Mga Batayang Estadistika
| CIK | 837173 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Walter Energy, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| April 1, 2016 |
Walter Energy Announces Closing of Sale of Alabama Assets to Warrior Met Coal Exhibit 99.1 For media: William Stanhouse, 205-745-2664 [email protected] or Ruth Pachman, 212-521-4891 Kekst and Company [email protected] Walter Energy Announces Closing of Sale of Alabama Assets to Warrior Met Coal BIRMINGHAM, AL ? April 1, 2016 ? Walter Energy, Inc. (OTC Pink:WLTG) (?Walter Energy? or the ?Company?) today announced the close of the previously-announced sa |
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| April 1, 2016 |
Exhibit 2.1 EXECUTION VERSION AMENDED AND RESTATED ASSET PURCHASE AGREEMENT DATED AS OF MARCH 31, 2016 BY AND AMONG WARRIOR MET COAL, LLC (F/K/A COAL ACQUISITION LLC), AND THE BUYER DESIGNEES (AS DEFINED HEREIN), AS BUYER AND WALTER ENERGY, INC., AND CERTAIN SUBSIDIARIES OF WALTER ENERGY, INC., AS SELLERS TABLE OF CONTENTS ARTICLE 1 DEFINITIONS 1.1 Definitions 2 1.2 Other Definitions and Interpret |
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| April 1, 2016 |
8-K 1 a16-766618k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 31, 2016 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incor |
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| March 18, 2016 |
Exhibit UNITED STATES BANKRUPTCY COURT FOR THE NORTHERN DISTRICT OF ALABAMA In re: Chapter 11 WALTER ENERGY, INC. |
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| March 18, 2016 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 february2016bafform8-k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 18, 2016 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdicti |
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| February 19, 2016 |
Walter Energy 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 19, 2016 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commissio |
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| February 19, 2016 |
Exhibit UNITED STATES BANKRUPTCY COURT FOR THE NORTHERN DISTRICT OF ALABAMA In re: Chapter 11 WALTER ENERGY, INC. |
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| February 16, 2016 |
Walter Energy Announces Closing of Sale of Non-Core U.S. Assets to Seminole Coal Resources Exhibit 99.1 For media: William Stanhouse, 205-745-2664 [email protected] or Ruth Pachman, 212-521-4891 Kekst and Company [email protected] Walter Energy Announces Closing of Sale of Non-Core U.S. Assets to Seminole Coal Resources BIRMINGHAM, Ala., February 12, 2016 ? Walter Energy, Inc. (?Walter Energy? or the ?Company?) today closed the previously-announced sale of certain |
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| February 16, 2016 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 16, 2016 (February 12, 2016) Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorpor |
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| February 12, 2016 |
WLTGQ / Walter Energy, Inc. / SUSQUEHANNA FUNDAMENTAL INVESTMENTS, LLC - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. 1)* Walter Energy, Inc. (Name of Issuer) Common Stock, $0.01par value per share (Title of Class of Securities) 93317Q105 (CUSIP Number) December 31, 2015 (Dat |
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| February 12, 2016 |
8-K 1 a16-397318k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 12, 2016 (February 8, 2016) Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other |
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| February 12, 2016 |
Exhibit 4.1 EXECUTION VERSION SENIOR SECURED SUPERPRIORITY DEBTOR-IN-POSSESSION CREDIT AGREEMENT among WALTER ENERGY, INC., as Borrower, EACH DOMESTIC SUBSIDIARY OF WALTER ENERGY, INC., as Guarantor, THE LENDERS FROM TIME TO TIME PARTY HERETO, and CITIBANK, N.A., as ADMINISTRATIVE AGENT and COLLATERAL AGENT Dated as of February 8, 2016 TABLE OF CONTENTS Page SECTION 1 Definitions and Accounting Te |
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| February 1, 2016 |
Walter Energy to Sell Remaining U.S. Assets to Seminole Coal Resources Exhibit 99.1 Walter Energy to Sell Remaining U.S. Assets to Seminole Coal Resources BIRMINGHAM, Ala., February 1, 2016 ? Walter Energy, Inc. (OTC Pink: WLTG) (?Walter Energy? or the ?Company?) today announced that it has signed an asset purchase agreement with Seminole Coal Resources, LLC, ERP Compliant Coke, LLC and ERP Environmental Fund, Inc. (?Seminole?) all related to ERP Compliant Fuels, LLC |
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| February 1, 2016 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 a16-316618k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 1, 2016 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of inc |
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| February 1, 2016 |
Exhibit 2.1 CONFIDENTIAL SEMINOLE PROPOSAL LOTS 3, 4, 8, 9 PWRW&G DRAFT 01/28/2016 ASSET PURCHASE AGREEMENT DATED AS OF JANUARY 31, 2016 BY AND AMONG SEMINOLE COAL RESOURCES, LLC, ERP COMPLIANT COKE, LLC AND ERP ENVIRONMENTAL FUND, INC., AS BUYER, WALTER ENERGY, INC., AS THE COMPANY ATLANTIC DEVELOPMENT AND CAPITAL, LLC, ATLANTIC LEASECO, LLC, MAPLE COAL CO., LLC, WALTER COKE, INC. , WALTER MINERA |
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| January 20, 2016 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 december2015bafform8-k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 20, 2016 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdic |
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| January 20, 2016 |
EX-99.1 2 exhibit991january202016.htm EXHIBIT 99.1 UNITED STATES BANKRUPTCY COURT FOR THE NORTHERN DISTRICT OF ALABAMA In re: Chapter 11 WALTER ENERGY, INC. et al.; Case No: 15-02741-TOM11 Debtors. Jointly Administered MONTHLY BANKRUPTCY ADMINISTRATOR FORM FOR THE PERIOD ENDED DECEMBER 31, 2015 DEBTORS' ADDRESS: 3000 Riverchase Galleria, Suite 1700 Birmingham, AL 35244 DEBTORS' ATTORNEYS: Kelley A |
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| January 15, 2016 |
Walter Energy FORM 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 15, 2016 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission Fil |
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| January 13, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 13, 2016 (January 8, 2016) Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporati |
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| December 17, 2015 |
EX-99.1 2 exhibit991december172015.htm EXHIBIT 99.1 UNITED STATES BANKRUPTCY COURT FOR THE NORTHERN DISTRICT OF ALABAMA In re: Chapter 11 WALTER ENERGY, INC. et al.; Case No: 15-02741-TOM11 Debtors. Jointly Administered MONTHLY BANKRUPTCY ADMINISTRATOR FORM FOR THE PERIOD ENDED NOVEMBER 30, 2015 DEBTORS' ADDRESS: 3000 Riverchase Galleria, Suite 1700 Birmingham, AL 35244 DEBTORS' ATTORNEYS: Kelley |
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| December 17, 2015 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 november2015bafform8-k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 17, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdi |
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| December 8, 2015 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 a12715form8-k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 7, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of i |
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| December 8, 2015 |
Walter Energy Announces CCAA Filing to Pursue Sale of Walter Canada Assets Exhibit For media: William Stanhouse, 205-745-2664 [email protected] or Ruth Pachman, 212-521-4891 Kekst and Company [email protected] Walter Energy Announces CCAA Filing to Pursue Sale of Walter Canada Assets BIRMINGHAM, AL - December 7, 2015 - Walter Energy, Inc. (OTC Pink:WLTG) (?Walter Energy? or the ?Company?) today announced that its wholly-owned subsidiary Walter Energ |
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| December 2, 2015 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 2, 2015 (November 25, 2015) Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incor |
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| November 20, 2015 |
EX-99.1 2 exhibit991november202015.htm EXHIBIT 99.1 UNITED STATES BANKRUPTCY COURT FOR THE NORTHERN DISTRICT OF ALABAMA In re: Chapter 11 WALTER ENERGY, INC. et al.; Case No: 15-02741-TOM11 Debtors. Jointly Administered MONTHLY BANKRUPTCY ADMINISTRATOR FORM FOR THE PERIOD ENDED OCTOBER 31, 2015 DEBTORS' ADDRESS: 3000 Riverchase Galleria, Suite 1700 Birmingham, AL 35244 DEBTORS' ATTORNEYS: Kelley A |
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| November 20, 2015 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 20, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission Fi |
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| November 5, 2015 |
EX-95.1 6 a2015-q3x9302015xex95.htm EXHIBIT 95.1 Exhibit 95 Item 4. Mine Safety Disclosures Mine Safety and Health Administration Safety Data The Company is committed to the safety of its employees and to achieving a goal of providing a workplace that is incident free. In achieving this goal the Company has in place health and safety programs that include regulatory-based training, accident preven |
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| November 5, 2015 |
Exhibit 2.1 Execution Version ASSET PURCHASE AGREEMENT DATED AS OF NOVEMBER 5, 2015 BY AND AMONG COAL ACQUISITION LLC, AS BUYER AND WALTER ENERGY, INC., AND CERTAIN SUBSIDIARIES OF WALTER ENERGY, INC., AS SELLERS TABLE OF CONTENTS ARTICLE 1 DEFINITIONS 1.1 Definitions 2 1.2 Other Definitions and Interpretive Matters 21 ARTICLE 2 PURCHASE AND SALE 2.1 Purchase and Sale 23 2.2 Excluded Assets 26 2.3 |
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| November 5, 2015 |
Walter Energy Enters Into Asset Purchase Agreement with Company Formed by its Senior Lender Group Exhibit 99.1 For media: William Stanhouse, 205-745-2664 [email protected] or Ruth Pachman, 212-521-4891 Kekst and Company [email protected] Walter Energy Enters Into Asset Purchase Agreement with Company Formed by its Senior Lender Group BIRMINGHAM, AL ? November 5, 2015 ? Walter Energy, Inc. (OTC Pink:WLTG) (?Walter Energy? or the ?Company?) today announced that it has enter |
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| November 5, 2015 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 5, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission Fil |
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| November 5, 2015 |
Walter Energy 10-Q (Quarterly Report) 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 20, 2015 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 20, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission Fil |
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| October 20, 2015 |
