0001179110-14-007205.txt : 20140428 0001179110-14-007205.hdr.sgml : 20140428 20140428171108 ACCESSION NUMBER: 0001179110-14-007205 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140424 FILED AS OF DATE: 20140428 DATE AS OF CHANGE: 20140428 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 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: 14790354 MAIL ADDRESS: STREET 1: 4211 W. BOY SCOUT BLVD. CITY: TAMPA STATE: FL ZIP: 33607 4 1 edgar.xml FORM 4 - X0306 4 2014-04-24 0 0000837173 Walter Energy, Inc. WLT 0001402675 Wagner A J 3000 RIVERCHASE GALLERIA - SUITE 1700 BIRMINGHAM AL 35244 1 0 0 0 Common Stock 2014-04-24 4 A 0 5512 0 A 11417 D Common Stock 5000 I Self-managed IRA Common Stock 5000 I By trust Non-qualified Stock Options (right to buy) 7.71 2014-04-24 4 A 0 8551 0 A 2024-04-24 Common Stock 8551 8551 D Award of restricted stock units, which vest in 3 equal annual installments beginning 04/24/2015. 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 the reported shares for the 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 the reported shares for purposes of Section 16 or for any other purpose. Non-qualified stock options, which vest in 3 equal annual installments beginning 04/24/2015. /s/ Earl Doppelt, by power of attorney 2014-04-28