SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Bona Catherine C

(Last) (First) (Middle)
4211 W. BOY SCOUT BLVD.

(Street)
TAMPA FL 33607

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
02/16/2011
3. Issuer Name and Ticker or Trading Symbol
Walter Energy, Inc. [ WLT ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
VP,interim Gen.Counsel,Secy.
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Shares 7,718(1) D
Common Stock(2) 1,442 D
Common Stock(3) 1,070 D
Common Stock(4) 158 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Non-qualified stock option 04/25/2010 04/25/2017 Common Stock 371 $26.18 D
Non-qualified stock options 02/27/2010 02/27/2019 Common Stock 1,716 $15.83 D
Non-qualified stock options (5) 02/27/2018 Common Stock 433 $47.97 D
Non-qualified stock options (5) 02/27/2019 Common Stock 1,715 $15.83 D
Non-qualified stock options (5) 03/02/2020 Common Stock 240 $83.52 D
Non-qualified stock options (6) 02/27/2019 Common Stock 1,715 $15.83 D
Non-qualified stock options (6) 03/02/2020 Common Stock 239 $83.52 D
Non-qualified stock options (7) 03/02/2020 Common Stock 239 $83.52 D
Explanation of Responses:
1. Includes shares held by Reporting Person under Employee Stock Purchase Plan.
2. Award of Restricted Stock Units which vest on 2/27/2011, subject to continued employment.
3. Award of Restricted Stock Units which vest on 3/31/2011, subject to continued employment.
4. Award of Restricted Stock Units which vest upon the earlier of 3/2/2013 or termination of employment.
5. Options vest on 2/27/2011,subject to continued employment.
6. Options vest on 3/31/2011, subject to continued employment.
7. Options vest upon the earlier of 3/2/2013 or termination of employment.
Catherine C. Bona 02/25/2011
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.