Exhibit UNITED STATES BANKRUPTCY COURT FOR THE NORTHERN DISTRICT OF ALABAMA In re: Chapter 11 WALTER ENERGY, INC. |
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| October 8, 2015 |
Walter Energy 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 8, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission |
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| September 18, 2015 |
EX-99.1 2 exhibit991september182015.htm EXHIBIT 99.1 UNITED STATES BANKRUPTCY COURT FOR THE NORTHERN DISTRICT OF ALABAMA In re: Chapter 11 WALTER ENERGY, INC. et al.; Case No: 15-02741-TOM11 Debtors. Jointly Administered MONTHLY BANKRUPTCY ADMINISTRATOR FORM FOR THE PERIOD ENDED AUGUST 31, 2015 DEBTORS' ADDRESS: 3000 Riverchase Galleria, Suite 1700 Birmingham, AL 35244 DEBTORS' ATTORNEYS: Kelley A |
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| September 18, 2015 |
Walter Energy 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 18, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commissi |
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| September 16, 2015 |
Walter Energy 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 15, 2015 (September 14, 2015) Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of in |
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| August 27, 2015 |
Walter Energy FORM 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 26, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission File |
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| August 20, 2015 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 20, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission |
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| August 20, 2015 |
Exhibit UNITED STATES BANKRUPTCY COURT FOR THE NORTHERN DISTRICT OF ALABAMA In re: Chapter 11 WALTER ENERGY, INC. |
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| August 14, 2015 |
8-K 1 form8-k20153form.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 13, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of |
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| July 31, 2015 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 8-K (7-30-15) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 30, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Com |
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| July 15, 2015 |
Project Diamond July 2015 Lender Presentation Confidential Subject to Change EX-99.2 4 a15-156991ex99d2.htm EX-99.2 Exhibit 99.2 Project Diamond July 2015 Lender Presentation Confidential Subject to Change Table of Contents I. Situation Overview 3 II. Strategic Overview 8 III. Restructuring Considerations 20 A. Capital / Legal Structure 21 B. Union Considerations 25 C. Tax Attributes 29 Appendix 31 Disclaimer The Presentation Materials are only being provided to holders of |
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| July 15, 2015 |
Exhibit 99.1 For media: William Stanhouse, 205-745-2664 [email protected] or Ruth Pachman, 212-521-4891 Kekst and Company [email protected] For investors: Mark H. Tubb, 205-745-2627 [email protected] Walter Energy Reaches Restructuring Agreement with Senior Lenders to be Implemented through Chapter 11 Filing BIRMINGHAM, AL ? July 15, 2015 ? Walter Energy, Inc. (OTC P |
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| July 15, 2015 |
RESTRUCTURING SUPPORT AGREEMENT EX-10.1 2 a15-156991ex10d1.htm EX-10.1 Exhibit 10.1 EXECUTION VERSION RESTRUCTURING SUPPORT AGREEMENT This restructuring support agreement (together with all exhibits, annexes, and schedules hereto, in each case as may be amended, supplemented or otherwise modified from time to time in accordance with the terms hereof, this “Agreement”), dated as of July 15, 2015 is by and among: (i) Walter Energy |
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| July 15, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 15, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission File N |
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| July 10, 2015 |
Form 8-K July 8, 2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 10, 2015 |
NYSE Suspends Trading in Walter Energy and Commences Delisting Proceedings EX-99.1 2 exhibit991july82015.htm EXHIBIT 99.1 Exhibit 99.1 For investors: Mark H. Tubb, 205-745-2627 [email protected] or For media: William Stanhouse, 205-745-2664 [email protected] or Ruth Pachman, 212-521-4891 Kekst and Company [email protected] NYSE Suspends Trading in Walter Energy and Commences Delisting Proceedings BIRMINGHAM, AL - July 8, 2015 - Walter Energ |
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| June 11, 2015 |
Walter Energy 8-K (Current Report/Significant Event) Form 8-K Under Item 8.01 and 9.01 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 11, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction o |
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| June 11, 2015 |
Walter Energy Exercises Grace Period for 9.875% Senior Notes Due 2020 Exhibit 99.1 6.11.15 Exhibit 99.1 For investors: Mark H. Tubb, 205-745-2627 [email protected] or For media: William Stanhouse, 205-745-2664 [email protected] or Ruth Pachman, 212-521-4891 Kekst and Company [email protected] Walter Energy Exercises Grace Period for 9.875% Senior Notes Due 2020 BIRMINGHAM, AL -June 11, 2015 -Walter Energy, Inc. (NYSE:WLT), a leading, p |
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| May 21, 2015 |
POWER OF ATTORNEY Know all men by these presents that the undersigned hereby constitutes and appoints each of Earl Doppelt and Jeanne Barlow his true and lawful attorneys-in-fact with full powers of substitution and revocation, for and in his name to do the following in respect of Walter Energy, Inc. |
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| May 13, 2015 |
Walter Energy 8-K (Current Report/Significant Event) Form 8-K (Chopin Appointment) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 8, 2015 |
Walter Energy Will Make Interest Payments, Continue Discussions with Debtholders Exhibit 99.1 5.7.15 Exhibit 99.1 For investors: Mark H. Tubb, 205-745-2627 [email protected] or For media: William Stanhouse, 205-745-2664 [email protected] or Ruth Pachman, 212-521-4891 Kekst and Company [email protected] Walter Energy Will Make Interest Payments, Continue Discussions with Debtholders BIRMINGHAM, AL - May 7, 2015 - Walter Energy, Inc. (NYSE:WLT), a |
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| May 8, 2015 |
Walter Energy 8-K (Current Report/Significant Event) Form 8-K under Item 8.01 05.08.15 Interest Payment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 7, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other |
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| May 4, 2015 |
Walter Energy 8-K UNDER ITEM 5.02 (HARRIGAN RESIGNATION) (Current Report/Significant Event) Form 8-K under Item 5.02 (Harrigan Resignation) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 29, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other |
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| April 28, 2015 |
Walter Energy 8-K (Current Report/Significant Event) Form 8-K for 2015 Annual Meeting Results UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 15, 2015 |
Walter Energy Provides Update on Efforts to Improve its Capital Structure Exhibit 99.1 4.15.15 Exhibit 99.1 For investors: Mark H. Tubb, 205-745-2627 [email protected] or For media: William Stanhouse, 205-745-2664 [email protected] or Ruth Pachman, 212-521-4891 Kekst and Company [email protected] Walter Energy Provides Update on Efforts to Improve its Capital Structure BIRMINGHAM, AL - April 15, 2015 - Walter Energy, Inc. (NYSE:WLT), a lea |
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| April 15, 2015 |
Walter Energy 8-K (Current Report/Significant Event) Form 8-K under Item 8.01 (Interest Payment) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 15, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jur |
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| April 6, 2015 |
POWER OF ATTORNEY Know all men by these presents that the undersigned hereby constitutes and appoints each of Earl Doppelt and Jeanne Barlow his true and lawful attorneys-in-fact with full powers of substitution and revocation, for and in his name to do the following in respect of Walter Energy, Inc. |
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| March 20, 2015 |
Walter Energy 8-K (Current Report/Significant Event) Form 8-K under Item 8.01 (PIK Notice) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 20, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdict |
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| March 11, 2015 |
Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 11, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| March 9, 2015 |
Walter Energy 8-K (Current Report/Significant Event) Form 8-K under Item 5.02 (Mascall not standing for re-election) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 4, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 |
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| March 5, 2015 |
Walter Energy 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 5, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commissi |
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| March 5, 2015 |
Walter Energy Notified by NYSE of Non-Compliance with a Continued Listing Standard Exhibit 99.1 March 5, 2015 Exhibit 99.1 For investors: Mark H. Tubb, 205-745-2627 [email protected] or For media: William Stanhouse, 205-745-2664 [email protected] Walter Energy Notified by NYSE of Non-Compliance with a Continued Listing Standard BIRMINGHAM, AL ? March 5, 2015 ? Walter Energy, Inc. (NYSE:WLT), a leading, publicly traded ?pure-play? producer of metallurgic |
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| March 2, 2015 |
Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 27, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission Fi |
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| February 17, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 17, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission Fi |
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| February 17, 2015 |
Schedule 13G Amendment No. 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Walter Energy, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 93317Q105 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to des |
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| February 17, 2015 |
EX-99.1 2 ex-991.htm EXHIBIT 99.1 Exhibit 99.1 For investors: Mark H. Tubb, 205-745-2627 [email protected] or For media: William Stanhouse, 205-745-2664 [email protected] Walter Energy Announces Fourth Quarter and Full Year 2014 Results Full-Year 2014 Highlights: Reduced Met Coal Cash Cost of Sales Per Ton by 13%; Reduced SG&A Expenses by 28%; Capital Expenditures Totaled |
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| February 13, 2015 |
