4//SEC Filing
PEABODY ENERGY CORP 4
Accession 0000919574-17-003172
$BTUCIK 0001064728operating
Filed
Apr 4, 8:00 PM ET
Accepted
Apr 5, 7:28 PM ET
Size
28.3 KB
Accession
0000919574-17-003172
Insider Transaction Report
Form 4
Transactions
- Conversion
Common Stock, $0.01 par value
2017-04-03+7,445,754→ 12,444,728 total(indirect: See Footnote) - Conversion
Common Stock, $0.01 par value
2017-04-03+7,192,536→ 14,192,991 total(indirect: See Footnote) - Sale
Common Stock, $0.01 par value
2017-04-05$27.25/sh−320$8,720→ 15,063,034 total(indirect: See Footnote) - Exercise of In-Money
Warrant
2017-04-05−600,774→ 0 total(indirect: See Footnote)Exercise: $0.01From: 2017-04-03Exp: 2017-07-03→ Common Stock, $0.01 par value (600,774 underlying) - Conversion
Series A Convertible Preferred Stock
2017-04-03−3,770,211→ 0 total(indirect: See Footnote)From: 2017-04-03→ Common Stock, $0.01 par value (7,445,754 underlying) - Exercise of In-Money
Common Stock, $0.01 par value
2017-04-05$0.01/sh+600,774$6,008→ 13,045,502 total(indirect: See Footnote) - Conversion
Series A Convertible Preferred Stock
2017-04-03−3,641,992→ 0 total(indirect: See Footnote)From: 2017-04-03→ Common Stock, $0.01 par value (7,192,536 underlying) - Sale
Common Stock, $0.01 par value
2017-04-05$27.25/sh−220$5,995→ 13,045,282 total(indirect: See Footnote) - Exercise of In-Money
Common Stock, $0.01 par value
2017-04-05$0.01/sh+870,363$8,704→ 15,063,354 total(indirect: See Footnote) - Exercise of In-Money
Warrant
2017-04-05−870,363→ 0 total(indirect: See Footnote)Exercise: $0.01From: 2017-04-03Exp: 2017-07-03→ Common Stock, $0.01 par value (870,363 underlying)
Transactions
- Exercise of In-Money
Common Stock, $0.01 par value
2017-04-05$0.01/sh+600,774$6,008→ 13,045,502 total(indirect: See Footnote) - Sale
Common Stock, $0.01 par value
2017-04-05$27.25/sh−320$8,720→ 15,063,034 total(indirect: See Footnote) - Conversion
Series A Convertible Preferred Stock
2017-04-03−3,770,211→ 0 total(indirect: See Footnote)From: 2017-04-03→ Common Stock, $0.01 par value (7,445,754 underlying) - Exercise of In-Money
Warrant
2017-04-05−870,363→ 0 total(indirect: See Footnote)Exercise: $0.01From: 2017-04-03Exp: 2017-07-03→ Common Stock, $0.01 par value (870,363 underlying) - Exercise of In-Money
Warrant
2017-04-05−600,774→ 0 total(indirect: See Footnote)Exercise: $0.01From: 2017-04-03Exp: 2017-07-03→ Common Stock, $0.01 par value (600,774 underlying) - Conversion
Common Stock, $0.01 par value
2017-04-03+7,192,536→ 14,192,991 total(indirect: See Footnote) - Exercise of In-Money
Common Stock, $0.01 par value
2017-04-05$0.01/sh+870,363$8,704→ 15,063,354 total(indirect: See Footnote) - Conversion
Series A Convertible Preferred Stock
2017-04-03−3,641,992→ 0 total(indirect: See Footnote)From: 2017-04-03→ Common Stock, $0.01 par value (7,192,536 underlying) - Conversion
Common Stock, $0.01 par value
2017-04-03+7,445,754→ 12,444,728 total(indirect: See Footnote) - Sale
Common Stock, $0.01 par value
2017-04-05$27.25/sh−220$5,995→ 13,045,282 total(indirect: See Footnote)
Citrone Robert K.
10% Owner
Transactions
- Conversion
Common Stock, $0.01 par value
2017-04-03+7,192,536→ 14,192,991 total(indirect: See Footnote) - Exercise of In-Money
Common Stock, $0.01 par value
2017-04-05$0.01/sh+600,774$6,008→ 13,045,502 total(indirect: See Footnote) - Sale
Common Stock, $0.01 par value
2017-04-05$27.25/sh−220$5,995→ 13,045,282 total(indirect: See Footnote) - Exercise of In-Money
Common Stock, $0.01 par value
2017-04-05$0.01/sh+870,363$8,704→ 15,063,354 total(indirect: See Footnote) - Conversion
Common Stock, $0.01 par value
2017-04-03+7,445,754→ 12,444,728 total(indirect: See Footnote) - Conversion
Series A Convertible Preferred Stock
2017-04-03−3,770,211→ 0 total(indirect: See Footnote)From: 2017-04-03→ Common Stock, $0.01 par value (7,445,754 underlying) - Exercise of In-Money
Warrant
2017-04-05−870,363→ 0 total(indirect: See Footnote)Exercise: $0.01From: 2017-04-03Exp: 2017-07-03→ Common Stock, $0.01 par value (870,363 underlying) - Sale
Common Stock, $0.01 par value
2017-04-05$27.25/sh−320$8,720→ 15,063,034 total(indirect: See Footnote) - Conversion
Series A Convertible Preferred Stock
2017-04-03−3,641,992→ 0 total(indirect: See Footnote)From: 2017-04-03→ Common Stock, $0.01 par value (7,192,536 underlying) - Exercise of In-Money
Warrant
2017-04-05−600,774→ 0 total(indirect: See Footnote)Exercise: $0.01From: 2017-04-03Exp: 2017-07-03→ Common Stock, $0.01 par value (600,774 underlying)
Footnotes (5)
- [F1]The securities are held in the accounts of various clients of Discovery Capital Management, LLC ("Discovery") and may be deemed to be beneficially owned by Discovery, as the investment manager to such clients, and Robert K. Citrone, as the managing member of Discovery.
- [F2]The securities are held in the account of Discovery Global Opportunity Partners, LP (the "Fund") and may be deemed to be beneficially owned by Discovery, as the general partner of the Fund, and Robert K. Citrone, as the managing member of Discovery.
- [F3]The Series A Convertible Preferred Stock has no expiration date and is convertible at a price of $16.25 per share, subject to adjustment as set forth in the Certificate of Designation attached as Exhibit 3.2 to the Issuer's Form 8-K filed on April 3, 2017. Each share of Series A Convertible Preferred Stock converted to approximately 1.975 shares of Common Stock, $0.01 par value.
- [F4]On April 5, 2017, the Reporting Person exercised Warrants to purchase 870,363 shares of Common Stock, $0.01 par value. The Reporting Person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 320 shares to pay the exercise price and issuing the Reporting Person the remaining 870,043 shares.
- [F5]On April 5, 2017, the Reporting Person exercised Warrants to purchase 600,774 shares of Common Stock, $0.01 par value. The Reporting Person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 220 shares to pay the exercise price and issuing the Reporting Person the remaining 600,554 shares.
Documents
Issuer
PEABODY ENERGY CORP
CIK 0001064728
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001064728
Filing Metadata
- Form type
- 4
- Filed
- Apr 4, 8:00 PM ET
- Accepted
- Apr 5, 7:28 PM ET
- Size
- 28.3 KB