Statement of Changes in Beneficial Ownership (4)
March 09 2020 - 3:41PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Richardson Jack K. |
2. Issuer Name and Ticker or Trading Symbol
WARRIOR MET COAL, INC.
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HCC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Operating Officer |
(Last)
(First)
(Middle)
16243 HIGHWAY 216 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/5/2020 |
(Street)
BROOKWOOD, AL 35444
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 3/5/2020 | | M(1) | | 1157 | A | $0.00 | 32948 (2) | D | |
Common Stock | 3/5/2020 | | F(3) | | 514 | D | $17.38 | 32434 (2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (4) | | | | | | | (4) | (4) | Common Stock | 4088 | | 4088 | D | |
Restricted Stock Units | (5) | 3/5/2020 | | M | | | 1157 | (5) | (5) | Common Stock | 1157 | $0.00 | 1157 | D | |
Restricted Stock Units | (6) | | | | | | | (6) | (6) | Common Stock | 6094 | | 6094 | D | |
Restricted Stock Units | (7) | | | | | | | (7) | (7) | Common Stock | 12292 | | 12292 | D | |
Explanation of Responses: |
(1) | Represents the vesting and settlement of restricted stock units, which convert into common stock on a one-for-one basis. |
(2) | Includes 15,690 shares of restricted stock granted to the reporting person on April 20, 2016 under the Warrior Met Coal, Inc. 2016 Equity Incentive Plan, which vest in equal installments on April 20, 2020 and April 20, 2021. |
(3) | Represents the withholding of shares for tax purposes. |
(4) | The restricted stock units were granted under the Warrior Met Coal, Inc. 2017 Equity Incentive Plan and were fully vested as of June 1, 2017, the date of grant. The units will settle in shares of common stock of Warrior Met Coal, Inc. on a one-for-one basis on the earliest of (i) one-third on each of the first three anniversaries of the date of grant; (ii) a change of control; (iii) the reporting person's separation from service with Warrior Met Coal, Inc. or its affiliates; or (iv) death of the reporting person. |
(5) | The restricted stock units were granted to the reporting person under the Warrior Met Coal, Inc. 2017 Equity Incentive Plan, and vest in equal installments on each of the first three anniversaries of March 5, 2018, the date of grant. |
(6) | The restricted stock units were granted to the reporting person under the Warrior Met Coal, Inc. 2017 Equity Incentive Plan, and vest in equal installments on each of the first three anniversaries of February 8, 2019, the date of grant. |
(7) | The restricted stock units were granted to the reporting person under the Warrior Met Coal, Inc. 2017 Equity Incentive Plan, and vest in equal installments on each of the first three anniversaries of February 13, 2020, the date of grant. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Richardson Jack K. 16243 HIGHWAY 216 BROOKWOOD, AL 35444 |
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| Chief Operating Officer |
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Signatures
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/s/ Kelli K. Gant, by power of attorney | | 3/9/2020 |
**Signature of Reporting Person | Date |
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