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FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.See Instruction 1(b). |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES |
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
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| 1. Name and Address of Reporting Person *
Doppelt Earl H |
2. Issuer Name and Ticker or Trading Symbol
Walter Energy, Inc. [ WLT ] |
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
__ X __ Officer (give title below) _____ Other (specify below)
Sr VP - General Counsel & Sec |
| (Last) (First) (Middle)
3000 RIVERCHASE GALLERIA, SUITE 1700 |
3. Date of Earliest Transaction (MM/DD/YYYY)
2/24/2012 |
| (Street)
BIRMINGHAM, AL 35244(City) (State) (Zip) |
4. If Amendment, Date Original Filed(MM/DD/YYYY)
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6. Individual or Joint/Group Filing (Check Applicable Line)
_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code |
V |
Amount |
(A) or (D) |
Price |
| Common Stock |
2/24/2012 |
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P |
|
15000 |
A |
$65.52 (1) |
21106.04 (2) |
D |
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Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of Responses: |
| ( 1) |
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. |
| ( 2) |
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 |
| Reporting Owners |
| Reporting Owner Name / Address |
Relationships |
| Director |
10% Owner |
Officer |
Other |
Doppelt Earl H
3000 RIVERCHASE GALLERIA
SUITE 1700
BIRMINGHAM, AL 35244 |
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Sr VP - General Counsel & Sec |
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| Signatures |
| /s/ Earl Doppelt |
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2/27/2012 |
| ** Signature of Reporting Person |
Date
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
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If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: |
File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for pro.
Close to a million USD, somepeople have a positive outlook on met coal.
Howard52
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