SC 13G/A 1 tm225754d4_sc13ga.htm SC 13G/A

 

 

 

CUSIP No:    704551100

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

 

SCHEDULE 13G

 

(Rule 13d-102)

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT

TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED

PURSUANT TO § 240.13d-2.

 

(Amendment No. 5)*

 

Peabody Energy Corporation

(Name of Issuer)

 

Common Stock, $0.01 par value per share

(Title of Class of Securities)

 

704551100

(CUSIP Number)

 

December 31, 2021

(Date of Event Which Requires Filing of this statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

¨ Rule 13d-1(b)

x Rule 13d-1(c)

¨ Rule 13d-1(d)

 

 

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

 

 

 

CUSIP No:    704551100

 

(1)

NAMES OF REPORTING PERSONS

 

Capital Ventures International

 

(2) 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(SEE INSTRUCTIONS)

    (a) ¨
    (b) ¨
   
(3)

SEC USE ONLY

 

(4)

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Cayman Islands

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
(5) Sole Voting Power
0 (1)(2)
 
(6) Shared Voting Power
5,512,564 (1)
 
(7) Sole Dispositive Power
0 (1)(2)
 
(8) Shared Dispositive Power
5,512,564 (1)

 

(9) Aggregate Amount Beneficially Owned by Each Reporting Person
5,512,564 (1)
 
(10) Check box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  ¨
 
(11) Percent of Class Represented by Amount in Row (9)
4.3%
 
(12) Type of Reporting Person (See Instructions)
CO

 

(1) Susquehanna Securities, LLC and G1 Execution Services, LLC are affiliated independent broker-dealers which, together with Capital Ventures International, CVI Opportunities Fund I, LLLP, CVI Opportunities Fund II, LLLP, Susquehanna Advisors Group, Inc. and Susquehanna Fundamental Investments, LLC, may be deemed a group.  For purposes of this report, we have indicated that each reporting person has sole voting and dispositive power with respect to the shares beneficially owned by it and that the reporting persons have shared voting and dispositive power with respect to all shares beneficially owned by all of the reporting persons.  Each of the reporting persons disclaims beneficial ownership of shares owned directly by another reporting person.

(2) Susquehanna Advisors Group, Inc. is the investment manager to Capital Ventures International, CVI Opportunities Fund I, LLLP and CVI Opportunities Fund II, LLLP and, as such, may exercise voting and dispositive power over the shares owned by Capital Ventures International, CVI Opportunities Fund I, LLLP and CVI Opportunities Fund II, LLLP, respectively.

 

 

 

 

CUSIP No:    704551100

 

(1)

NAMES OF REPORTING PERSONS

 

CVI Opportunities Fund I, LLLP

 

(2) 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(SEE INSTRUCTIONS)

    (a) ¨
    (b) ¨
   
(3)

SEC USE ONLY

 

(4)

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
(5) Sole Voting Power
3,546,055 (1)(2)
 
(6) Shared Voting Power
5,512,564 (1)
 
(7) Sole Dispositive Power
3,546,055 (1)(2)
 
(8) Shared Dispositive Power
5,512,564 (1)

 

(9) Aggregate Amount Beneficially Owned by Each Reporting Person
5,512,564 (1)
 
(10) Check box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  ¨
 
(11) Percent of Class Represented by Amount in Row (9)
4.3%
 
(12) Type of Reporting Person (See Instructions)
PN

 

(1) Susquehanna Securities, LLC and G1 Execution Services, LLC are affiliated independent broker-dealers which, together with Capital Ventures International, CVI Opportunities Fund I, LLLP, CVI Opportunities Fund II, LLLP, Susquehanna Advisors Group, Inc. and Susquehanna Fundamental Investments, LLC, may be deemed a group.  For purposes of this report, we have indicated that each reporting person has sole voting and dispositive power with respect to the shares beneficially owned by it and that the reporting persons have shared voting and dispositive power with respect to all shares beneficially owned by all of the reporting persons.  Each of the reporting persons disclaims beneficial ownership of shares owned directly by another reporting person.

(2) Susquehanna Advisors Group, Inc. is the investment manager to Capital Ventures International, CVI Opportunities Fund I, LLLP and CVI Opportunities Fund II, LLLP and, as such, may exercise voting and dispositive power over the shares owned by Capital Ventures International, CVI Opportunities Fund I, LLLP and CVI Opportunities Fund II, LLLP, respectively.

