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PEABODY ENERGY CORP — Director's Dealing 2017
Apr 17, 2017
31311_dirs_2017-04-17_0cbe3ea3-aed2-4e21-bed2-c0a6dab00c30.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 ASSOCIATES, 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 | 51446 | $0.01 | Acquired | 1248633 | Direct |
| 2017-04-12 | Common Stock, par value $0.01 per Share | F | 19 | $0.01 | Disposed | 1248614 | Direct |
| 2017-04-12 | Common Stock, par value $0.01 per Share | M | 282344 | $0.01 | Acquired | 3111267 | Indirect |
| 2017-04-12 | Common Stock, par value $0.01 per Share | F | 93 | $0.01 | Disposed | 3111174 | Indirect |
| 2017-04-13 | Common Stock, par value $0.01 per Share | M | 52721 | $0.01 | Acquired | 1301335 | Direct |
| 2017-04-13 | Common Stock, par value $0.01 per Share | F | 18 | $0.01 | Disposed | 1301317 | Direct |
| 2017-04-13 | Common Stock, par value $0.01 per Share | M | 908 | $0.01 | Acquired | 3112082 | Indirect |
| 2017-04-13 | Common Stock, par value $0.01 per Share | J | 4287 | $0.0 | Acquired | 1305604 | Direct |
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 | 51446 | Disposed | 2017-07-03 | Common Stock (51446) | Direct |
| 2017-04-12 | Common Stock Warrant (Right to Buy) | $0.01 | X | 282344 | Disposed | 2017-07-03 | Common Stock (282344) | Indirect |
| 2017-04-12 | Common Stock Warrant (Right to Buy) | $0.01 | X | 52721 | Disposed | 2017-07-03 | Common Stock (52721) | Direct |
| 2017-04-13 | Common Stock Warrant (Right to Buy) | $0.01 | X | 908 | Disposed | 2017-07-03 | Common Stock (908) | Indirect |
| 2017-04-13 | Common Stock Warrant (Right to Buy) | $0.01 | J | 94 | Acquired | 2017-07-03 | Common Stock (94) | Direct |
Footnotes
F1: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). 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. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F2: Securities are owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person.
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.