WLTGQ / Walter Energy, Inc. / SUSQUEHANNA SECURITIES - SC 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. )* Walter Energy, Inc. (Name of Issuer) Common Stock, $0.01par value per share (Title of Class of Securities) 93317Q105 (CUSIP Number) December 31, 2014 (Date |
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| February 10, 2015 |
WLTGQ / Walter Energy, Inc. / VANGUARD GROUP INC Passive Investment walterenergyinc.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1 )* Name of issuer: Walter Energy Inc Title of Class of Securities: Common Stock CUSIP Number: 93317Q105 Date of Event Which Requires Filing of this Statement: December 31, 2014 Check the appropriate box to |
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| January 29, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 26, 2015 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission Fil |
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| December 22, 2014 |
Exhibit 10.1 AGREEMENT THIS AGREEMENT (this “Agreement”) is entered into as of December , 2014 (the “Effective Date”) by and between Walter Energy, Inc., a Delaware corporation (the “Company”), and , an employee of the Company (“Employee”). RECITALS A. The Company has determined that (i) Employee’s performance of his duties has been and continues to be exceptional and highly valuable to the Compan |
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| December 22, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 19, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission Fi |
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| December 15, 2014 |
WLTGQ / Walter Energy, Inc. / Alden Global Capital Ltd Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Walter Energy, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 93317Q105 (CUSIP Number) December 3, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| November 18, 2014 |
Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 17, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation or organizatio |
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| November 12, 2014 |
COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES Exhibit 12.1 COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES Years Ended December 31, Nine Months Ended September 30, 2013 (2) 2012 2011 2010 2009 2014 2013 (2) (In thousands, except ratios) Earnings: Income from continuing operations before income taxes $ (400,841 ) $ (1,164,759 ) $ 494,823 $ 577,596 $ 183,994 $ (417,851 ) $ (317,459 ) Plus: Fixed charges 230,637 152,463 108,594 22,723 23,808 2 |
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| November 12, 2014 |
Exhibit 25.1 File No. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE o CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) WILMINGTON TRUST, NATIONAL ASSOCIATION (Exact name of trustee as specified in its charter) 16-1486454 (I.R.S |
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| November 12, 2014 |
Walter Energy, Inc. Dated as of [ ] Wilmington Trust, National Association as Trustee EX-4.1 2 a2222135zex-41.htm EX-4.1 Exhibit 4.1 Walter Energy, Inc. INDENTURE Dated as of [ ] Wilmington Trust, National Association as Trustee TABLE OF CONTENTS Page ARTICLE I. DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.1 Definitions 1 Section 1.2 Other Definitions 5 Section 1.3 Incorporation by Reference of Trust Indenture Act 5 Section 1.4 Rules of Construction 5 ARTICLE II. THE SECU |
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| November 12, 2014 |
WLTGQ / Walter Energy, Inc. S-3 - - S-3 Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents As filed with the Securities and Exchange Commission on November 12, 2014 Registration No. |
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| October 30, 2014 |
Exhibit 99.1 For investors: Mark H. Tubb, 205-745-2627 [email protected] or For media: Thomas F. Hoffman, 205-745-2612 [email protected] Walter Energy Announces Third Quarter 2014 Results Metallurgical Coal Sales of 2.3 Million Metric Tons Metallurgical Coal Cash Cost of Sales per Metric Ton Improved 18.7% Liquidity Totaled $624 Million Full-Year 2014 Capital Spending Target Re |
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| October 30, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 30, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission Fil |
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| September 22, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 22, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation or organizati |
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| August 11, 2014 |
Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 7, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation or organization) |
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| July 31, 2014 |
EX-99.1 2 a14-181491ex99d1.htm EX-99.1 Exhibit 99.1 For investors: Mark H. Tubb, 205-745-2627 [email protected] or For media: Thomas F. Hoffman, 205-745-2612 [email protected] Walter Energy Announces Second Quarter 2014 Results Metallurgical Coal Sales of 2.7 Million Metric Tons Metallurgical Coal Cash Cost of Sales per Metric Ton Improved 18.3% Liquidity of $646 Million BIRMIN |
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| July 31, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 31, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission File N |
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| July 24, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 23, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission File N |
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| July 14, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 14, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission File N |
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| July 14, 2014 |
Exhibit 99.1 SOURCE: Walter Energy Walter Energy Closes Offering of $320 Million of Senior Secured Notes BIRMINGHAM, Ala. — July 14, 2014 — Walter Energy Inc. (“Walter Energy”) (NYSE: WLT) today announced the closing of its previously announced private offering of $320.0 million aggregate principal amount of 9.500% Senior Secured Notes due 2019 (the “Notes”). The Notes are a follow-on issue to the |
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| July 11, 2014 |
EIGHTH AMENDMENT TO CREDIT AGREEMENT Exhibit 10.2 EIGHTH AMENDMENT TO CREDIT AGREEMENT EIGHTH AMENDMENT TO CREDIT AGREEMENT (this “Eighth Amendment”) dated as of July 8, 2014, among Walter Energy, Inc., a Delaware corporation (the “U.S. Borrower”), Western Coal ULC, an unlimited liability corporation existing under the laws of the Canadian province of British Columbia, Walter Energy Canada Holdings, Inc., a corporation existing under |
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| July 11, 2014 |
SEVENTH AMENDMENT TO CREDIT AGREEMENT Exhibit 10.1 SEVENTH AMENDMENT TO CREDIT AGREEMENT SEVENTH AMENDMENT TO CREDIT AGREEMENT (this “Seventh Amendment”) dated as of July 7, 2014, among Walter Energy, Inc., a Delaware corporation, Western Coal ULC, an unlimited liability corporation existing under the laws of the Canadian province of British Columbia, Walter Energy Canada Holdings, Inc., a corporation existing under the laws of the Ca |
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| July 11, 2014 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 7, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of Commission File No. (I.R.S. Emplo |
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| July 8, 2014 |
Exhibit 99.1 SOURCE: Walter Energy Walter Energy Prices $320 Million Offering of Senior Secured Notes BIRMINGHAM, Ala. — July 8, 2014 — Walter Energy Inc. (“Walter Energy”) (NYSE: WLT) today announced the pricing of its private offering of $320.0 million aggregate principal amount of senior secured notes due 2019 with a coupon of 9.500% per annum (the “Notes”). The Notes are a follow-on issue to t |
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| July 8, 2014 |
EX-99.1 2 a14-167111ex99d1.htm EX-99.1 Exhibit 99.1 SOURCE: Walter Energy Walter Energy Commences Private Offering of $320 Million Senior Secured Notes BIRMINGHAM, Ala. — July 8, 2014 — Walter Energy Inc. (“Walter Energy”) (NYSE: WLT) today announced that it has commenced a private offering of $320.0 million aggregate principal amount of 9.500% senior secured notes due 2019 (the “Notes”). The Note |
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| July 8, 2014 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 8, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission File No |
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| July 8, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 8, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission File No |
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| June 5, 2014 |
Clarkson Capital Markets Coal Roundtable Investor Presentation June 5, 2014 Exhibit 99.1 Clarkson Capital Markets Coal Roundtable Investor Presentation June 5, 2014 Forward-Looking & Non-GAAP Statements 1 Except for historical information contained herein, the statements in this document are forward-looking and made pursuant to the safe harbor provisions of the Private Securities Litigation Reform Act of 1995 and may involve a number of risks and uncertainties. Forward-lo |
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| June 5, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 5, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of (Commission File Number) (I.R.S. |
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| June 2, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 27, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation (Commission File No |
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| May 23, 2014 |
May 23, 2014 VIA COURIER AND EDGAR Re: Walter Energy, Inc. Form 10-K for the Year Ended December 31, 2013 Filed February 26, 2014 File No. 001-13711 Ms. Tia L. Jenkins Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Mailstop 7010 Washington, D.C. 20549 Dear Ms. Jenkins: We are writing in response to the comments set forth in the comment letter from the staff o |
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| May 23, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 22, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of (Commission File Number) (I.R.S. |
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| May 12, 2014 |
8-K 1 a14-1241618k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 6, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of (Commis |
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| May 1, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 1, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of (Commission File Number) (I.R.S. E |
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| May 1, 2014 |