 

 

 

 

CUSIP No:    704551100

 

(1)

NAMES OF REPORTING PERSONS

 

CVI Opportunities Fund II, LLLP

 

(2) 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(SEE INSTRUCTIONS)

    (a) ¨
    (b) ¨
   
(3)

SEC USE ONLY

 

(4)

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
(5) Sole Voting Power
1,187,690 (1)(2)
 
(6) Shared Voting Power
5,512,564 (1)
 
(7) Sole Dispositive Power
1,187,690 (1)(2)
 
(8) Shared Dispositive Power
5,512,564 (1)

 

(9) Aggregate Amount Beneficially Owned by Each Reporting Person
5,512,564 (1)
 
(10) Check box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  ¨
 
(11) Percent of Class Represented by Amount in Row (9)
4.3%
 
(12) Type of Reporting Person (See Instructions)
PN

 

(1) Susquehanna Securities, LLC and G1 Execution Services, LLC are affiliated independent broker-dealers which, together with Capital Ventures International, CVI Opportunities Fund I, LLLP, CVI Opportunities Fund II, LLLP, Susquehanna Advisors Group, Inc. and Susquehanna Fundamental Investments, LLC, may be deemed a group.  For purposes of this report, we have indicated that each reporting person has sole voting and dispositive power with respect to the shares beneficially owned by it and that the reporting persons have shared voting and dispositive power with respect to all shares beneficially owned by all of the reporting persons.  Each of the reporting persons disclaims beneficial ownership of shares owned directly by another reporting person.

(2) Susquehanna Advisors Group, Inc. is the investment manager to Capital Ventures International, CVI Opportunities Fund I, LLLP and CVI Opportunities Fund II, LLLP and, as such, may exercise voting and dispositive power over the shares owned by Capital Ventures International, CVI Opportunities Fund I, LLLP and CVI Opportunities Fund II, LLLP, respectively.

 

 

 

 

CUSIP No:    704551100

 

(1)

NAMES OF REPORTING PERSONS

 

G1 Execution Services, LLC

 

(2) 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(SEE INSTRUCTIONS)

    (a) ¨
    (b) ¨
   
(3)

SEC USE ONLY

 

(4)

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Illinois

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
(5) Sole Voting Power
3,757 (1)
 
(6) Shared Voting Power
5,512,564 (1)
 
(7) Sole Dispositive Power
3,757 (1)
 
(8) Shared Dispositive Power
5,512,564 (1)

 

(9) Aggregate Amount Beneficially Owned by Each Reporting Person
5,512,564 (1)
 
(10) Check box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  ¨
 
(11) Percent of Class Represented by Amount in Row (9)
4.3%
 
(12) Type of Reporting Person (See Instructions)
BD, OO

 

(1) Susquehanna Securities, LLC and G1 Execution Services, LLC are affiliated independent broker-dealers which, together with Capital Ventures International, CVI Opportunities Fund I, LLLP, CVI Opportunities Fund II, LLLP, Susquehanna Advisors Group, Inc. and Susquehanna Fundamental Investments, LLC, may be deemed a group.  For purposes of this report, we have indicated that each reporting person has sole voting and dispositive power with respect to the shares beneficially owned by it and that the reporting persons have shared voting and dispositive power with respect to all shares beneficially owned by all of the reporting persons.  Each of the reporting persons disclaims beneficial ownership of shares owned directly by another reporting person.

 

 

 

 

CUSIP No:    704551100

 

(1)

NAMES OF REPORTING PERSONS

 

Susquehanna Advisors Group, Inc.

 

(2) 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(SEE INSTRUCTIONS)

    (a) ¨
    (b) ¨
   
(3)

SEC USE ONLY

 

(4)

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Pennsylvania

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
(5) Sole Voting Power
0 (1)(2)
 
(6) Shared Voting Power
5,512,564 (1)
 
(7) Sole Dispositive Power
0 (1)(2)
 
(8) Shared Dispositive Power
5,512,564 (1)

 

(9) Aggregate Amount Beneficially Owned by Each Reporting Person
5,512,564 (1)
 
(10) Check box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  ¨
 
(11) Percent of Class Represented by Amount in Row (9)
4.3%
 
(12) Type of Reporting Person (See Instructions)
CO

 

(1) Susquehanna Securities, LLC and G1 Execution Services, LLC are affiliated independent broker-dealers which, together with Capital Ventures International, CVI Opportunities Fund I, LLLP, CVI Opportunities Fund II, LLLP, Susquehanna Advisors Group, Inc. and Susquehanna Fundamental Investments, LLC, may be deemed a group.  For purposes of this report, we have indicated that each reporting person has sole voting and dispositive power with respect to the shares beneficially owned by it and that the reporting persons have shared voting and dispositive power with respect to all shares beneficially owned by all of the reporting persons.  Each of the reporting persons disclaims beneficial ownership of shares owned directly by another reporting person.

