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Walter Energy, Inc. 
 AL
  SEC # 837173

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1,500  SEC Filings
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  from  2/6/95  to  5/23/19  (None in the Past Year)

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  Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent   
 
Most-Recent Filing:    ‘REVOKED’ — SEC Order Revoking a Registration — Filed as:  Filer / Offerer 
 
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notifications of all
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Filings
involving  Walter Energy, Inc. 

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Forms
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, Documents
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& Exhibits
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 in  575 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
5/23/19 OLDREVOKEDSEC:  SEC Order Revoking a Registration  OLD 1
4/1/16 OLD8-KUpdate:  Current Reports — Form 8-K  OLD  — Press Releases
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& Conference Calls
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 — Financial Reports
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316

8-K Items: 
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4/1/16 OLD
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  Business & Operations: 
Entry into a Material Definitive Agreement — Item 1.01  OLD  — ‘EX-10’
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59
4/6/11 OLD"Termination of a Material Definitive Agreement — Item 1.02  OLD  — ‘EX-10’
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4
7/15/15 OLD"Bankruptcy or Receivership — Item 1.03  OLD  — ‘EX-2’
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1
4/14/14 OLD"Mine Safety – Reporting of Shutdowns and Patterns of Violations — Item 1.04  OLD  — ‘EX-95’
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2
4/1/16 OLD
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  Financial Info: 
Completion of Acquisition or Disposition of Assets — Item 2.01  OLD  — ‘EX-2’
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7
2/17/15 OLD"Results of Operations and Financial Condition — Item 2.02  OLD  — Financial Reports
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47
2/12/16 OLD"Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03  OLD  — ‘EX-10’
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8
7/15/15 OLD"Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement — Item 2.04  OLD  — ‘EX-10’
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2
1/6/09 OLD"Cost Associated with Exit or Disposal Activities — Item 2.05  OLD  — ‘EX-2’
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1
12/30/08 OLD"Material Impairments — Item 2.06  OLD  — ‘EX-2’
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1
7/30/15 OLD
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  Securities & Trading: 
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing — Item 3.01  OLD 3
3/2/15 OLD"Unregistered Sales of Equity Securities — Item 3.02  OLD  — ‘EX-1’
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11
7/14/14 OLD"Material Modifications to Rights of Security Holders — Item 3.03  OLD  — ‘EX-4’
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6
3/7/07 OLD
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  Accountants & Accounting: 
Changes in Registrant’s Certifying Accountant — Item 4.01  OLD  — ‘EX-16’
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3
3/1/06 OLD"Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review — Item 4.02  OLD 1
4/1/16 OLD
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  Governance & Management: 
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02  OLD  — ‘EX-17’
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 — List of Directors & Officers
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51
4/1/16 OLD"Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03  OLD  — ‘EX-3’
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5
11/7/11 OLD"Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics — Item 5.05  OLD  — ‘EX-14’
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1
4/27/15 OLD"Submission of Matters to a Vote of Security Holders — Item 5.07  OLD 6
3/18/16 OLD
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  Disclosures: 
Regulation FD Disclosure — Item 7.01  OLD  — ‘EX-99’
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72
7/9/15 OLD
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  Events: 
Other Events — Item 8.01  OLD 83
4/1/16 OLD
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  Financials: 
Financial Statements and Exhibits — Item 9.01  OLD  — Financial Reports
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188

11/5/15 OLD10-QUpdate:  Quarterly Reports — Form 10-Q  OLD  — Financial Reports
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70
3/24/15 OLDARSUpdate:  Annual Reports to Security Holders  OLD 4
3/11/15 OLDDEFA14AProxy:  Definitive Additional Proxy Soliciting Materials — Schedule 14A  OLD 22
3/11/15 OLDDEF 14AProxy:  Definitive Proxy Statements — Schedule 14A  OLD 20
2/26/15 OLD10-KUpdate:  Annual Reports — Form 10-K  OLD  — Financial Reports
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18
11/26/14 OLDEFFECTSEC:  SEC Notices of Effectiveness  OLD 2
11/12/14 OLDS-3Registration:  Registration Statements – Securities for Transactions — Form S-3  OLD 7
5/23/14 OLDCORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC
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20
4/24/14 OLDS-8Registration:  Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8  OLD 8
10/10/13 OLD424B3Registration:  Prospectuses – New Facts or Events  OLD 18
9/30/13 OLDS-4Registration:  Registration Statements – Securities for Mergers — Form S-4  OLD 2
3/8/13 OLDDEFC14AProxy:  Definitive Proxy Statement – Contested Solicitation — Schedule 14A  OLD 1
2/26/13 OLDPREC14AProxy:  Preliminary Proxy Statement – Contested Solicitation — Schedule 14A  OLD 1
4/25/12 OLD8-A12BRegistration:  Registration Statements for Certain Classes of Securities — Form 8-A  OLD 4
3/19/10 OLDS-3ASRRegistration:  Automatic Shelf Registration Statements by Well-Known Issuers — Form S-3  OLD 2
4/30/09 OLDCERTNYSTrading:  Certifications by the NYSE Approving Listings — Form CERT  OLD 2
4/17/09 OLD425Registration:  Prospectuses and Communications – Mergers  OLD 14
4/9/09 OLDDEFR14AProxy:  Definitive Revised Proxy Soliciting Materials — Schedule 14A  OLD 2
3/10/09 OLDPRE 14AProxy:  Preliminary Proxy Statements — Schedule 14A  OLD 3
6/11/08 OLD424B2Registration:  Prospectuses – Primary Offerings and Shelf Securities  OLD 2
6/9/08 OLD424B5Registration:  Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events  OLD 4
2/29/08 OLDNT 10-KUpdate:  Notice of a Late Filing of a Form 10-K Annual Report — Form 12b-25  OLD 1
5/25/06 OLD3Ownership:  Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3  OLD 1
10/3/05 OLDPOS AMRegistration:  Post-Effective Amendments of Registration Statements  OLD 15
3/20/02 OLD10-K405Update:  Annual Reports — Reg. S-K – Item 405 — Form 10-K  OLD 6
2/12/98 OLD424B4Registration:  Prospectus – Info Previously Omitted & New Facts or Events  OLD 1
10/6/95 OLDS-1Registration:  Registration Statements (General Form) — Form S-1  OLD 7
8/28/95 OLD8-A12GRegistration:  Registration Statement for a Class of Securities — Form 8-A  OLD 1
3/7/95 OLDT-3Registration:  Applications for Qualifications of Trust Indentures — Form T-3  OLD 3

