 to preserve the intrinsic value of the awards. The number of shares of the modified awards was determined by multiplying the number of outstanding shares underlying the equity awards by 1.9426 and by dividing the stock option exercise price by the same adjustment ratio. This adjustment ratio was obtained by dividing the closing price of the Company's Common Stock in the "regular way" market on December 14, 2006 ($49.05) by the "ex-dividend" opening price of the Company's Common Stock on the New York Stock Exchange on December 15, 2006 ($25.25).
- Under the anti-dilution provisions of the Company's 2002 Long-Term Incentive Award Plan and in connection with the spin-off of Walter Investment Management Corp. on April 17, 2009, the number of non-qualified stock options held by the Reporting Person was adjusted to preserve the intrinsic value of the awards. The number of shares of the modified awards was determined by multiplying the number of outstanding shares underlying the equity awards by 1.11445 and by dividing the stock option exercise price by the same adjustment ratio.
- Options vest in 3 equal annual installments beginning 10/24/07.
- Includes shares held by Reporting Person under Employee Stock Purchase Plan.
- Under the anti-dilution provisions of the Company's 2002 Long-Term Incentive Award Plan and in connection with the spin-off of Walter Investment Management Corp. on April 17, 2009, the number of restricted stock units held by the Reporting Person was adjusted to preserve the intrinsic value of the awards. The adjustment was effected by multiplying the number of units by a factor of 1.11445.
- Shares were disposed of by gift.
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