(2) Susquehanna Advisors Group, Inc. is the investment manager to Capital Ventures International, CVI Opportunities Fund I, LLLP and CVI Opportunities Fund II, LLLP and, as such, may exercise voting and dispositive power over the shares owned by Capital Ventures International, CVI Opportunities Fund I, LLLP and CVI Opportunities Fund II, LLLP, respectively.

 

 

 

 

CUSIP No:    704551100

 

(1)

Names of Reporting Persons

 

Susquehanna Fundamental Investments, LLC

 

 
(2)  Check the Appropriate Box if a Member of a Group (See Instructions)
  (a) ¨
  (b) ¨
 
(3)

SEC Use Only

 

(4)

Citizenship or Place of Organization

 

Delaware

 

   

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
(5) Sole Voting Power
1,939 (1)
 
(6) Shared Voting Power
5,512,564 (1)
 
(7) Sole Dispositive Power
1,939 (1)
 
(8) Shared Dispositive Power
5,512,564 (1)

 

(9) Aggregate Amount Beneficially Owned by Each Reporting Person
5,512,564 (1)
 
(10) Check box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  ¨
 
(11) Percent of Class Represented by Amount in Row (9)
4.3%
 
(12) Type of Reporting Person (See Instructions)
OO

 

(1) Susquehanna Securities, LLC and G1 Execution Services, LLC are affiliated independent broker-dealers which, together with Capital Ventures International, CVI Opportunities Fund I, LLLP, CVI Opportunities Fund II, LLLP, Susquehanna Advisors Group, Inc. and Susquehanna Fundamental Investments, LLC, may be deemed a group.  For purposes of this report, we have indicated that each reporting person has sole voting and dispositive power with respect to the shares beneficially owned by it and that the reporting persons have shared voting and dispositive power with respect to all shares beneficially owned by all of the reporting persons.  Each of the reporting persons disclaims beneficial ownership of shares owned directly by another reporting person.

 

 

 

 

CUSIP No:    704551100

 

(1)

NAMES OF REPORTING PERSONS

 

Susquehanna Securities, LLC

 

(2) 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(SEE INSTRUCTIONS)

    (a) ¨
    (b) ¨
   
(3)

SEC USE ONLY

 

(4)

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
(5) Sole Voting Power
773,123 (1)
 
(6) Shared Voting Power
5,512,564 (1)
 
(7) Sole Dispositive Power
773,123 (1)
 
(8) Shared Dispositive Power
5,512,564 (1)

 

(9) Aggregate Amount Beneficially Owned by Each Reporting Person
5,512,564 (1)
 
(10) Check box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  ¨
 
(11) Percent of Class Represented by Amount in Row (9)
4.3%
 
(12) Type of Reporting Person (See Instructions)
BD, OO

 

(1) Susquehanna Securities, LLC and G1 Execution Services, LLC are affiliated independent broker-dealers which, together with Capital Ventures International, CVI Opportunities Fund I, LLLP, CVI Opportunities Fund II, LLLP, Susquehanna Advisors Group, Inc. and Susquehanna Fundamental Investments, LLC, may be deemed a group.  For purposes of this report, we have indicated that each reporting person has sole voting and dispositive power with respect to the shares beneficially owned by it and that the reporting persons have shared voting and dispositive power with respect to all shares beneficially owned by all of the reporting persons.  Each of the reporting persons disclaims beneficial ownership of shares owned directly by another reporting person.

 

 

 

 

CUSIP No:    704551100

 

Item 1.

 

(a)  Name of Issuer

 

Peabody Energy Corporation (the “Company”)

 

(b)  Address of Issuer’s Principal Executive Offices

 

701 Market Street, St. Louis, Missouri 63101

 

Item 2(a). Name of Person Filing

 

This statement is filed by the entities listed below, who are collectively referred to herein as “Reporting Persons,” with respect to the shares of common stock of the Company, $0.01 par value per share (the “Shares”).

 

(i)Capital Ventures International

(ii)CVI Opportunities Fund I, LLLP

(iii)CVI Opportunities Fund II, LLLP

(iv)G1 Execution Services, LLC

(v)Susquehanna Advisors Group, Inc.

