Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
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- Peter Lynch
What is insider trading>>
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
Schedule 13G/A
Under the Securities Exchange Act of 1934
(Amendment No.3)
Peabody Energy Corp.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
704556109
(CUSIP Number)
March 17, 2004
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[ ] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[X] Rule 13d-1(d)
CUSIP No. .............................................................704556109
1) Name of Reporting Person.......................Lehman Brothers Holdings Inc.
S.S. or I.R.S. Identification No. of Above Person................13-3216325
2) Check the Appropriate Box if a Member of a Group.................(a) [ ]
(b) [ ]
3) SEC Use Only
4) Citizenship or Place of Organization...............................Delaware
Number of Shares Beneficially Owned by Each Reporting Person With:
5) Sole Voting Power.....................................................3,500
6) Shared Voting Power.....................................................-0-
7) Sole Dispositive Power................................................3,500
8) Shared Dispositive Power................................................-0-
9) Aggregate Amount Beneficially Owned by Each Reporting Person..........3,500
10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares......[ ]
11) Percent of Class Represented by Amount in Row 9..........................0%
12) Type of Reporting Person.................................................HC
CUSIP No. .............................................................704556109
1) Name of Reporting Person................................Lehman Brothers Inc.
S.S. or I.R.S. Identification No. of Above Person................13-2518466
2) Check the Appropriate Box if a Member of a Group.................(a) [ ]
(b) [ ]
3) SEC Use Only
4) Citizenship or Place of Organization...............................Delaware
Number of Shares Beneficially Owned by Each Reporting Person With:
5) Sole Voting Power.....................................................3,500
6) Shared Voting Power.....................................................-0-
7) Sole Dispositive Power................................................3,500
8) Shared Dispositive Power................................................-0-
9) Aggregate Amount Beneficially Owned by Each Reporting Person..........3,500
10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares......[ ]
11) Percent of Class Represented by Amount in Row 9..........................0%
12) Type of Reporting Person.................................................BD
CUSIP No. .............................................................704556109
1) Name of Reporting Person.....................................LB I Group Inc.
S.S. or I.R.S. Identification No. of Above Person................13-2741778
2) Check the Appropriate Box if a Member of a Group.................(a) [ ]
(b) [ ]
3) SEC Use Only
4) Citizenship or Place of Organization...............................Delaware
Number of Shares Beneficially Owned by Each Reporting Person With:
5) Sole Voting Power.......................................................-0-
6) Shared Voting Power.....................................................-0-
7) Sole Dispositive Power..................................................-0-
8) Shared Dispositive Power................................................-0-
9) Aggregate Amount Beneficially Owned by Each Reporting Person............-0-
10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares......[ ]
11) Percent of Class Represented by Amount in Row 9..........................0%
12) Type of Reporting Person..............................................HC/CO
CUSIP No. .............................................................704556109
1) Name of Reporting Person............................Lehman Brothers Merchant
Banking Partners II
Inc.
S.S. or I.R.S. Identification No. of Above Person................13-3957483
2) Check the Appropriate Box if a Member of a Group.................(a) [ ]
(b) [ ]
3) SEC Use Only
4) Citizenship or Place of Organization...............................Delaware
Number of Shares Beneficially Owned by Each Reporting Person With:
5) Sole Voting Power.......................................................-0-
6) Shared Voting Power.....................................................-0-
7) Sole Dispositive Power..................................................-0-
8) Shared Dispositive Power................................................-0-
9) Aggregate Amount Beneficially Owned by Each Reporting Person............-0-
10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares......[ ]
11) Percent of Class Represented by Amount in Row 9..........................0%
12) Type of Reporting Person.................................................CO
CUSIP No. .............................................................704556109
1) Name of Reporting Person............................Lehman Brothers Offshore
Partners II Ltd.
S.S. or I.R.S. Identification No. of Above Person................98-0190704
2) Check the Appropriate Box if a Member of a Group.................(a) [ ]
(b) [ ]
3) SEC Use Only
4) Citizenship or Place of Organization................................Bermuda
Number of Shares Beneficially Owned by Each Reporting Person With:
5) Sole Voting Power.......................................................-0-
6) Shared Voting Power.....................................................-0-
7) Sole Dispositive Power..................................................-0-
8) Shared Dispositive Power................................................-0-
9) Aggregate Amount Beneficially Owned by Each Reporting Person............-0-
10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares......[ ]
11) Percent of Class Represented by Amount in Row 9..........................0%
12) Type of Reporting Person.................................................CO
CUSIP No. .............................................................704556109
1) Name of Reporting Person............................Lehman Brothers Merchant
Banking Partners II L.P.