Exhibit 99.1 For investors: Mark H. Tubb, 205-745-2627 [email protected] or For media: Thomas F. Hoffman, 205-745-2612 [email protected] Walter Energy Announces First Quarter 2014 Results Metallurgical Coal Sales of 2.6 Million Metric Tons Metallurgical Coal Cash Cost of Sales per Metric Ton Improved 9.7% Metallurgical Coal Production Volume Increased 13.3% Liquidity of $676 Mi |
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| April 30, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 24, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of (Commission File Number) (I.R.S |
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| April 29, 2014 |
Walter Energy Announces Voluntary Delisting From Toronto Stock Exchange Exhibit 99.1 For media: Thomas F. Hoffman, 205-745-2612 [email protected] or For investors: Mark Tubb, 205-745-2627 [email protected] Walter Energy Announces Voluntary Delisting From Toronto Stock Exchange BIRMINGHAM, AL — Apr. 28, 2014 — Walter Energy, Inc. (NYSE: WLT) (TSX: WLT) today announced that shares of its common stock will be voluntarily delisted from the Toronto Stoc |
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| April 29, 2014 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 28, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation or organization) |
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| April 28, 2014 |
Walter Energy, Inc. 2014 Long-Term Incentive Plan Exhibit 10.1 Walter Energy, Inc. 2014 Long-Term Incentive Plan 1. Purpose. The purpose of the Walter Energy, Inc. 2014 Long-Term Incentive Plan is to provide a means through which the Company and its Affiliates may attract and retain key personnel and to provide a means whereby directors, officers, employees, consultants and advisors (and prospective directors, officers, employees, consultants and |
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| April 28, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 24, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of (Commission File Number) (I.R.S |
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| April 25, 2014 |
Unregistered Sales of Equity Securities - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 23, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation or organization) |
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| April 24, 2014 |
As filed with the Securities and Exchange Commission on April 24, 2014. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 13-3429953 (I.R.S. Emp |
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| April 15, 2014 |
WALTER ENERGY TO IDLE CANADIAN OPERATIONS Exhibit 99.1 SOURCE: Walter Energy WALTER ENERGY TO IDLE CANADIAN OPERATIONS BIRMINGHAM, AL — April 15, 2014 — Walter Energy, Inc. (NYSE:WLT; TSX:WLT) will begin idling its Canadian operations, including the Wolverine and Brazion coal mines in British Columbia, in April 2014. The company will place its Wolverine mine (located near the district municipality of Tumbler Ridge) on idle status effectiv |
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| April 15, 2014 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 15, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation (Commission File |
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| April 14, 2014 |
Mine Safety - Reporting of Shutdowns and Patterns of Violations - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 9, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation Commission File No |
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| April 1, 2014 |
Exhibit 10.3 AMENDED AND RESTATED INTERCREDITOR AGREEMENT among WALTER ENERGY, INC. THE OTHER GRANTORS PARTY HERETO, MORGAN STANLEY SENIOR FUNDING, INC., as Credit Agreement Collateral Agent and Authorized Representative for the Credit Agreement Secured Parties, UNION BANK, N.A., as Initial Additional Collateral Agent and Initial Additional Authorized Representative for the Initial Additional Firs |
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| April 1, 2014 |
GRANT OF SECURITY INTEREST IN UNITED STATES TRADEMARKS Exhibit 10.4 GRANT OF SECURITY INTEREST IN UNITED STATES TRADEMARKS This GRANT OF SECURITY INTEREST IN UNITED STATES TRADEMARKS (“Grant”), dated as of March 27, 2014 is made by Walter Energy, Inc., a Delaware corporation (the “Grantor”) with principal offices at 3000 Riverchase Galleria, Suite 1700, Birmingham, AL 35244, in favor of Wilmington Trust, National Association, as Collateral Agent, with |
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| April 1, 2014 |
Exhibit 99.1 SOURCE: Walter Energy Walter Energy Closes Offerings of $200 Million of Senior Secured Notes and $350 Million of Senior Secured Second Lien PIK Toggle Notes BIRMINGHAM, Ala. — March 27, 2014 — Walter Energy Inc. (“Walter Energy”) (NYSE: WLT) (TSX: WLT) today announced the closing of its previously announced private offerings of $200 million aggregate principal amount of 9.500% Senior |
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| April 1, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 27, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission File |
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| April 1, 2014 |
Exhibit 10.1 EXECUTION VERSION SECOND-LIEN NOTES COLLATERAL AGREEMENT dated as of March 27, 2014 among WALTER ENERGY, INC. CERTAIN SUBSIDIARIES OF WALTER ENERGY, INC. and WILMINGTON TRUST, NATIONAL ASSOCIATION, as COLLATERAL AGENT TABLE OF CONTENTS Page ARTICLE I Definitions 1 Section 1.01. Indenture; UCC 1 Section 1.02. Other Defined Terms 1 ARTICLE II [Reserved] 5 ARTICLE III Pledge of Securitie |
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| April 1, 2014 |
Exhibit 4.1 EXECUTION VERSION WALTER ENERGY, INC. AND EACH OF THE GUARANTORS PARTY HERETO 11.0%/12.0% SENIOR SECURED SECOND LIEN PIK TOGGLE NOTES DUE 2020 INDENTURE Dated as of March 27, 2014 Wilmington Trust, National Association Trustee and Collateral Agent TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS AND INCORPORATION BY REFERENCE Section 1.01 Definitions 1 Section 1.02 Other Definitions 32 Sec |
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| March 20, 2014 |
Exhibit 99.1 SOURCE: Walter Energy Walter Energy Prices $200 Million Offering of Senior Secured Notes and $350 Million Offering of Senior Secured Second Lien PIK Toggle Notes BIRMINGHAM, Ala. — March 19, 2014 — Walter Energy Inc. (“Walter Energy”) (NYSE: WLT) (TSX: WLT) today announced the pricing of its private offering of $200 million aggregate principal amount of senior secured notes due 2019 w |
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| March 20, 2014 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 19, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission File |
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| March 19, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 19, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission File |
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| March 19, 2014 |
Exhibit 99.1 SOURCE: Walter Energy Walter Energy Commences Private Offerings of $100 Million Senior Secured Notes and $350 Million Senior Secured Second Lien PIK Toggle Notes BIRMINGHAM, Ala. — March 19, 2014 — Walter Energy Inc. (“Walter Energy”) (NYSE: WLT) (TSX: WLT) today announced that it has commenced private offerings of $100 million aggregate principal amount of 9.500% senior secured notes |
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| March 18, 2014 |
SIXTH AMENDMENT TO CREDIT AGREEMENT Exhibit 10.1 SIXTH AMENDMENT TO CREDIT AGREEMENT SIXTH AMENDMENT TO CREDIT AGREEMENT (this “Sixth Amendment”) dated as of March 18, 2014, among Walter Energy, Inc., a Delaware corporation, Western Coal ULC, an unlimited liability corporation existing under the laws of the Canadian province of British Columbia, Walter Energy Canada Holdings, Inc., a corporation existing under the laws of the Canadi |
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| March 18, 2014 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 18, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of (Commission File Number) (I.R.S |
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| March 12, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| March 12, 2014 |
Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 10, 2014 |
WLTGQ / Walter Energy, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) WALTER ENERGY INC (Name of Issuer) COM (Title of Class of Securities) 93317Q105 (CUSIP Number) February 28, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fil |
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| March 10, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 10, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of (Commission File Number) (I.R.S |
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| February 26, 2014 |
Walter Energy 10-K (Annual Report) Use these links to rapidly review the document TABLE OF CONTENTS INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 20, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 20, 2014 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of (Commission File Number) (I. |
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| February 20, 2014 |
EX-99.1 2 a14-63531ex99d1.htm EX-99.1 Exhibit 99.1 For investors: Mark H. Tubb, 205-745-2627 [email protected] or For media: Thomas F. Hoffman, 205-745-2612 [email protected] For Immediate Release Walter Energy Announces Fourth Quarter and Full-Year 2013 Results Full-Year 2013 Highlights: Reduced Met Coal Cash Cost of Sales Per Ton by 14%; Increased Met Coal Tons Sold by 5%; Re |
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| February 14, 2014 |
WLTGQ / Walter Energy, Inc. / SAC Capital Advisors LP - AMENDMENT NO. 1 Passive Investment SC 13G/A 1 w11142313.htm AMENDMENT NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* WALTER ENERGY, INC. (Name of Issuer) Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 93317Q105 (CUSIP Number) December 31, 2013 (Date of Event which Requires Filing of this Statement) Check |
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| February 14, 2014 |
WLTGQ / Walter Energy, Inc. / BALYASNY ASSET MANAGEMENT LLC - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) WALTER ENERGY, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 93317Q105 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| February 14, 2014 |
WLTGQ / Walter Energy, Inc. / Marketfield Asset Management LLC - SCHEDULE 13G Passive Investment Schedule 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Walter Energy, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 93317Q105 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| February 12, 2014 |
WLTGQ / Walter Energy, Inc. / VANGUARD GROUP INC Passive Investment walterenergyinc.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 0 )* Name of issuer: Walter Energy Inc Title of Class of Securities: Common Stock CUSIP Number: 93317Q105 Date of Event Which Requires Filing of this Statement: December 31, 2013 Check the appropriate box to |
