Peabody director acquires 123 dividend shares

BTU director Andrea E. Bertone received additional shares as dividend equivalents tied to prior equity awards, modestly increasing her direct common stock holdings.

Available on EDGAR 09/08/2026 - 04:12 PM EDT Accepted by SEC EDGAR 09/08/2026 - 04:12 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

PEABODY ENERGY CORP (BTU) director Andrea E. Bertone reported an acquisition of 123 shares of common stock on September 3, 2026, at a value of $27.64 per share. The filing states these shares are exempt dividend equivalents on prior deferred and restricted stock unit awards, bringing her direct holdings to 47,171 shares. No Rule 10b5-1 trading plan is reported.

Insider Trade Summary

Grant/Award: 123 shares

Grant/Award 1 txn

Insider Bertone Andrea E.

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1	123	$27.64	$3K

Holdings After Transaction: Common Stock — 47,171 shares (Direct)

Holdings Before and After: Common Stock, 47,048 to 47,171 shares (Direct)

Footnotes (1)

1. F1. The shares of Common Stock represent exempt dividend equivalents on prior deferred stock unit awards and restricted stock unit awards.

Key Figures

Shares acquired: 123 shares Per-share value: $27.64 per share Shares held after transaction: 47,171 shares

3 metrics

Shares acquired 123 shares Grant/award acquisition on September 3, 2026

Per-share value $27.64 per share Assigned to the 123-share dividend-equivalent grant

Shares held after transaction 47,171 shares Director Andrea E. Bertone’s direct common stock holdings after the award

Key Terms

dividend equivalents, deferred stock unit awards, restricted stock unit awards, Rule 10b5-1

4 terms

dividend equivalents financial

"represent exempt dividend equivalents on prior deferred stock unit awards"

Payments tied to employee or contractor equity awards that mirror the cash dividends paid on the company’s stock; they give the holder the same economic benefit as owning the shares without transferring actual shares—often paid in cash or additional award units when the award becomes payable. Investors care because these payments affect a company’s compensation costs, cash flow and potential share dilution, and they signal how management is being rewarded and aligned with shareholders.

deferred stock unit awards financial

"dividend equivalents on prior deferred stock unit awards and restricted"

restricted stock unit awards financial

"deferred stock unit awards and restricted stock unit awards"

Restricted stock unit awards are company promises to deliver a specific number of shares to employees or service providers in the future once conditions—such as staying with the company for a set time or meeting performance targets—are met. They matter to investors because when the promises convert into actual shares they increase the total share count and can reduce earnings per share, while also aligning recipients’ interests with stock performance much like deferred pay that turns into ownership if goals are met.

Rule 10b5-1 regulatory

"No Rule 10b5-1 trading plan is reported for this transaction"

Rule 10b5-1 is a regulation that allows company insiders to buy or sell their shares at predetermined times, even if they have access to non-public information. It acts like setting a schedule in advance for transactions, helping prevent accusations of unfair trading. This rule provides a way for insiders to plan trades transparently, giving investors confidence that these transactions are not based on hidden information.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What transaction did BTU director Andrea E. Bertone report on this Form 4?

Andrea E. Bertone reported an acquisition of 123 shares of Peabody Energy common stock on September 3, 2026. The shares represent exempt dividend equivalents on prior deferred stock unit and restricted stock unit awards, rather than an open-market purchase.

At what price were the BTU shares valued in Andrea E. Bertone’s Form 4 transaction?

The 123 shares of Peabody Energy common stock were valued at $27.64 per share in the Form 4. The filing characterizes the transaction as a grant or award acquisition tied to prior equity awards.

How many BTU shares does Andrea E. Bertone hold after this reported transaction?

After the reported acquisition, Andrea E. Bertone directly holds 47,171 shares of Peabody Energy common stock. This figure reflects her direct ownership position following the crediting of dividend-equivalent shares on prior awards.

Was Andrea E. Bertone’s BTU Form 4 transaction made under a Rule 10b5-1 plan?

No. The Form 4 indicates the Rule 10b5-1 checkbox is not affirmed, and there is no footnote stating that the September 3, 2026 transaction was made under a Rule 10b5-1 or other pre-arranged trading plan.

What is the nature of the BTU shares acquired by Andrea E. Bertone on September 3, 2026?

The filing states that the acquired shares of Peabody Energy common stock represent exempt dividend equivalents on prior deferred stock unit awards and restricted stock unit awards, rather than a cash purchase or sale in the market.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Bertone Andrea E.

(Last) (First) (Middle)

C/O PEABODY ENERGY CORPORATION

1245 J.J. KELLEY MEMORIAL DRIVE, STE 700

(Street)

ST. LOUIS MISSOURI 63131

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
PEABODY ENERGY CORP [ BTU ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/03/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction 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	09/03/2026		A		123(1)	A	$27.64	47,171	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction 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 (Month/Day/Year)		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: 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

Explanation of Responses:

1. The shares of Common Stock represent exempt dividend equivalents on prior deferred stock unit awards and restricted stock unit awards.

Remarks:

	/s/ Caitlin Reardon-Ashley, Attorney-in-fact	09/08/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)