-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, LTv0eRMKZAxhIhTyyOa01be6476AfOzDD5H8pNghmqQmFH6xNZW/iDQ+TZnZXwoH 4oMc5KlRBE4kM5pMlpUgzQ== 0001179110-10-002887.txt : 20100216 0001179110-10-002887.hdr.sgml : 20100215 20100216164236 ACCESSION NUMBER: 0001179110-10-002887 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091026 FILED AS OF DATE: 20100216 DATE AS OF CHANGE: 20100216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Honnold Lisa A CENTRAL INDEX KEY: 0001356391 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-13711 FILM NUMBER: 10608797 MAIL ADDRESS: STREET 1: 4211 W. BOY SCOUT BLVD. CITY: TAMPA STATE: FL ZIP: 33607 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/A 1 edgar.xml FORM 4/A - X0303 4/A 2009-10-26 2009-10-28 0 0000837173 Walter Energy, Inc. WLT 0001356391 Honnold Lisa A 4211 W. BOY SCOUT BLVD. TAMPA FL 33607 0 1 0 0 Senior VP & Controller Common Stock 2009-10-26 4 M 0 352 30.77 A 17069.16 D Common Stock 2009-10-26 4 M 0 1710 29.37 A 18779.16 D Common Stock 2009-10-26 4 M 0 23093 21.02 A 41872.16 D Common Stock 2009-10-26 4 M 0 1396 25.24 A 43268.16 D Common Stock 2009-10-26 4 M 0 927 47.97 A 44195.16 D Common Stock 2009-10-26 4 S 0 27478 62.00 D 16717.16 D Non-qualified stock option 30.77 2009-10-26 4 M 0 352 0 D 2016-02-22 Common Stock 352 0 D Non-qualified stock option 29.37 2009-10-26 4 M 0 1710 0 D 2016-03-14 Common Stock 1710 0 D Non-qualified stock option 21.02 2009-10-26 4 M 0 23093 0 D 2016-10-24 Common Stock 23093 0 D Non-qualified stock option 25.24 2009-10-26 4 M 0 1396 0 D 2017-01-31 Common Stock 1396 1396 D Non-qualified stock option 47.97 2009-10-26 4 M 0 927 0 D 2018-02-27 Common Stock 927 1854 D In connection with the spin-off of Mueller Water Products, Inc. on December 14, 2006 and under the anti-dilution provisions of the Company's 1995 and 2002 Long-Term Incentive Award Plans, these options were modified on December 15, 2006 to preserve the intrinsic value of the awards. The number of shares of the modified awards was determined by multiplying the number of outstanding shares underlying the equity awards by 1.9426 and by dividing the stock option exercise price by the same adjustment ratio. This adjustment ratio was obtained by dividing the closing price of the Company's Common Stock in the "regular way" market on December 14, 2006 ($49.05) by the "ex-dividend" opening price of the Company's Common Stock on the New York Stock Exchange on December 15, 2006 ($25.25). Under the anti-dilution provisions of the Company's 2002 Long-Term Incentive Award Plan and in connection with the spin-off of Walter Investment Management Corp. on April 17, 2009, the number of non-qualified stock options held by the Reporting Person was adjusted to preserve the intrinsic value of the awards. The number of shares of the modified awards was determined by multiplying the number of outstanding shares underlying the equity awards by 1.11445 and by dividing the stock option exercise price by the same adjustment ratio. Options vest in 3 equal annual installments beginning 2/22/07. Options vest in 3 equal annual installments beginning 3/14/07. Options vest in 3 equal annual installments beginning 10/24/07. Options vest in 3 equal annual installments beginning 1/31/08. Options vest in 3 equal annual installments beginning 2/27/09. Includes shares held by reporting person under Employee Stock Purchase Plan. Under the anti-dilution provisions of the Company's 2002 Long-Term Incentive Award Plan and in connection with the spin-off of Walter Investment Management Corp. on April 17, 2009, the number of restricted stock units awarded to the Reporting Person was adjusted to preserve the intrinsic value of the awards. The adjustment was effected by multiplying the number of units by a factor of 1.11445. This amendment is filed to correct a computation error in the Form 4 filed on 10/28/09, which overreported the number of securities beneficially owned by the Reporting Person by 82 shares. Catherine C. Bona, by power of attorney 2010-02-16 -----END PRIVACY-ENHANCED MESSAGE-----