(vi)Susquehanna Fundamental Investments, LLC

(vii)Susquehanna Securities, LLC

 

Item 2(b). Address of Principal Business Office or, if none, Residence

 

The address of the principal business office of Capital Ventures International is:

 

P.O. Box 897

Windward 1, Regatta Office Park

West Bay Road

Grand Cayman, KY1-1103

Cayman Islands

 

The address of the principal business offices of each of CVI Opportunities Fund I, LLLP and CVI Opportunities Fund II, LLLP is:

 

251 Little Falls Drive

Wilmington, DE 19808

 

The address of the principal business office of G1 Execution Services, LLC is:

 

175 W. Jackson Blvd.

Suite 1700

Chicago, IL 60604

 

The address of the principal business office of each of Susquehanna Advisors Group, Inc., Susquehanna Fundamental Investments, LLC and Susquehanna Securities, LLC is:

 

401 E. City Avenue

Suite 220

Bala Cynwyd, PA 19004

 

Item 2(c). Citizenship

 

Citizenship is set forth in Row 4 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person.

 

 

 

 

CUSIP No:    704551100

 

Item 2(d)  Title of Class of Securities

 

Common stock, $0.01 par value per share

 

Item 2(e)  CUSIP Number

 

704551100

 

Item 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

(a)¨ Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o).

 

(b)¨ Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).

 

(c)¨ Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c).

 

(d)¨ Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

 

(e)¨ An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 

(f)¨ An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 

(g)¨ A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

 

(h) ¨ A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)¨ A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 

(j) ¨ A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J);

 

(k)¨ Group, in accordance with Rule 13d-1(b)(1)(ii)(K).

 

If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution: _________

 

Item 4. Ownership

 

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

The information required by Items 4(a) – (c) is set forth in Rows 5 – 11 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person.

 

The number of Shares reported as beneficially owned by Susquehanna Securities, LLC includes options to buy 259,300 Shares.

 

The Company’s Quarterly Report on Form 10-Q, filed with the United States Securities and Exchange Commission on November 5, 2021, indicates that there were 127,400,000 Shares outstanding as of November 2, 2021.

 

Susquehanna Advisors Group, Inc., which serves as the investment manager to Capital Ventures International, CVI Opportunities Fund I, LLLP and CVI Opportunities Fund II, LLLP, may be deemed to be the beneficial owner of all Shares owned by Capital Ventures International, CVI Opportunities Fund I, LLLP and CVI Opportunities Fund II, LLLP, respectively. Each of the Reporting Persons hereby disclaims any beneficial ownership of any such Shares, except for their pecuniary interest therein.

 

 

 

 

CUSIP No:    704551100

 

Item 5. Ownership of Five Percent or Less of a Class

 

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: x

 

Item 6. Ownership of More than Five Percent on Behalf of Another Person

 

Not applicable.

 

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person

 

Not applicable.

 

Item 8. Identification and Classification of Members of the Group

 

Not applicable.

 

Item 9. Notice of Dissolution of Group

 

Not applicable.

 

Item 10. Certification

 

By signing below each of the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

 

 

 

CUSIP No:    704551100

 

SIGNATURES

 

After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this statement is true, complete, and correct.

 

Dated: February 11, 2022

 

CAPITAL VENTURES INTERNATIONAL   CVI Opportunities Fund I, LLLP
By: Susquehanna Advisors Group, Inc., pursuant to a Limited Power of Attorney, a copy of which was previously filed   By: Susquehanna Advisors Group, Inc., pursuant to a Limited Power of Attorney, a copy of which was previously filed
     
By: /s/ Brian Sopinsky   By: /s/ Brian Sopinsky
Name: Brian Sopinsky   Name: Brian Sopinsky
Title: Assistant Secretary   Title: Assistant Secretary
     
     
CVI Opportunities Fund II, LLLP   G1 EXECUTION SERVICES, LLC
By: Susquehanna Advisors Group, Inc., pursuant to a Limited Power of Attorney, a copy of which was previously filed    
    By: /s/ Brian Sopinsky
By: /s/ Brian Sopinsky   Name: Brian Sopinsky
Name: Brian Sopinsky   Title: Secretary
Title: Assistant Secretary    
     
     
Susquehanna Advisors Group, INC.   SUSQUEHANNA FUNDAMENTAL INVESTMENTS, LLC
     
By: /s/ Brian Sopinsky   By: /s/ Brian Sopinsky
Name: Brian Sopinsky   Name: Brian Sopinsky
Title: Assistant Secretary   Title: Assistant Secretary
     
     
SUSQUEHANNA SECURITIES, LLC    
     
By: /s/ Brian Sopinsky    
Name: Brian Sopinsky    
Title: Secretary    

 

 

 

 

CUSIP No:    704551100

 

EXHIBIT INDEX

 

EXHIBIT DESCRIPTION
I Limited Power of Attorney for Capital Ventures International *
II Limited Power of Attorney for CVI Opportunities Fund I, LLLP*
III Limited Power of Attorney for CVI Opportunities Fund II, LLLP*
IV Joint Filing Agreement*

 

*Previously Filed