S.S. or I.R.S. Identification No. of Above Person.......................N/A
2) Check the Appropriate Box if a Member of a Group.................(a) [ ]
(b) [ ]
3) SEC Use Only
4) Citizenship or Place of Organization...............................Delaware
Number of Shares Beneficially Owned by Each Reporting Person With:
5) Sole Voting Power.......................................................-0-
6) Shared Voting Power.....................................................-0-
7) Sole Dispositive Power..................................................-0-
8) Shared Dispositive Power................................................-0-
9) Aggregate Amount Beneficially Owned by Each Reporting Person............-0-
10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares......[ ]
11) Percent of Class Represented by Amount in Row 9..........................0%
12) Type of Reporting Person.................................................PN
CUSIP No. .............................................................704556109
1) Name of Reporting Person............................Lehman Brothers Offshore
Investment Partners II L.P.
S.S. or I.R.S. Identification No. of Above Person................30-0037037
2) Check the Appropriate Box if a Member of a Group.................(a) [ ]
(b) [ ]
3) SEC Use Only
4) Citizenship or Place of Organization................................Bermuda
Number of Shares Beneficially Owned by Each Reporting Person With:
5) Sole Voting Power.......................................................-0-
6) Shared Voting Power.....................................................-0-
7) Sole Dispositive Power..................................................-0-
8) Shared Dispositive Power................................................-0-
9) Aggregate Amount Beneficially Owned by Each Reporting Person............-0-
10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares......[ ]
11) Percent of Class Represented by Amount in Row 9..........................0%
12) Type of Reporting Person.................................................PN
CUSIP No. .............................................................704556109
1) Name of Reporting Person.............................Lehman Brothers Capital
Partners IV, L.P.
S.S. or I.R.S. Identification No. of Above Person................13-4042406
2) Check the Appropriate Box if a Member of a Group.................(a) [ ]
(b) [ ]
3) SEC Use Only
4) Citizenship or Place of Organization...............................Delaware
Number of Shares Beneficially Owned by Each Reporting Person With:
5) Sole Voting Power.......................................................-0-
6) Shared Voting Power.....................................................-0-
7) Sole Dispositive Power..................................................-0-
8) Shared Dispositive Power................................................-0-
9) Aggregate Amount Beneficially Owned by Each Reporting Person............-0-
10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares......[ ]
11) Percent of Class Represented by Amount in Row 9..........................0%
12) Type of Reporting Person.................................................PN
CUSIP No. .............................................................704556109
1) Name of Reporting Person.............................Lehman Brothers Capital
Partners III, L.P.
S.S. or I.R.S. Identification No. of Above Person................13-3857432
2) Check the Appropriate Box if a Member of a Group.................(a) [ ]
(b) [ ]
3) SEC Use Only
4) Citizenship or Place of Organization...............................Delaware
Number of Shares Beneficially Owned by Each Reporting Person With:
5) Sole Voting Power.......................................................-0-
6) Shared Voting Power.....................................................-0-
7) Sole Dispositive Power..................................................-0-
8) Shared Dispositive Power................................................-0-
9) Aggregate Amount Beneficially Owned by Each Reporting Person............-0-
10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares......[ ]
11) Percent of Class Represented by Amount in Row 9..........................0%
12) Type of Reporting Person.................................................PN
CUSIP No. .............................................................704556109
1) Name of Reporting Person........................Lehman Brothers MBG Partners
1998 (A) L.P.
S.S. or I.R.S. Identification No. of Above Person................13-4036790
2) Check the Appropriate Box if a Member of a Group.................(a) [ ]
(b) [ ]
3) SEC Use Only
4) Citizenship or Place of Organization...............................Delaware
Number of Shares Beneficially Owned by Each Reporting Person With:
5) Sole Voting Power.......................................................-0-
6) Shared Voting Power.....................................................-0-
7) Sole Dispositive Power..................................................-0-
8) Shared Dispositive Power................................................-0-
9) Aggregate Amount Beneficially Owned by Each Reporting Person............-0-
10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares......[ ]
11) Percent of Class Represented by Amount in Row 9..........................0%
12) Type of Reporting Person.................................................PN
CUSIP No. .............................................................704556109
1) Name of Reporting Person........................Lehman Brothers MBG Partners
1998 (B) L.P.
