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PEABODY ENERGY CORP — Director's Dealing 2017
Apr 17, 2017
31311_dirs_2017-04-17_8504b22a-9e4a-4952-beba-f5faf7f58dcc.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: PEABODY ENERGY CORP (BTU)
CIK: 0001064728
Period of Report: 2017-04-12
Reporting Person: ELLIOTT INTERNATIONAL, L.P. (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-04-12 | Common Stock, par value $0.01 per share | M | 709305 | $0.01 | Acquired | 9264856 | Indirect |
| 2017-04-12 | Common Stock, par value $0.01 per share | F | 257 | $0.01 | Disposed | 9264599 | Indirect |
| 2017-04-13 | Common Stock, par value $0.01 per share | M | 113963 | $0.01 | Acquired | 9378562 | Indirect |
| 2017-04-13 | Common Stock, par value $0.01 per share | F | 40 | $0.01 | Disposed | 9378522 | Indirect |
| 2017-04-13 | Common Stock, par value $0.01 per share | J | 4287 | $0.0 | Acquired | 9382809 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-04-12 | Common Stock Warrant (Right to Buy) | $0.01 | X | 709305 | Disposed | 2017-07-03 | Common Stock (709305) | Indirect |
| 2017-04-13 | Common Stock Warrant (Right to Buy) | $0.01 | X | 113963 | Disposed | 2017-07-03 | Common Stock (113963) | Indirect |
| 2017-04-13 | Common Stock Warrant (Right to Buy) | $0.01 | J | 201 | Acquired | 2017-07-03 | Common Stock (201) | Indirect |
Footnotes
F1: This Form 4 is filed jointly by Elliott International, L.P. ("Elliott International") and Elliott International Capital Advisors Inc. ("EICA" and, together with Elliott International, the "Reporting Persons"). EICA, as the investment manager of Elliott International, may be deemed to beneficially own the securities owned by directly by Elliott International. The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F2: Securities owned by Luxembourg Investment Company 162 S.a R.L, a Luxembourg limited company ("Luxembourg") and a wholly-owned subsidiary of Elliott International. EICA, as the investment manager of Elliott International, may be deemed to beneficially own the securities owned by directly by Luxembourg.
F3: These shares and warrants were acquired in connection with the settlement of certain claims in connection with the Issuer's emergence from Chapter 11 Bankruptcy.
F4: The warrants are currently exercisable.