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| January 27, 2014 |
WLTGQ / Walter Energy, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) WALTER ENERGY INC (Name of Issuer) COM (Title of Class of Securities) 93317Q105 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is file |
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| November 19, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 30, 2013 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of (Commission File Number) (I |
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| November 12, 2013 |
Cowen and Company Global Metals, Mining and Materials Conference November 12, 2013 Exhibit 99.1 Cowen and Company Global Metals, Mining and Materials Conference November 12, 2013 Forward-Looking & Non-GAAP Statements 1 Except for historical information contained herein, the statements in this document are forward-looking and made pursuant to the safe harbor provisions of the Private Securities Litigation Reform Act of 1995 and may involve a number of risks and uncertainties. For |
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| November 12, 2013 |
Regulation FD Disclosure, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 12, 2013 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of (Commission File Number) (I. |
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| October 30, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 30, 2013 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of (Commission File Number) (I.R |
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| October 30, 2013 |
Exhibit 99.1 For media: Ruth Pachman, 212-521-4891 [email protected] or For investors: Mark Tubb, 205-745-2627 [email protected] For Immediate Release Walter Energy Announces Third Quarter 2013 Results Metallurgical Coal Sales Totaled 2.8 Million Metric Tons, an Increase of 7.7% Compared With Third Quarter 2012 Metallurgical Coal Cost of Sales per Ton Declined 10.8% Compared With Thi |
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| October 10, 2013 |
Walter Energy, Inc. Offers to Exchange Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. |
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| October 8, 2013 |
VIA EDGAR October 8, 2013 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Walter Energy, Inc. Registration Statement on Form S-4 File No. 333-190779 Filed August 22, 2013 Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1933, as amended (the “Act”), Walter Energy, Inc. (the “Company”) hereby requests that the above-referenced Registration Stat |
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| September 30, 2013 |
CERTIFICATE OF FORMATION WALTER ENERGY HOLDINGS, LLC EX-3.33 2 a2216830zex-333.htm EX-3.33 Exhibit 3.33 CERTIFICATE OF FORMATION OF WALTER ENERGY HOLDINGS, LLC This Certificate of Formation of Walter Energy Holdings, LLC (the “Company”), dated as of March 28, 2011, 2011, is being duly executed and filed by the undersigned, to form a limited liability company pursuant to the Delaware Limited Liability Company Act (6 Del. C. § 18-101, et seq.). FIRST. |
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| September 30, 2013 |
Exhibit 4.1 EXECUTION VERSION WALTER ENERGY, INC. AND EACH OF THE GUARANTORS PARTY HERETO 9.500% SENIOR SECURED NOTES DUE 2019 INDENTURE Dated as of September 27, 2013 Union Bank, N.A. Trustee and Collateral Agent TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS AND INCORPORATION BY REFERENCE Section 1.01 Definitions 1 Section 1.02 Other Definitions 31 Section 1.03 Rules of Construction 32 ARTICLE 2 T |
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| September 30, 2013 |
Exhibit 4.3(a) FIRST SUPPLEMENTAL INDENTURE SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of September 25, 2013, among Walter Energy Holdings, LLC (the “Guaranteeing Subsidiary”), a subsidiary of Walter Energy, Inc., a Delaware corporation (the “Issuer”), the Issuer, the other Guarantors (as defined in the Indenture referred to herein) and Union Bank, N.A., as trustee under the |
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| September 30, 2013 |
Exhibit 10.1 FIRST-LIEN NOTES COLLATERAL AGREEMENT dated as of September 27, 2013 among WALTER ENERGY, INC. CERTAIN SUBSIDIARIES OF WALTER ENERGY, INC. and UNION BANK, N.A., as COLLATERAL AGENT TABLE OF CONTENTS Page ARTICLE I Definitions 1 Section 1.01. Indenture; UCC 1 Section 1.02. Other Defined Terms 1 ARTICLE II [Reserved] 5 ARTICLE III Pledge of Securities 5 Section 3.01. Pledge 5 Section 3. |
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| September 30, 2013 |
Exhibit 4.1(a) FIRST SUPPLEMENTAL INDENTURE SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of September 25, 2013, among Walter Energy Holdings, LLC (the “Guaranteeing Subsidiary”), a subsidiary of Walter Energy, Inc., a Delaware corporation (the “Issuer”), the Issuer, the other Guarantors (as defined in the Indenture referred to herein) and Union Bank, N.A., as trustee under the |
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| September 30, 2013 |
SIMPSON THACHER & BARTLETT LLP 425 LEXINGTON AVENUE NEW YORK, N.Y. 10017-3954 (212) 455-2000 FACSIMILE (212) 455-2502 VIA EDGAR September 30, 2013 Re: Walter Energy, Inc. Registration Statement on Form S-4 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Ladies and Gentlemen: On behalf of Walter Energy, Inc., a Delaware corporation (the “Issuer”), and the additional reg |
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| September 30, 2013 |
LIMITED LIABILITY COMPANY AGREEMENT WALTER ENERGY HOLDINGS, LLC Exhibit 3.34 Execution Copy LIMITED LIABILITY COMPANY AGREEMENT OF WALTER ENERGY HOLDINGS, LLC THE UNDERSIGNED is executing this Limited Liability Company Agreement (the “Agreement”) as of March 28, 2011 for the purpose of forming a limited liability company (the “Company”) pursuant to the provisions of the Delaware Limited Liability Company Act, 6 Del. C. §§ 18-101 et seq. (the “Act”), and does h |
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| September 30, 2013 |
S-4/A 1 a2216830zs-4a.htm S-4/A Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents As filed with the Securities and Exchange Commission on September 30, 2013 Registration No. 333-190799 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to Form S-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Walter Energy, Inc. (Exact |
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| September 30, 2013 |
GRANT OF SECURITY INTEREST IN UNITED STATES TRADEMARKS EX-10.3 5 a13-213981ex10d3.htm EX-10.3 Exhibit 10.3 GRANT OF SECURITY INTEREST IN UNITED STATES TRADEMARKS This GRANT OF SECURITY INTEREST IN UNITED STATES TRADEMARKS (“Agreement”), dated as of September 27, 2013 is made by Walter Energy, Inc., a Delaware corporation (the “Grantor”) with principal offices at 3000 Riverchase Galleria, Suite 1700, Birmingham, AL 35244, in favor of Union Bank, N.A., |
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| September 30, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 27, 2013 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission F |
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| September 30, 2013 |
Exhibit 10.2 FIRST-LIEN INTERCREDITOR AGREEMENT among WALTER ENERGY, INC. THE OTHER GRANTORS PARTY HERETO, MORGAN STANLEY SENIOR FUNDING, INC., as Credit Agreement Collateral Agent and Authorized Representative for the Credit Agreement Secured Parties, UNION BANK, N.A., as Initial Additional Collateral Agent and Initial Additional Authorized Representative for the Initial Additional First-Lien Sec |
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| September 30, 2013 |
Exhibit 99.1 SOURCE: Walter Energy September 27, 2013 Walter Energy Announces Closing of $450 Million Senior Secured Notes Offering BIRMINGHAM, Ala. — September 27, 2013 — Walter Energy Inc. (“Walter Energy”) (NYSE: WLT) (TSX: WLT) today announced the closing of its previously announced private offering of $450 million aggregate principal amount of its 9.500% senior secured notes due 2019 (the “No |
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| September 30, 2013 |
Exhibit 5.4 September 30, 2013 Walter Energy, Inc. 3000 Riverchase Galleria, Suite 1700 Birmingham, Alabama 35244 Ladies and Gentlemen: We have acted as counsel to Walter Energy, Inc., a Delaware corporation (the “Company”), and to the guarantors listed on Schedule I hereto (the “Guarantors”) in connection with the Registration Statement on Form S-4 (the “Registration Statement”) filed by the Comp |
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| September 30, 2013 |
Exhibit 99.2 SOURCE: Walter Energy September 27, 2013 Walter Energy Announces Closing of Dutch Auction to Repurchase $250 million of its Term Loan A BIRMINGHAM, Ala. — September 27, 2013 — Walter Energy Inc. (“Walter Energy”) (NYSE: WLT) (TSX: WLT) today announced that it has successfully completed a Dutch Auction to repurchase and extinguish $250 million principal amount of its Term Loan A at an |
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| September 30, 2013 |
WLTGQ / Walter Energy, Inc. / BALYASNY ASSET MANAGEMENT LLC - SCHEDULE 13G Passive Investment Schedule 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 WALTER ENERGY, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 93317Q105 (CUSIP Number) September 10, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ¨ R |
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| September 23, 2013 |
September 23, 2013 VIA COURIER AND EDGAR Re: Walter Energy, Inc. Registration Statement on Form S-4 Filed August 22, 2013 File No. 333-190779 Form 10-Q for the Fiscal Quarter Ended June 30, 2013 Filed August 7, 2013 File No. 001-13711 Ms. Pamela Howell Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Mailstop 7010 Washington, D.C. 20549 Dear Ms. Howell: We are |
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| September 20, 2013 |
Exhibit 99.1 SOURCE: Walter Energy September 19, 2013 Walter Energy Prices $450 Million Private Offering of Senior Secured Notes BIRMINGHAM, Ala. — September 19, 2013 — Walter Energy Inc. (“Walter Energy”) (NYSE: WLT) (TSX: WLT) today announced that it has increased the size of its previously announced offering of $350 million aggregate principal amount of senior secured notes due 2019 to $450 mil |
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| September 20, 2013 |
Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 19, 2013 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission F |
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| September 19, 2013 |