General Exhibits: 
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4/1/16 OLDEX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD 17
2/12/16 OLDEX-4Instruments, Including Indentures, Defining the Rights of Security Holders  OLD 29
11/5/15 OLDEX-95Mine-Safety Disclosures  OLD 16
7/15/15 OLDEX-10Material Contracts  OLD 184
2/26/15 OLDEX-23Consents of Experts and Counsel  OLD 76
2/26/15 OLDEX-21Subsidiaries Lists  OLD 26
11/12/14 OLDEX-5Opinions of Counsel re: Legality  OLD 18
11/12/14 OLDEX-25Statements of Eligibility to Act as a Trustee — Forms T-1 & T-2  OLD 5
9/30/13 OLDEX-3Articles of Incorporation/Organization and Bylaws  OLD 43
3/1/13 OLDEX-24Powers of Attorney  OLD 28
11/7/11 OLDEX-14Code of Ethics  OLD 1
7/1/11 OLDEX-17Correspondence re: Departure of a Director  OLD 1
2/17/06 OLDEX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD 4
7/15/04 OLDEX-8Opinion of Counsel re: Tax Matters  OLD 1
10/30/97 OLDEX-20Other Document or Statement Furnished to Security Holders  OLD 1

Additional Exhibits: 
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4/1/16 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD  — Press Releases
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& Conference Calls
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282

Financials: 
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11/5/15 OLDEX-31Certifications — §302 – SOA’02  OLD 99
11/5/15 OLDEX-32Certifications — §906 – SOA’02  OLD 99
11/5/15 OLDXML  &  R#IDEA Financial Reports Info  OLD  — Financial Reports
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1,348
11/5/15 OLDEXCELIDEA Workbooks of Financial Reports Info  OLD  — Workbooks of Financial Reports
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31
11/5/15 OLDEX-101.*XBRL Data  (XBRL Files)  OLD 156
11/5/15 OLDZIPXBRL Zipped Folders
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  (Folders of XBRL Files)  OLD 
23
11/12/14 OLDEX-12Statements re: Computations of Ratios  OLD 16
3/7/07 OLDEX-16Letters re: Changes in Accountants  OLD 2
10/13/00 OLDEX-27Financial Data Schedules {Pre-XBRL}  OLD  — Financial Reports
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33
1/14/98 OLDEX-11Statements re: Computations of Earnings Per Share  OLD 14

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4/1/16 OLDGRAPHICPhotos, Images and Graphs  OLD 846


Forms
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, Documents
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& Exhibits
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 in  927 Filings
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 Filed re:  Issuer / Subject Company


        

        
Latest Filing  Type    Category    Description        Documents
     
4/13/16 OLD4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  OLD 704
2/12/16 OLDSC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD 111
7/30/15 OLD25-NSETrading:  Notices by Securities Exchanges of the Removals from Listing and Registration of Matured, Redeemed and Retired Securities — Form 25  OLD 2
5/21/15 OLD3Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD 38
4/25/13 OLDDFAN14AProxy:  Definitive Additional Non-Management Proxy Soliciting Materials — Schedule 14A  OLD 19
3/25/13 OLDDEFC14AProxy:  Definitive Proxy Statements – Contested Solicitations — Schedule 14A  OLD 3
3/22/13 OLDPREC14AProxy:  Preliminary Proxy Statements – Contested Solicitations — Schedule 14A  OLD 3
3/11/13 OLDPREN14AProxy:  Preliminary Non-Management Proxy Statement — Schedule 14A  OLD 1
1/26/07 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 28

Letters: 
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6/13/14 OLDLETTERComment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC18

General Exhibits: 
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5/21/15 OLDEX-24Powers of Attorney  OLD 147
6/9/97 OLDEX-3Articles of Incorporation/Organization or Bylaws  OLD 1
6/9/97 OLDEX-4Instrument Defining the Rights of Security Holders  OLD 1
6/9/97 OLDEX-2Plan of Acquisition, Reorganization, Arrangement, Liquidation or Succession  OLD 1
6/9/97 OLDEX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD 2

Additional Exhibits: 
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7/30/15 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD 20

Graphics: 
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4/4/13 OLDGRAPHICPhotos, Images and Graphs  OLD 88


        

Filings History

Year    # of Filings
In descending order
2019 1
2016 18
2015 81
2014 107
2013 163
2012 99
2011 111
2010 81
2009 103
2008 97
2007 77
2006 137
2005 138
2004 122
2003 37
2002 18
2001 9
2000 15
1999 14
1998 19
1997 19
1996 19
1995 15

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