Filing Details
- Accession Number:
- 0001209191-10-059679
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-12-10 16:35:52
- Reporting Period:
- 2010-12-09
- Filing Date:
- 2010-12-10
- Accepted Time:
- 2010-12-10 16:35:52
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1040719 | Walter Investment Management Corp | WAC | Real Estate Investment Trusts (6798) | 133950486 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1215706 | E Charles Cauthen | C/O Walter Investment Management Corp. 3000 Bayport Drive, Suite 1100 Tampa FL 33607 | President & Coo | 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 | 2010-12-09 | 10,000 | $13.37 | 324,189 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2010-06-01 | 27 | $16.36 | 324,216 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2010-08-30 | 27 | $16.49 | 324,243 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2010-11-26 | 27 | $17.21 | 324,270 | No | 4 | P | Direct | |
| Common Stock | Disposition | 2010-12-09 | 949 | $17.35 | 323,321 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-12-09 | 7,635 | $17.36 | 315,686 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-12-09 | 1,316 | $17.37 | 314,370 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-12-09 | 100 | $17.38 | 314,270 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-12-09 | 111 | $17.40 | 314,159 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-12-09 | 300 | $17.42 | 313,859 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-12-09 | 100 | $17.48 | 313,759 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2010-12-09 | 10,000 | $0.00 | 10,000 | $13.37 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 40,000 | 2019-05-19 | No | 4 | M | Direct |
Footnotes
- Prior to April 17, 2009, the Reporting Person held Walter Energy, Inc. (f/k/a Walter Industries, Inc.) shares in the Walter Energy Employee Stock Purchase Plan ("Walter ESPP"). These shares were converted to Walter Investment Management Corp. ("WIMC") shares on or about April 17, 2009 in connection with the spin off of Walter Energy's mortgage servicing business and the merger of that business with Hanover Capital Mortgage Holdings, Inc.; however, the shares remained in the Walter ESPP. Dividends paid in 2010 on the WIMC shares in the Walter ESPP were automatically reinvested in WIMC shares, which shares are included in the shares being reported hereby. The Reporting Person disclaims any requirement to report these acquisitions under Section 16(a) of the Securities Exchange Act of 1934, and this footnote is included for informational purposes only.
- 50,000 options were awarded to the Reporting Person on April 19, 2009. The options vest one third per year beginning on April 19, 2010.
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