Exhibit 99.1 SOURCE: Walter Energy September 19, 2013 Walter Energy Commences $350 Million Private Offering of Senior Secured Notes BIRMINGHAM, Ala. — September 19, 2013 — Walter Energy Inc. (“Walter Energy”) (NYSE: WLT) (TSX: WLT) today announced that it has commenced a private offering of $350 million aggregate principal amount of senior secured notes due 2019 (the “Notes”). The Notes will be gu |
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| September 19, 2013 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 19, 2013 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission F |
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| August 22, 2013 |
ARTICLES OF INCORPORATION CLEARWATER ENERGY, INC. Exhibit 3.23 ARTICLES OF INCORPORATION OF CLEARWATER ENERGY, INC. STATE OF ALABAMA WALKER COUNTY The undersigned, acting as incorporators of a corporation under the Code of Alabama, adopt the following Articles of Incorporation for such corporation: 1. The name of the corporation is Clearwater Energy, Inc. 2. The period of its duration is perpetual. 3. The purpose or purposes for which the corpora |
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| August 22, 2013 |
BLUE CREEK COAL SALES, INC. ARTICLE I MEETING OF STOCKHOLDERS Exhibit 3.22 BLUE CREEK COAL SALES, INC. BY-LAWS ARTICLE I MEETING OF STOCKHOLDERS Section 1. Place of Meeting and Notice. Meetings of the stockholders of the Corporation shall be held at such place either within or without the State of Alabama as the Board of Directors may determine. Section 2. Annual and Special Meetings. Annual meetings of stockholders shall be held, at a date, time and place f |
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| August 22, 2013 |
Exhibit 99.2 WALTER ENERGY, INC. OFFERS TO EXCHANGE $500,000,000 AGGREGATE PRINCIPAL AMOUNT OF ITS 9.875% SENIOR NOTES DUE 2020, WHICH HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, FOR ANY AND ALL OF ITS OUTSTANDING 9.875% SENIOR NOTES DUE 2020 AND $450,000,000 AGGREGATE PRINCIPAL AMOUNT OF ITS 8.500% SENIOR NOTES DUE 2021, WHICH HAVE BEEN REGISTERED UNDER THE SECURITIES ACT O |
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| August 22, 2013 |
ARTICLES OF INCORPORATION HAMER PROPERTIES, INC. Exhibit 3.25 ARTICLES OF INCORPORATION OF HAMER PROPERTIES, INC. The undersigned, acting as incorporator of a corporation under Section 27, Article 1, Chapter 31 of the Code of West Virginia, 1931, as amended, adopts the following? Articles of Incorporation for such corporation; I. The undersigned agrees to become a corporation by the name of Hamer Properties, Inc. II. The address of the principal |
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| August 22, 2013 |
J.W. WALTER, INC. RESTATED BY-LAWS ARTICLE 1 MEETING OF STOCKHOLDERS Exhibit 3.4 J.W. WALTER, INC. RESTATED BY-LAWS ARTICLE 1 MEETING OF STOCKHOLDERS Section 1. Place of Meeting and Notice. Meetings of the stockholders of the Corporation shall be held at such place either within or without the State of Delaware as the Board of Directors may determine. Section 2. Annual and Special Meetings. Annual meetings of stockholders shall be held, at a date, time and place fi |
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| August 22, 2013 |
LAND HOLDINGS CORPORATION ARTICLE I MEETING OF STOCKHOLDERS Exhibit 3.8 LAND HOLDINGS CORPORATION BY-LAWS ARTICLE I MEETING OF STOCKHOLDERS Section 1. Place of Meeting and Notice. Meetings of the stockholders of the Corporation shall be held at such place either within or without the state of Delaware as the Board of Directors may determine. Section 2. Annual and Special Meetings. Annua1 meetings of stockholders shall be held, at a date, time and place fix |
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| August 22, 2013 |
CERTIFICATE OF AMENDMENT CERTIFICATE OF INCORPORATION WALTER LAND COMPANY (Pursuant to Section 242) Exhibit 3.15 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION WALTER LAND COMPANY (Pursuant to Section 242) Walter Land Company, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (hereinafter called the ?Corporation?), DOES HEREBY CERTIFY THAT: FIRST: That the Board of Directors of said Corporation, by the unanimous written con |
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| August 22, 2013 |
BY-LAWS WALTER LAND COMPANY ARTICLE ONE Exhibit 3.16 BY-LAWS OF WALTER LAND COMPANY ARTICLE ONE STOCKHOLDERS SECTION 1.1. Annual Meetings. The annual meeting of stockholders for the election of the Board of Directors or the transaction of such further business as may come before the meeting shall be held during October, November or December of each year at Tampa, Florida, or elsewhere within or without the State of Delaware, the exact d |
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| August 22, 2013 |
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION UNITED LAND CORPORATION EX-3.17 16 a2216270zex-317.htm EX-3.17 Exhibit 3.17 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF UNITED LAND CORPORATION UNITED LAND CORPORATION, a Delaware corporation (the “Corporation”), hereby certifies as follows; Pursuant to the provisions of Sections 242 and 245 of the General Corporation Law of the State of Delaware, the sole stockholder of the Corporation has duly adopted the foll |
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| August 22, 2013 |
AMENDED AND RESTATED ARTICLES OF INCORPORATION TAFT COAL SALES & ASSOCIATES, INC. Exhibit 3.29 AMENDED AND RESTATED ARTICLES OF INCORPORATION OF TAFT COAL SALES & ASSOCIATES, INC. STATE OF ALABAMA ) : WALKER COUNTY ) TO THE HONORABLE JUDGE OF PROBATE, WALKER COUNTY, ALABAMA: Pursuant to the provisions of the Alabama Business Corporation Act, Taft Coal Sales & Associates, Inc., an Alabama corporation (the ?Corporation?), executes and delivers these Amended and Restated Articles |
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| August 22, 2013 |
Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents As filed with the Securities and Exchange Commission on August 22, 2013 Registration No. |
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| August 22, 2013 |
QuickLinks - Click here to rapidly navigate through this document Exhibit 99.1 WALTER ENERGY, INC. LETTER OF TRANSMITTAL OFFERS TO EXCHANGE $500,000,000 AGGREGATE PRINCIPAL AMOUNT OF ITS 9.875% SENIOR NOTES DUE 2020, WHICH HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, FOR ANY AND ALL OF ITS OUTSTANDING 9.875% SENIOR NOTES DUE 2020 AND $450,000,000 AGGREGATE PRINCIPAL AMOUNT OF |
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| August 22, 2013 |
Exhibit 3.5 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION J.W.I. HOLDINGS CORPORATION (Pursuant to Section 242) J.W.I. Holdings Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (hereinafter called the ?Corporation?), DOES HEREBY CERTIFY THAT: FIRST: That the Board of Directors of said Corporation, by the unanim |
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| August 22, 2013 |
QuickLinks - Click here to rapidly navigate through this document Exhibit 99.3 WALTER ENERGY, INC. OFFERS TO EXCHANGE $500,000,000 AGGREGATE PRINCIPAL AMOUNT OF ITS 9.875% SENIOR NOTES DUE 2020, WHICH HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, FOR ANY AND ALL OF ITS OUTSTANDING 9.875% SENIOR NOTES DUE 2020 AND $450,000,000 AGGREGATE PRINCIPAL AMOUNT OF ITS 8.500% SENIOR NOT |
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| August 22, 2013 |
CERTIFICATE OF AMENDMENT CERTIFICATE OF INCORPORATION J. W. WALTER, INC. (Pursuant to Section 242) Exhibit 3.3 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION J. W. WALTER, INC. (Pursuant to Section 242) J. W. Walter, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (hereinafter called the ?Corporation?), DOES HEREBY CERTIFY THAT: FIRST: That the Board of Directors of said Corporation, by the unanimous written consen |
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| August 22, 2013 |
HAMER PROPERTIES, INC. RESTATED BY-LAWS ARTICLE I Exhibit 3.26 HAMER PROPERTIES, INC. RESTATED BY-LAWS ARTICLE I OFFICES Section 1. The registered office shall be in the City of Charleston, County of Kanawha, State of West Virginia. Section 2. The corporation may also have offices at such other places both within and without the State of West Virginia as the board of directors may from time to time determine or the business of the corporation may |
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| August 22, 2013 |
CLEARWATER ENERGY, INC. ARTICLE 1 MEETING OF STOCKHOLDERS Exhibit 3.24 CLEARWATER ENERGY, INC. BYLAWS ARTICLE 1 MEETING OF STOCKHOLDERS Section 1. Place of Meeting and Notice. Meetings of the stockholders of the Corporation shall be held at such place either within or without the State of Alabama as the Board of Directors may determine. Section 2. Annual and Special Meetings. Annual meetings of stockholders shall be held, at a date, time and place fixed |
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| August 22, 2013 |
WALTER MINERALS, INC. ARTICLE 1 MEETING OF STOCKHOLDERS Exhibit 3.18 WALTER MINERALS, INC. BY-LAWS ARTICLE 1 MEETING OF STOCKHOLDERS Section 1. Place of Meeting and Notice. Meetings of the stockholders of the Corporation shall be held at such place either within or without the State of Delaware as the Board of Directors may determine. Section 2. Annual and Special Meetings. Annual meetings of stockholders shall be held, at a date, time and place fixed |
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| August 22, 2013 |
LIMITED LIABILITY COMPANY AGREEMENT WALTER NATURAL GAS, LLC Exhibit 3.20 LIMITED LIABILITY COMPANY AGREEMENT OF WALTER NATURAL GAS, LLC This Limited Liability Company Agreement (this ?Agreement?) of Walter Natural Gas, LLC, a Delaware limited liability company (the ?Company?), dated as of April 26, 2010, is duly executed by Walter Energy, Inc., a Delaware corporation, in its capacity as the sole member of the Company (the ?Member?). Article I Formation of |
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| August 22, 2013 |
JIM WALTER RESOURCES, INC. ARTICLE I MEETING OF STOCKHOLDERS Exhibit 3.28 JIM WALTER RESOURCES, INC. BY-LAWS ARTICLE I MEETING OF STOCKHOLDERS Section 1. Place of Meeting and Notice. Meetings of the stockholders of the Corporation shall be held at such place either within or without the State of Alabama as the Board of Directors may determine. Section 2. Annual and Special Meetings. Annual meetings of stockholders shall be held, at a date, time and place fi |
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| August 22, 2013 |
Exhibit 3.7 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION LAND HOLDINGS CORPORATION (Pursuant to Section 242) Land Holdings Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (hereinafter called the “Corporation”), DOES HEREBY CERTIFY THAT: FIRST: That the Board of Directors of said Corporation, by the unanimous |
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| August 22, 2013 |
