Filing Details

Accession Number:
0001179110-10-005462
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-03-17 13:00:00
Reporting Period:
2010-03-12
Filing Date:
2010-03-17
Accepted Time:
2010-03-17 06:09:40
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
1356391 A Lisa Honnold 4211 W. Boy Scout Blvd.
Tampa FL 33607
Senior Vp & Controller 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 2010-03-12 927 $47.97 16,402 No 4 M Direct
Common Stock Acquisiton 2010-03-12 3,431 $15.83 19,833 No 4 M Direct
Common Stock Disposition 2010-03-12 4,358 $87.44 15,475 No 4 S Direct
Common Stock Disposition 2010-03-14 188 $87.14 15,287 No 4 F Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 S Direct
No 4 F Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Non-qualified stock option Disposition 2010-03-12 927 $0.00 927 $47.97
Common Stock Non-qualified stock option Disposition 2010-03-12 3,431 $0.00 3,431 $15.83
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
927 2018-02-27 No 4 M Direct
6,862 2019-02-27 No 4 M Direct
Footnotes
  1. Includes shares held by Reporting Person under Employee Stock Purchase Plan.
  2. Options vest in 3 equal annual installments beginning 2/27/09.
  3. Options vest in 3 equal annual installments beginning 2/27/10.
  4. Payment of tax liability by delivering securities incident to the vesting of a security issued in accordance with Rule 16b-3.
  5. 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.