0001104659-12-013429.txt : 20120227 0001104659-12-013429.hdr.sgml : 20120227 20120227204429 ACCESSION NUMBER: 0001104659-12-013429 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120224 FILED AS OF DATE: 20120227 DATE AS OF CHANGE: 20120227 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Doppelt Earl H CENTRAL INDEX KEY: 0001387654 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13711 FILM NUMBER: 12644278 MAIL ADDRESS: STREET 1: 2411 PURCHASE STREET CITY: PURCHASE STATE: NY ZIP: 10577 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: 3000 RIVERCHASE GALLERIA STREET 2: SUITE 1700 CITY: BIRMINGHAM STATE: AL ZIP: 35244 BUSINESS PHONE: 205-745-2000 MAIL ADDRESS: STREET 1: 3000 RIVERCHASE GALLERIA STREET 2: SUITE 1700 CITY: BIRMINGHAM STATE: AL ZIP: 35244 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 a4.xml 4 X0304 4 2012-02-24 0 0000837173 Walter Energy, Inc. WLT 0001387654 Doppelt Earl H 3000 RIVERCHASE GALLERIA SUITE 1700 BIRMINGHAM AL 35244 0 1 0 0 Sr VP - General Counsel & Sec Common Stock 2012-02-24 4 P 0 15000 65.52 A 21106.04 D Represents the weighted average purchase price for price increments ranging from $65.31 to $65.88. 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 purchased at each separate price. Includes 26.04 shares held by Reporting Person under Employee Stock Purchase Plan, an award of Restricted Stock Units which vest in 3 equal annual installments beginning 1/09/2012, subject to continued employment and an award of Restricted Stock Units which vest on 1/09/2015, subject to continued employment /s/ Earl Doppelt 2012-02-27