Exhibit 5.3 August 22, 2013 Walter Energy, Inc. 3000 Riverchase Galleria, Suite 1700 Birmingham, Alabama 35244 Ladies and Gentlemen: We have acted as special West Virginia counsel to Hamer Properties, Inc., a West Virginia corporation (the “West Virginia Guarantor”) in connection with the Registration Statement on Form S-4 (the “Registration Statement”) filed by Walter Energy, Inc., a Delaware cor |
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| August 22, 2013 |
SIMPSON THACHER & BARTLETT LLP 425 LEXINGTON AVENUE NEW YORK, N.Y. 10017-3954 (212) 455-2000 FACSIMILE (212) 455-2502 VIA EDGAR August 22, 2013 Re: Walter Energy, Inc. Registration Statement on Form S-4 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Ladies and Gentlemen: On behalf of Walter Energy, Inc., a Delaware corporation (the “Issuer”), and the additional regist |
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| August 22, 2013 |
WALTER COKE, INC. ARTICLE 1 MEETING OF STOCKHOLDERS Exhibit 3.12 WALTER COKE, INC. BY-LAWS ARTICLE 1 MEETING OF STOCKHOLDERS Section 1. Place of Meeting and Notice. Meetings of the stockholders of the Corporation shall be held at such place either within or without the State of Delaware as the Board of Directors may determine. Section 2. Annual and Special Meetings. Annual meetings of stockholders shall be held, at a date, time and place fixed by t |
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| August 22, 2013 |
AMENDED AND RESTATED CERTIFICATE OF FORMATION HIGHMOUNT BLACK WARRIOR BASIN LLC Exhibit 3.9 AMENDED AND RESTATED CERTIFICATE OF FORMATION OF HIGHMOUNT BLACK WARRIOR BASIN LLC Pursuant to Section 18-208 of the Delaware Limited Liability Company Act, the undersigned desires to amend and restate the original Certificate of Formation of HighMount Black Warrior Basin LLC filed with the Delaware Secretary of State on July 31, 2007, and for that purpose does hereby certify as follow |
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| August 22, 2013 |
J.W.I. HOLDINGS CORPORATION ARTICLE I MEETING OF STOCKHOLDERS Exhibit 3.6 J.W.I. HOLDINGS CORPORATION BY?LAWS ARTICLE I MEETING OF STOCKHOLDERS Section 1. Place of Meeting and Notice. Meetings of the stockholders of the Corporation shall be held at such place either within or without the state of Delaware as the Board of Directors may determine. Section 2. Annual and Special Meetings. Annual meetings of stockholders shall be held, at a date, time and place f |
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| August 22, 2013 |
CERTIFICATION OF INCORPORATION JW RESOURCES INC. Exhibit 3.27 CERTIFICATION OF INCORPORATION OF JW RESOURCES INC. STATE OF ALABAMA I MONTGOMERY COUNTY I I, the undersigned Walker Hobbie, Jr., Judge of Probate of Montgomery County, Alabama, hereby certify that the Certificate of Incorporation of JW RESOURCES INC. has this day been filed for record in the Probate Court of Montgomery County, Alabama; and that the Certificate of Incorporation has be |
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| August 22, 2013 |
CERTIFICATE OF FORMATION WALTER NATURAL GAS, LLC Exhibit 3.19 CERTIFICATE OF FORMATION OF WALTER NATURAL GAS, LLC 1. The name of the limited liability company is Walter Natural Gas, LLC (the ?Company?). 2. The registered office of the Company in the State of Delaware is located at the Corporation Trust Center, 1209 Orange Street, Wilmington, New Castle County, Delaware 19801. The name of its registered agent at such address is The Corporation Tr |
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| August 22, 2013 |
Exhibit 3.10 AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF WALTER BLACK WARRIOR BASIN LLC A Delaware Limited Liability Company This AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF WALTER BLACK WARRIOR BASIN LLC (this ?Agreement?), is adopted and executed effective as of May 28, 2010. Recitals WHEREAS, a certain Limited Liability Company Agreement for Walter Black Warrior |
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| August 22, 2013 |
COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES Exhibit 12 COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES Years Ended December 31, Six Months Ended June 30, 2012 2011 2010 2009 2008 2013 2012 (In thousands, except ratios) Earnings: Income from continuing operations before income taxes (1,164,759 ) 494,823 577,596 183,994 332,789 (199,735 ) 80,584 Plus: Fixed charges 152,463 108,594 22,723 23,808 32,627 109,643 65,881 Less: Interest capitaliz |
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| August 22, 2013 |
QuickLinks - Click here to rapidly navigate through this document Exhibit 99.4 WALTER ENERGY, INC. NOTICE OF GUARANTEED DELIVERY OFFERS TO EXCHANGE $500,000,000 AGGREGATE PRINCIPAL AMOUNT OF ITS 9.875% SENIOR NOTES DUE 2020, WHICH HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, FOR ANY AND ALL OF ITS OUTSTANDING 9.875% SENIOR NOTES DUE 2020 AND $450,000,000 AGGREGATE PRINCIPAL A |
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| August 22, 2013 |
ARTICLES OF INCORPORATION TUSCALOOSA RESOURCES, INC. Exhibit 3.31 ARTICLES OF INCORPORATION OF TUSCALOOSA RESOURCES, INC. KNOW ALL MEN BY THESE PRESENTS: That the undersigned, for the purpose of forming a corporation under the Alabama Business Corporation Act, hereby adopts the following Articles of Incorporation: ARTICLE ONE NAME The name of the Corporation is Tuscaloosa Resources, Inc. ARTICLE TWO DURATION The term of existence of the Corporation |
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| August 22, 2013 |
AMENDED AND RESTATED CERTIFICATE OF FORMATION HIGHMOUNT EXPLORATION & PRODUCTION ALABAMA LLC Exhibit 3.13 AMENDED AND RESTATED CERTIFICATE OF FORMATION OF HIGHMOUNT EXPLORATION & PRODUCTION ALABAMA LLC Pursuant to Section 18-208 of the Delaware Limited Liability Company Act, the undersigned desires to amend and restate the original Certificate of Formation of HighMount Exploration & Production Alabama LLC filed with the Delaware Secretary of State on July 16, 2007, and for that purpose do |
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| August 22, 2013 |
Exhibit 25.2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) o UNION BANK, N.A. (Exact name of trustee as specified in its charter) 94-0304228 (Jurisdiction of incorp |
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| August 22, 2013 |
Exhibit 25.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) o UNION BANK, N.A. (Exact name of trustee as specified in its charter) 94-0304228 (Jurisdiction of incorp |
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| August 22, 2013 |
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION SLOSS INDUSTRIES CORPORATION Exhibit 3.11 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SLOSS INDUSTRIES CORPORATION SLOSS INDUSTRIES CORPORATION, a Delaware corporation (the ?Corporation?), hereby certifies as follows: Pursuant to the provisions of Sections 242 and 245 of the General Corporation Law of the State of Delaware, the sole stockholder of the Corporation has duly adopted the following Amended and Restated Ce |
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| August 22, 2013 |
Exhibit 3.14 AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF WALTER EXPLORATION & PRODUCTION LLC A Delaware Limited Liability Company This AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF WALTER EXPLORATION & PRODUCTION LLC (this ?Agreement?), is adopted and executed as of May 28, 2010. Recitals WHEREAS, a certain Limited Liability Company Agreement for Walter Exploration & |
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| August 22, 2013 |
ARTICLES OF AMENDMENT TO THE ARTICLES OF INCORPORATION WALTER SERVICES OF ALABAMA, INC. Exhibit 3.21 ARTICLES OF AMENDMENT TO THE ARTICLES OF INCORPORATION OF WALTER SERVICES OF ALABAMA, INC. STATE OF ALABAMA ) : COUNTY OF MONTGOMERY ) TO THE HONORABLE JUDGE OF PROBATE OF MONTGOMERY COUNTY: Pursuant to the provisions of Article 10 of Chapter 2B of Title 10 of the Code of Alabama of 1975 (§ 10-2B-10.01, et seq. and § 10-2B-1.25(c)(4)), the undersigned corporation executes the followin |
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| August 22, 2013 |
TAFT COAL SALES & ASSOCIATES, INC. ARTICLE 1 MEETING OF STOCKHOLDERS Exhibit 3.30 TAFT COAL SALES & ASSOCIATES, INC. BYLAWS ARTICLE 1 MEETING OF STOCKHOLDERS Section 1. Place of Meeting and Notice. Meetings of the stockholders of the Corporation shall be held at such place either within or without the State of Alabama as the Board of Directors may determine. Section 2. Annual and Special Meetings. Annual meetings of stockholders shall be held, at a date, time and p |
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| August 22, 2013 |
TUSCALOOSA RESOURCES, INC. AMENDED AND RESTATED BY-LAWS ARTICLE I MEETING OF STOCKHOLDERS Exhibit 3.32 TUSCALOOSA RESOURCES, INC. AMENDED AND RESTATED BY-LAWS ARTICLE I MEETING OF STOCKHOLDERS Section 1. Place of Meeting and Notice. Meetings of the stockholders of the Corporation shall be held at such place either within or without the State of Alabama as the Board of Directors may determine. Section 2. Annual and Special Meetings. Annual meetings of stockholders shall be held, at a da |
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| August 1, 2013 |
Exhibit 99.1 Walter Energy, Inc. 3000 Riverchase Galleria Suite 1700 Birmingham, AL 35244 www.walterenergy.com For media: Ruth Pachman, 212-521-4891 [email protected] or For investors: Mark Tubb, 205-745-2627 [email protected] For Immediate Release Walter Energy Announces Second Quarter 2013 Results Achieved Revenues of $441 Million on 2.4 Million Metric Tons of Met Coal Sales Increa |
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| August 1, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 1, 2013 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of (Commission File Number) (I.R.S |
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| July 23, 2013 |
Exhibit 99.2 SOURCE: Walter Energy For media: Ruth Pachman, 212-521-4891 [email protected] or For investors: Mark Tubb, 205-745-2627 [email protected] For Immediate Release WALTER ENERGY PROVIDES PRELIMINARY SECOND QUARTER 2013 OPERATING RESULTS Second Quarter 2013 Earnings Release and Conference Call Scheduled For August 1 BIRMINGHAM, Ala. — {MARKETWIRE} — Jul. 23, 2013 — Walter Ene |
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| July 23, 2013 |
FIFTH AMENDMENT TO CREDIT AGREEMENT EX-10.1 2 a13-170101ex10d1.htm EX-10.1 Exhibit 10.1 EXECUTION VERSION FIFTH AMENDMENT TO CREDIT AGREEMENT FIFTH AMENDMENT TO CREDIT AGREEMENT (this “Fifth Amendment”) dated as of July 23, 2013, among Walter Energy, Inc., a Delaware corporation, Western Coal ULC, an unlimited liability corporation existing under the laws of the Canadian province of British Columbia, Walter Energy Canada Holdings, I |
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| July 23, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 23, 2013 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) (Commission File |
