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Securities Trading Plans of Directors and Executive Officers
−Removed: During the three months ended September 30, 2023, none of Peabody’s directors or officers adopted or terminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as those terms are defined in Item 408 of Regulation S-K.
+Added: During the three months ended March 31, 2024, the Peabody directors or officers listed below adopted or terminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as defined in Item 408 of Regulation S-K of the Exchange Act.
+Added: On March 6, 2024 , Mark A.
+Added: Spurbeck , Executive Vice President and Chief Financial Officer , terminated a prearranged stock trading plan pursuant to Rule 10b5-1, which was adopted on May 2, 2022 and provided for the sale of up to 35,264 shares of Peabody common stock until January 31, 2025 or the earlier completion of all authorized transactions under the plan.
+Added: An aggregate of 11,653 shares were sold under this plan.
+Added: The amount of shares available for sale represents the maximum number of shares that could potentially be sold pursuant to the Rule 10b5-1 trading arrangement, including sales made in connection with the vesting of future equity awards.
+Added: Accordingly, in calculating this amount, Peabody does not consider any potential reductions in shares available to be sold due to tax withholding at the time such equity awards vest, and, for performance-based awards, assumes such awards will vest at maximum value.
See Exhibit Index on following pages.
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Description of Exhibit
+Added: 10.1 Credit Agreement, dated as of January 18, 2024, among Peabody Energy Corporation, certain subsidiaries of Peabody Energy Corporation party thereto, PNC Bank, National Association, as administrative agent, and the lenders party thereto (incorporated by reference to Exhibit 1.1 to the Registrant’s Current Report on Form 8-K filed on January 18, 2024).
31.1† Certification of periodic financial report by the Registrant’s Chief Executive Officer pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934, as amended pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 .
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PEABODY ENERGY CORPORATION
−Removed: November 3, 2023 By:
+Added: May 9, 2024 By:
Executive Vice President and Chief Financial Officer
1 unchanged sentence
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.