0001179110-11-004391.txt : 20110307 0001179110-11-004391.hdr.sgml : 20110307 20110307073753 ACCESSION NUMBER: 0001179110-11-004391 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110303 FILED AS OF DATE: 20110307 DATE AS OF CHANGE: 20110307 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bona Catherine C CENTRAL INDEX KEY: 0001513983 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13711 FILM NUMBER: 11666664 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 1 edgar.xml FORM 4 - X0303 4 2011-03-03 0 0000837173 Walter Energy, Inc. WLT 0001513983 Bona Catherine C 4211 W. BOY SCOUT BLVD. TAMPA FL 33607 0 1 0 0 VP,interim Gen.Counsel,Secy. Common Stock 2011-03-03 4 M 0 371 26.18 A 10232.01 D Common Stock 2011-03-03 4 M 0 433 47.97 A 10665.01 D Common Stock 2011-03-03 4 M 0 3431 15.83 A 14096.01 D Common Stock 2011-03-03 4 M 0 240 83.52 A 14336.01 D Common Stock 2011-03-03 4 S 0 4475 125.00 D 9861.01 D Non-qualified stock option 26.18 2011-03-03 4 M 0 371 0 A 2017-04-25 Common Stock 371 0 D Non-qualifed stock option 47.97 2011-03-03 4 M 0 433 0 A 2018-02-27 Common Stock 433 0 D Non-qualifed stock option 15.83 2011-03-03 4 M 0 3431 0 A 2019-02-27 Common Stock 3431 1715 D Non-qualified stock option 83.52 2011-03-03 4 M 0 240 0 A 2020-03-02 Common Stock 240 478 D Includes shares held by Reporting Person under Employee Stock Purchase Plan. Options vest in 3 equal annual installments beginning 4/25/08, subject to continued employment. Options vest in 3 equal annual installments beginning 02/27/09, subject to continued employment. Options vest in 3 equal annual installments beginning 02/27/2010, with last installment subject to accelerated vesting on 3/31/11, subject to continued employment. Options vest in 3 equal installments on 2/27/2011, 3/31/2011 and the earlier of 3/2/2013 or termination of employment. Catherine C. Bona 2011-03-07