Statement of Changes in Beneficial Ownership (4)
June 02 2020 - 4:23PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Williams Stephen D. |
2. Issuer Name and Ticker or Trading Symbol
WARRIOR MET COAL, INC.
[
HCC
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
16243 HIGHWAY 216 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/1/2020 |
(Street)
BROOKWOOD, AL 35444
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 6/1/2020 | | M(1) | | 2019 | A | $0.00 | 17260 (2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Phantom Shares | (3) | | | | | | | (3) | (3) | Common Stock | 43580 | | 43580 | D | |
Restricted Stock Units | (4) | | | | | | | (4) | (4) | Common Stock | 13157 | | 13157 | D | |
Restricted Stock Units | (5) | 6/1/2020 | | M | | | 2019 | (5) | (5) | Common Stock | 2019 | $0.00 | 0 | D | |
Restricted Stock Units | (6) | | | | | | | (6) | (6) | Common Stock | 2101 | | 2101 | D | |
Restricted Stock Units | (7) | | | | | | | (7) | (7) | Common Stock | 3272 | | 3272 | D | |
Restricted Stock Units | (8) | | | | | | | (8) | (8) | Common Stock | 14925 | | 14925 | D | |
Explanation of Responses: |
(1) | Represents the settlement of restricted stock units, which settle into shares of common stock of Warrior Met Coal, Inc. on a one-for-one basis. |
(2) | Includes (i) 2,906 shares of restricted stock granted to the reporting person on April 1, 2016 under the Warrior Met Coal, Inc. 2016 Equity Incentive Plan (the "2016 Plan"), which vest on April 1, 2021, and (ii) 1,940 shares of restricted stock granted to the reporting person on February 24, 2017 under the 2016 Plan, which vest in equal installments on February 24, 2021 and February 24, 2022. |
(3) | The phantom shares were granted to the reporting person under the Warrior Met Coal, LLC 2016 Equity Incentive Plan and were fully vested as of April 1, 2016, the date of grant. The shares will settle in shares of common stock of Warrior Met Coal, Inc. on a one-for-one basis in a single installment on the earlier to occur of (i) a change of control or (ii) the fifth anniversary of the date of grant. |
(4) | The restricted stock units were granted to the reporting person under the Warrior Met Coal, Inc. 2017 Equity Incentive Plan and were fully vested as of April 19, 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 in a single installment on the earlier to occur of (i) a change of control or (ii) the fifth anniversary of the date of grant. |
(5) | The restricted stock units were granted to the reporting person 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 of service with Warrior Met Coal, Inc. or its affiliates; or (iv) the death of the reporting person. |
(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 April 23, 2018, 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 April 22, 2019, the date of grant. |
(8) | 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 April 24, 2020, the date of grant. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Williams Stephen D. 16243 HIGHWAY 216 BROOKWOOD, AL 35444 | X |
|
|
|
Signatures
|
/s/ Kelli K. Gant, by power of attorney | | 6/2/2020 |
**Signature of Reporting Person | Date |
Warrior Met Coal (NYSE:HCC)
Historical Stock Chart
From Jun 2024 to Jul 2024
Warrior Met Coal (NYSE:HCC)
Historical Stock Chart
From Jul 2023 to Jul 2024