S.S. or I.R.S. Identification No. of Above Person................13-4036792
2) Check the Appropriate Box if a Member of a Group.................(a) [ ]
(b) [ ]
3) SEC Use Only
4) Citizenship or Place of Organization...............................Delaware
Number of Shares Beneficially Owned by Each Reporting Person With:
5) Sole Voting Power.......................................................-0-
6) Shared Voting Power.....................................................-0-
7) Sole Dispositive Power..................................................-0-
8) Shared Dispositive Power................................................-0-
9) Aggregate Amount Beneficially Owned by Each Reporting Person............-0-
10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares......[ ]
11) Percent of Class Represented by Amount in Row 9..........................0%
12) Type of Reporting Person.................................................PN
CUSIP No. .............................................................704556109
1) Name of Reporting Person........................Lehman Brothers MBG Partners
1998 (C) L.P.
S.S. or I.R.S. Identification No. of Above Person................13-4036793
2) Check the Appropriate Box if a Member of a Group.................(a) [ ]
.. (b) [ ]
3) SEC Use Only
4) Citizenship or Place of Organization...............................Delaware
Number of Shares Beneficially Owned by Each Reporting Person With:
5) Sole Voting Power.......................................................-0-
6) Shared Voting Power.....................................................-0-
7) Sole Dispositive Power..................................................-0-
8) Shared Dispositive Power................................................-0-
9) Aggregate Amount Beneficially Owned by Each Reporting Person............-0-
10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares......[ ]
11) Percent of Class Represented by Amount in Row 9..........................0%
12) Type of Reporting Person.................................................PN
Item 1(a). Name of Issuer:
Peabody Energy Corp.
Item 1(b). Address of Issuer's Principal Executive Offices:
701 Market Street
St. Louis, Missouri 63101
Item 2(a). Name of Person(s) Filing:
Lehman Brothers Holdings Inc.
Lehman Brothers Inc.
LB I Group Inc.
Lehman Brothers Merchant Banking Partners II Inc.
Lehman Brothers Offshore Partners II Ltd.
Lehman Brothers Merchant Banking Partners II L.P.
Lehman Brothers Offshore Investment Partners II L.P.
Lehman Brothers Capital Partners IV, L.P.
Lehman Brothers Capital Partners III, L.P.
Lehman Brothers MBG Partners 1998 (A) L.P.
Lehman Brothers MBG Partners 1998 (B) L.P.
Lehman Brothers MBG Partners 1998 (C) L.P.
Item 2(b). Address of Principal Business Office:
Lehman Brothers Holdings Inc.
745 Seventh Avenue
New York, New York 10019
Lehman Brothers Inc.
745 Seventh Avenue
New York, New York 10019
LB I Group Inc.
745 Seventh Avenue
New York, New York 10019
Lehman Brothers Merchant Banking Partners II Inc.
745 Seventh Avenue
New York, New York 10019
Lehman Brothers Offshore Partners II Ltd.
2 Church Street
Hamilton, Bermuda
Lehman Brothers Merchant Banking Partners II L.P.
745 Seventh Avenue
New York, New York 10019
Lehman Brothers Offshore Investment Partners II L.P.
2 Church Street
Hamilton, Bermuda
Lehman Brothers Capital Partners IV, L.P.
745 Seventh Avenue
New York, New York 10019
Lehman Brothers Capital Partners III, L.P.
745 Seventh Avenue
New York, New York 10019
Lehman Brothers MBG Partners 1998 (A) L.P.
745 Seventh Avenue
New York, New York 10019
Lehman Brothers MBG Partners 1998 (B) L.P.
745 Seventh Avenue
New York, New York 10019
Lehman Brothers MBG Partners 1998 (C) L.P.
745 Seventh Avenue
New York, New York 10019
Item 2(c). Citizenship or Place of Organization:
Lehman Brothers Holdings Inc. ("Holdings") is a corporation
organized under the laws of the State of Delaware.
Lehman Brothers Inc. ("LBI") is a corporation organized under
the laws of the State of Delaware.
LB I Group Inc. ("LB I Group) is a corporation organized under
the laws of the State of Delaware.
Lehman Brothers Merchant Banking Partners II Inc. ("Merchant
Banking Partners II Inc.") is a corporation organized
under the laws of the State of Delaware.
Lehman Brothers Offshore Partners II Ltd. ("Offshore Partners
II Ltd.") is a corporation organized under the laws of
Bermuda.
Lehman Brothers Merchant Banking Partners II L.P. ("Merchant
Banking Partners II L.P.") is a limited partnership
organized under the laws of the State of Delaware.
Lehman Brothers Offshore Investment Partners II L.P.
("Offshore Investment Partners II L.P.") is a limited
partnership organized under the laws of Bermuda.
Lehman Brothers Capital Partners IV, L.P. ("Cap Partners IV")
is a limited partnership organized under the laws of the State
of Delaware.
