0001104659-13-040049.txt : 20130510 0001104659-13-040049.hdr.sgml : 20130510 20130510113100 ACCESSION NUMBER: 0001104659-13-040049 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130509 FILED AS OF DATE: 20130510 DATE AS OF CHANGE: 20130510 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wagner A J CENTRAL INDEX KEY: 0001402675 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13711 FILM NUMBER: 13831812 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: 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 X0306 4 2013-05-09 0 0000837173 Walter Energy, Inc. WLT 0001402675 Wagner A J 3000 RIVERCHASE GALLERIA - SUITE 1700 BIRMINGHAM AL 35244 1 0 0 0 Common Stock 2013-05-09 4 P 0 5000 18.89 A 5000 I Self-managed IRA Common Stock 5905 D Common Stock 5000 I By trust Represents the weighted average purchase price for price increments ranging from $18.75 to $19.03. 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. Held in a self-managed IRA account under which the Reporting Person's sons are the primary beneficiaries. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his potential pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose Held by a trust, of which the Reporting Person is the trustee. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his potential pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. /s/ Earl H. Doppelt, by power of attorney 2013-05-10