-----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, JlOMzu48E78Ek0W/lgSsVFDAw9GVsd0Oyj6nmwsPAAeITs2XkLqxEwds4PrBl+DD u13vyine9vGQctaCVnXvCA== 0001179110-09-013282.txt : 20090915 0001179110-09-013282.hdr.sgml : 20090915 20090915204735 ACCESSION NUMBER: 0001179110-09-013282 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090908 FILED AS OF DATE: 20090915 DATE AS OF CHANGE: 20090915 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RICHMOND GEORGE R CENTRAL INDEX KEY: 0001215697 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-13711 FILM NUMBER: 091070962 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/A 1 edgar.xml FORM 4/A - X0303 4/A 2009-09-08 2009-09-10 0 0000837173 Walter Energy, Inc. WLT 0001215697 RICHMOND GEORGE R 16243 HIGHWAY 216 BROOKWOOD AL 35444 1 1 0 0 President and COO Common Stock 2009-09-08 4 A 0 2578 0 A 114497.14 D Non-qualified stock option 57.00 2009-09-08 4 A 0 4039 0 A 2019-09-08 Common Stock 4039 4039 D 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 held by the Reporting Person was adjusted to preserve the intrinsic value of the awards. The adjustment was effected by multiplying the number of affected shares by a factor of 1.11445. Award of Restricted Stock Units which vest in 3 equal annual installments beginning 09/08/2010, subject to continued employment. Options vest in 3 equal annual installments beginning 09/08/2010. Catherine C. Bona, by power of attorney 2009-09-15 -----END PRIVACY-ENHANCED MESSAGE-----