Filing Details
- Accession Number:
- 0001179110-10-017340
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-12-10 16:06:35
- Reporting Period:
- 2010-12-09
- Filing Date:
- 2010-12-10
- Accepted Time:
- 2010-12-10 16:06:35
- 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 | 2010-12-09 | 11,639 | $21.02 | 57,549 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2010-12-09 | 6,698 | $25.24 | 64,247 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2010-12-09 | 7,652 | $15.83 | 71,899 | No | 4 | M | Direct | |
Common Stock | Disposition | 2010-12-09 | 25,989 | $112.39 | 45,910 | 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 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Non-qualified stock option | Disposition | 2010-12-09 | 11,639 | $0.00 | 11,639 | $21.02 |
Common Stock | Non-qualified stock option | Disposition | 2010-12-09 | 6,698 | $0.00 | 6,698 | $25.24 |
Common Stock | Non-qualified stock option | Disposition | 2010-12-09 | 7,652 | $0.00 | 7,652 | $15.83 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2016-10-24 | No | 4 | M | Direct | |
0 | 2017-01-31 | No | 4 | M | Direct | |
15,302 | 2019-02-27 | No | 4 | M | Direct |
Footnotes
- 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.
- Options vest in 3 equal annual installments beginning 01/31/08.
- Options vest in 3 equal annual installments beginning 02/27/10.
- Includes shares held by Reporting Person under Employee Stock Purchase Plan.
- Represents the weighted average purchase price for price increments ranging from $112.05 to $112.65. The Reporting Person will undertake to provide, upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.