Filing Details
- Accession Number:
- 0001179110-11-004391
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-03-07 07:37:53
- Reporting Period:
- 2011-03-03
- Filing Date:
- 2011-03-07
- Accepted Time:
- 2011-03-07 07:37:53
- 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 |
|---|---|---|---|---|---|---|---|
| 1513983 | C Catherine Bona | 4211 W. Boy Scout Blvd. Tampa FL 33607 | Vp,Interim Gen.counsel,Secy. | 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 | 2011-03-03 | 371 | $26.18 | 10,232 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-03-03 | 433 | $47.97 | 10,665 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-03-03 | 3,431 | $15.83 | 14,096 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-03-03 | 240 | $83.52 | 14,336 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-03-03 | 4,475 | $125.00 | 9,861 | 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 | 2011-03-03 | 371 | $0.00 | 371 | $26.18 |
| Common Stock | Non-qualifed stock option | Acquisiton | 2011-03-03 | 433 | $0.00 | 433 | $47.97 |
| Common Stock | Non-qualifed stock option | Acquisiton | 2011-03-03 | 3,431 | $0.00 | 3,431 | $15.83 |
| Common Stock | Non-qualified stock option | Acquisiton | 2011-03-03 | 240 | $0.00 | 240 | $83.52 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-04-25 | No | 4 | M | Direct | |
| 0 | 2018-02-27 | No | 4 | M | Direct | |
| 1,715 | 2019-02-27 | No | 4 | M | Direct | |
| 478 | 2020-03-02 | No | 4 | M | Direct |
Footnotes
- Includes shares held by Reporting Person under Employee Stock Purchase Plan.
- Options vest in 3 equal annual installments beginning 4/25/08, 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 02/27/2010, with last installment subject to accelerated vesting on 3/31/11, subject to continued employment.
- Options vest in 3 equal installments on 2/27/2011, 3/31/2011 and the earlier of 3/2/2013 or termination of employment.
Billionaire Hedge Funds
