Thomist Fund, LP's Form 4 filing
Peabody Energy CorpBTU · filed Aug 26, 2024
- Accession no.
- 0000950170-24-100744
- Filed
- Aug 26, 2024, 8:21 PM ET
- Trade date
- Aug 14-16, 2024
- Filing delay
- 12 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 6 non-derivative transactions and 6 derivative transactions. It was filed 12 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Thomist Fund, LPCIK 0001767804 | 10% Owner |
| Thomist Capital Management, LPCIK 0001767809 | 10% Owner |
| Kuzma Brian L.CIK 0002034077 | 10% Owner |
| Thomist Capital, LLCCIK 0002034081 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 14, 2024 | Common Stock | PPurchaseAcquired | +24,300 | –F1 | – | 3,230,091 | Indirect | |
| Aug 14, 2024 | Common Stock | PPurchaseAcquired | +48,600 | –F1 | – | 1,617,455 | Indirect | |
| Aug 14, 2024 | Common Stock | PPurchaseAcquired | +24,300 | –F1 | – | 808,726 | Indirect | |
| Aug 15, 2024 | Common Stock | XIn-the-money exerciseAcquired | +31,800 | $23.00 | +$731,400 | 1,649,255 | Indirect | |
| Aug 15, 2024 | Common Stock | XIn-the-money exerciseAcquired | +26,000 | $23.00 | +$598,000 | 834,726 | Indirect | |
| Aug 16, 2024 | Common Stock | XIn-the-money exerciseAcquired | +20,100 | $23.00 | +$462,300 | 1,669,355 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 15, 2024 | Common Stock | XIn-the-money exerciseDisposed | −31,800 | $0.00 | $0 | 201 | Indirect | |
| Aug 15, 2024 | Common Stock | XIn-the-money exerciseDisposed | −26,000 | $0.00 | $0 | 0 | Indirect | |
| Aug 16, 2024 | Common Stock | XIn-the-money exerciseDisposed | −20,100 | $0.00 | $0 | 0 | Indirect | |
| Aug 16, 2024 | Common Stock | SSaleDisposed | −825,700 | –F7 | – | 26,743 | Indirect | |
| Aug 16, 2024 | Common Stock | SSaleDisposed | −582,900 | –F7 | – | 17,504 | Indirect | |
| Aug 16, 2024 | Common Stock | SSaleDisposed | −291,400 | –F7 | – | 8,753 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $21.81 to $21.905, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
Referenced by the price of 3 transactions in Table I.
- F7
These contracts were sold in two transactions at prices of $26.72 per contract for the first 15,000 contracts and $20 per contract for the remaining portion.
Referenced by the price of 3 transactions in Table II.
Remarks
The Reporting Persons realized short-swing profits under Section 16(b) of the Securities Exchange Act of 1934, as amended, as a result of transactions in the Issuer's securities reported herein. On August 24, 2024, the Reporting Persons agreed to disgorge $25,386.48 to the Issuer, representing the short-swing profits realized by the Reporting Persons