0001179110-11-004389.txt : 20110307 0001179110-11-004389.hdr.sgml : 20110307 20110307073715 ACCESSION NUMBER: 0001179110-11-004389 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110304 FILED AS OF DATE: 20110307 DATE AS OF CHANGE: 20110307 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Madden Michael T CENTRAL INDEX KEY: 0001485027 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13711 FILM NUMBER: 11666661 MAIL ADDRESS: STREET 1: 16243 HIGHWAY 216 CITY: BROOKWOOD STATE: AL ZIP: 35444 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Walter Energy, Inc. CENTRAL INDEX KEY: 0000837173 STANDARD INDUSTRIAL CLASSIFICATION: BITUMINOUS COAL & LIGNITE MINING [1220] IRS NUMBER: 133429953 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4211 W. BOY SCOUT BLVD. CITY: TAMPA STATE: FL ZIP: 33607 BUSINESS PHONE: 8138714811 MAIL ADDRESS: STREET 1: 4211 W. BOY SCOUT BLVD. STREET 2: 4211 W. BOY SCOUT BLVD. CITY: TAMPA STATE: FL ZIP: 33607 FORMER COMPANY: FORMER CONFORMED NAME: WALTER INDUSTRIES INC /NEW/ DATE OF NAME CHANGE: 19950207 FORMER COMPANY: FORMER CONFORMED NAME: HILLSBOROUGH HOLDINGS CORP DATE OF NAME CHANGE: 19910814 4 1 edgar.xml FORM 4 - X0303 4 2011-03-04 0 0000837173 Walter Energy, Inc. WLT 0001485027 Madden Michael T 16243 HIGHWAY 216 BROOKWOOD AL 35444 0 1 0 0 SVP-Sales & Marketing Common Stock 2011-03-04 4 M 0 10000 21.02 A 36498.23 D Common Stock 2011-03-04 4 M 0 3642 25.24 A 40140.23 D Common Stock 2011-03-04 4 M 0 1081 47.97 A 41221.23 D Common Stock 2011-03-04 4 M 0 959 83.52 A 42180.23 D Common Stock 2011-03-04 4 S 0 15682 129.33 D 26498.23 D Non-qualified stock option 21.02 2011-03-04 4 M 0 10000 0 A 2016-10-24 Common Stock 10000 18139 D Non-qualified stock option 25.24 2011-03-04 4 M 0 3642 0 A 2017-01-31 Common Stock 3642 0 D Non-qualified stock option 47.97 2011-03-04 4 M 0 1081 0 A 2018-02-27 Common Stock 1081 0 D Non-qualified stock option 83.52 2011-03-04 4 P 0 959 0 A 2020-03-02 Common Stock 959 1918 D Options vest in 3 equal annual installments beginning 10/24/07, subject to continued employment. Options vest in 3 equal annual installments beginning 01/31/08, subject to continued employment. Options vest in 3 equal annual installments beginning 02/27/09, subject to continued employment. Options vest in 3 equal annual installments beginning 03/02/11, subject to continued employment. Includes shares held by reporting Person under Employee Stock Purchase Plan. Represents the weighted average sale price for price increments ranging from $129.30 to $129.42. The Reporting Person will undertake to provide, upon request of the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. Catherine C. Bona, by power of attorney 2011-03-07