13G Filing: Contrarian Capital and Peabody Energy Corp (BTU)

Page 4 of 5 – SEC Filing

ITEM 4. OWNERSHIP.
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
(a)
Amount beneficially owned:
9,534,678 Common Shares (which includes (i) 4,455,748 Common Shares held by the Reporting Person and (ii) an incremental 5,078,930 Common Shares, giving effect to conversion of the Preferred Shares held by the Reporting Person)
2,587,576 Perferred Shares
(b)
Percent of class: 9.3% of total Common Shares / 13.5% of total Preferred Shares
(c)
Number of shares as to which such person has:
(i)
Sole power to vote or to direct the vote
0
(ii)
Shared power to vote or to direct the vote
9,534,678 Common Shares
2,587,576 Preferred Shares
(iii)
Sole power to dispose or to direct the disposition of
0
(iv)
Shared power to dispose or to direct the disposition of
9,534,678 Common Shares
2,587,576 Preferred Shares
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
N/A.
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
The Company securities disclosed herein are held by funds and accounts advised by the Reporting Person, and each such fund or account has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of the Company securities held by them; no such fund or account holds in excess of 5% of the Common Shares or Preferred Shares.
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
N/A.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
N/A.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP.
N/A.
ITEM 10. CERTIFICATIONS.
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having such purpose or effect.

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