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PEABODY ENERGY CORP — Director's Dealing 2017
Apr 6, 2017
31311_dirs_2017-04-05_778dd174-5632-4fa8-a32b-99791f3c1762.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: PEABODY ENERGY CORP (BTU)
CIK: 0001064728
Period of Report: 2017-04-03
Reporting Person: DISCOVERY CAPITAL MANAGEMENT, LLC / CT (10% Owner)
Reporting Person: Citrone Robert K. (10% Owner)
Reporting Person: Discovery Global Opportunity Partners, L.P. (10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, $0.01 par value | 7000455 | Indirect |
| Common Stock, $0.01 par value | 4998974 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A Convertible Preferred Stock | $ | Common Stock, $0.01 par value (7192536) | Indirect | ||
| Series A Convertible Preferred Stock | $ | Common Stock, $0.01 par value (7445754) | Indirect | ||
| Warrant | $0.01 | 2017-07-03 | Common Stock, $0.01 par value (870363) | Indirect | |
| Warrant | $0.01 | 2017-07-03 | Common Stock, $0.01 par value (600774) | Indirect |
Footnotes
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.