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| July 23, 2013 |
WALTER ENERGY COMPLETES CREDIT FACILITY AMENDMENT, RESETS DIVIDEND Exhibit 99.1 SOURCE: Walter Energy For media: Ruth Pachman, 212-521-4891 [email protected] or For investors: Mark Tubb, 205-745-2627 [email protected] For Immediate Release WALTER ENERGY COMPLETES CREDIT FACILITY AMENDMENT, RESETS DIVIDEND BIRMINGHAM, Ala. — (MARKETWIRE) — Jul. 23, 2013 — Walter Energy, Inc. (NYSE: WLT) (TSX: WLT), a leading, publicly traded “pure-play” producer of m |
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| July 16, 2013 |
1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 15, 2013 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) (Commission Fil |
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| June 14, 2013 |
WALTER ENERGY ISSUES STATEMENT ON REFINANCING Exhibit 99.1 Contacts For investors: Mark Tubb, 205-745-2627 [email protected] For media: Ruth Pachman, 212-521-4891 [email protected] For Immediate Release WALTER ENERGY ISSUES STATEMENT ON REFINANCING BIRMINGHAM, Ala. — June 14, 2013 — Walter Energy Inc. (NYSE:WLT) (TSX:WLT), a leading, publicly traded “pure-play” producer of metallurgical (met) coal for the global steel industry, |
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| June 14, 2013 |
Regulation FD Disclosure, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 14, 2013 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of (Commission File Number) (I.R.S. |
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| June 5, 2013 |
Regulation FD Disclosure - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 5, 2013 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of (Commission File Number) (I.R.S. |
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| May 2, 2013 |
Exhibit 99.2 WALTER ENERGY, INC. AND SUBSIDIAIRES QUARTERLY SUPPLEMENTAL FNANCIAL DATA FOR 2012 (Ton information in 000’s metric tons and dollars in USD) Unaudited 3 Months Ended March 31, 2012 3 Months Ended June 30, 2012 3 Months Ended September 30, 2012 3 Months Ended December 31, 2012 U.S. Operations Canadian and U.K. Operations (3) Total U.S. Operations Canadian and U.K. Operations (3) Total |
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| May 2, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 1, 2013 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of (Commission File Number) (I.R.S. E |
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| May 2, 2013 |
Exhibit 99.1 For media: Ruth Pachman, 212-521-4891 [email protected] or For investors: Mark Tubb, 205-745-2627 [email protected] For Immediate Release Walter Energy Announces First Quarter 2013 Results Company Reports 9% Increase in Met Coal Sales Volumes Compared to the Fourth Quarter of 2012 Adjusted EBITDA Improves to $32.0 Million Improved Operating Performance Reflects a 12% Seq |
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| April 30, 2013 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 25, 2013 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of (Commission File Number) (I.R.S |
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| April 25, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant o Filed by a party other than the registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement o Definitive Additional Materials x Soliciting Material Under §240. |
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| April 22, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant o Filed by a party other than the registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement o Definitive Additional Materials x Soliciting Material Under §240. |
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| April 19, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| April 18, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant o Filed by a party other than the registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement o Definitive Additional Materials x Soliciting Material Under §240. |
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| April 17, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant o Filed by a party other than the registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement o Definitive Additional Materials x Soliciting Material Under ?240. |
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| April 16, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant o Filed by a party other than the registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement o Definitive Additional Materials x Soliciting Material Under ?240. |
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| April 15, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant o Filed by a party other than the registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement o Definitive Additional Materials x Soliciting Material Under §240. |
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| April 15, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| April 15, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| April 12, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| April 12, 2013 |
WALTER ENERGY PROVIDES PRELIMINARY FIRST QUARTER 2013 OPERATING RESULTS Exhibit 99.1 SOURCE: Walter Energy April 11, 2013 17:00 ET For media: Ruth Pachman, 212-521-4891 [email protected] or For investors: Mark Tubb, 205-745-2627 [email protected] For Immediate Release WALTER ENERGY PROVIDES PRELIMINARY FIRST QUARTER 2013 OPERATING RESULTS BIRMINGHAM, Ala., April 11, 2013 — Walter Energy, Inc. (NYSE: WLT) (TSX: WLT) today said that performance for the fir |
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| April 12, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant [ ] Filed by a party other than the registrant [X] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [ ] Definitive Additional Materials [X] Soliciting Material Under §240. |
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| April 12, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 11, 2013 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of (Commission File No.) (I.R.S. E |
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| April 11, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant o Filed by a party other than the registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement o Definitive Additional Materials x Soliciting Material Under §240. |
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| April 11, 2013 |
April 11, 2013 VIA COURIER AND EDGAR Re: Walter Energy, Inc. Form 10-K for Fiscal Year Ended December 31, 2012 Filed March 1, 2013 File No. 001-13711 Ms. Tia Jenkins Securities and Exchange Commission Division of Corporation Finance 100 F. Street, N.E. Mailstop 7010 Washington, D.C. 20549 Dear Ms. Jenkins: We are writing in response to the comments set forth in the comment letter of the staff of t |
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| April 10, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant [ ] Filed by a party other than the registrant [X] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [ ] Definitive Additional Materials [X] Soliciting Material Under §240. |
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| April 10, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant [ ] Filed by a party other than the registrant [X] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [ ] Definitive Additional Materials [X] Soliciting Material Under §240. |
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| April 5, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| April 5, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| April 4, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant o Filed by a party other than the registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement o Definitive Additional Materials x Soliciting Material Under §240. |
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| April 4, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| April 4, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant o Filed by a party other than the registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement o Definitive Additional Materials x Soliciting Material Under ?240. |
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| April 4, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| March 27, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant o Filed by a party other than the registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement o Definitive Additional Materials x Soliciting Material Under §240. |
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| March 27, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 27, 2013 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission File |
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| March 27, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| March 27, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant o Filed by a party other than the registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement o Definitive Additional Materials x Soliciting Material Under ?240. |
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| March 27, 2013 |
WALTER ENERGY PROVIDES UPDATE ON PRODUCTION CURTAILMENT AT WILLOW CREEK MINE Exhibit 99.1 Walter Energy, Inc. 3000 Riverchase Galleria Suite 1700 Birmingham, AL 35244 www.walterenergy.com For Immediate Release WALTER ENERGY PROVIDES UPDATE ON PRODUCTION CURTAILMENT AT WILLOW CREEK MINE BIRMINGHAM, AL — March 27, 2013 — Walter J. Scheller III, Chief Executive Officer of Walter Energy, Inc. (NYSE: WLT) (TSX: WLT), today provided an update on the Company’s decision to curtail |
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| March 27, 2013 |
Exhibit 4.1 EXECUTION VERSION WALTER ENERGY, INC. AND EACH OF THE GUARANTORS PARTY HERETO 8.500% SENIOR NOTES DUE 2021 INDENTURE Dated as of March 27, 2013 Union Bank, N.A. Trustee CROSS-REFERENCE TABLE* Trust Indenture Act Section Indenture Section 310(a)(1) 7.10 (a)(2) 7.10 (a)(3) N.A. (a)(4) N.A. (a)(5) 7.10 (b) 7.10 (c) N.A. 311(a) 7.11 (b) 7.11 (c) N.A. 312(a) 2.05 (b) 12.03 (c) 12.03 313(a) |
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| March 27, 2013 |
Exhibit 99.1 SOURCE: Walter Energy March 27, 2013 Walter Energy Announces Closing of $450 Million Senior Notes Offering BIRMINGHAM, Ala. — March 27, 2013 — Walter Energy Inc. (“Walter Energy”) (NYSE: WLT) (TSX: WLT) today announced the closing of its previously announced private offering of $450 million aggregate principal amount of its 8.500% senior notes due 2021 (the “Notes”). The Notes will be |
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| March 27, 2013 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 27, 2013 Walter Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-13711 13-3429953 (State or other jurisdiction of incorporation) Commission File |