Lehman Brothers Capital Partners III, L.P. ("Cap Partners
III") is a limited partnership organized under the laws of the
State of Delaware.
Lehman Brothers MBG Partners 1998 (A) L.P. ("MBG 1998 (A)") is
a limited partnership organized under the laws of the State of
Delaware.
Lehman Brothers MBG Partners 1998 (B) L.P. ("MBG 1998 (B)") is
a limited partnership organized under the laws of the State of
Delaware.
Lehman Brothers MBG Partners 1998 (C) L.P. ("MBG 1998 (C)") is
a limited partnership organized under the laws of the State of
Delaware.
Item 2(d). Title of Class of Securities:
Common Stock
Item 2(e). CUSIP Number:
704556109
Item 3. If this statement is filed pursuant to Rules 13d-1(b) or
13d-2(b) or (c), check whether the person filing is a:
(a) [ ] A broker or dealer under Section 15 of the 1934 Act
(b) [ ] A bank as defined in Section 3(a)(6) of the 1934 Act
(c) [ ] An insurance company as defined in Section 3(a)(19) of
the 1934 Act
(d) [ ] An investment company registered under Section 8 of
the Investment Company Act of 1940
(e) [ ] An investment advisor in accordance with Rule 13d-1(b)
(1)(ii)(E)
(f) [ ] An employee benefit plan or endowment fund in
accordance with Rule 13d-1(b)(1)(ii)(F)
(g) [ ] A parent holding company or control person in
accordance with Rule 13d-1(b)(1)(ii)(G)
(h) [ ] A savings association as defined in Section 3(b) of
the Federal Deposit Insurance Act
(i) [ ] A church plan that is excluded from the definition of
investment company under Section
3(c)(14)Of the Investment Company Act of 1940
(j) [ ] A group, in accordance with Rule 13d-1(b)(1)(ii)(J)
Item 4. Ownership
(a) Amount Beneficially Owned
See Item 9 of cover page.
(b) Percent of Class:
See Item 11 of cover page.
(c) Number of shares as to which the person has:
(i) sole power to vote or to direct the vote
(ii) shared power to vote or to direct the vote
(iii) sole power to dispose or to direct the disposition
(iv) shared power to dispose or to direct the disposition
See Items 5-8 of cover page.
Item 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of
the date hereof the reporting person has ceased to be the
beneficial owner of more than five percent of the class of
securities, check the following [X].
Item 6. Ownership of More than Five Percent on Behalf of Another
Person
Not Applicable
Item 7. Identification and Classification of the Subsidiary which
Acquired the Security being Reported on by the Parent
Holding Company or Control Person
LBI, a Broker-Dealer registered under Section 15 of the 1934
Act, is a wholly-owned subsidiary of Holdings and the actual
owner of 3,500 shares of Common Stock.
As of the date of this report, LB I Group, Merchant Banking
Partners II Inc., Offshore Partners II Ltd., Merchant Banking
Partners II L.P., Offshore Investment Partners II L.P., Cap
Partners III, Cap Partners IV, MBG 1998 (A), MBG 1998 (B) and
MBG 1998 (C) do not own any shares of Common Stock
beneficially or of record.
Under the rules and regulations of the Securities and Exchange
Commission, Holdings may be deemed to be the beneficial owner
of the remaining shares of Common Stock owned by LBI.
Holdings disclaims beneficial ownership of the Common Stock
owned by LBI except to the extent of its respective pecuniary
interests therein.
Item 8. Identification and Classification of Members of the Group
Not Applicable
Item 9. Notice of Dissolution of Group
Not Applicable
Item 10. Certification
[ ] By signing below I certify that, to the best of my knowledge and belief,
the securities referred to above were acquired and are held in the
ordinary course of business and were not acquired and are not held for the
purpose of or with the effect of changing or influencing the control of
the issuer of the securities and were not acquired and are not held in
connection with or as a participant in any transaction having that purpose
or effect.
[X] By signing below I hereby certify that, to the best of my knowledge and
belief, the securities referred to above were not acquired and are not
held for the purpose of or with the effect of changing or influencing the
control of the issuer of the securities and were not acquired and are not
held in connection with or as a participant in any transaction having that
purpose or effect.
After reasonable inquiry and to the best of the undersigned's knowledge and
belief, the undersigned hereby certifies that the information set forth in this
statement is true, complete and correct.
Dated: March 24, 2004
LEHMAN BROTHERS HOLDINGS INC.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title: Vice President
LEHMAN BROTHERS INC.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Senior Vice President
LB I GROUP INC.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Authorized Signatory
LEHMAN BROTHERS MERCHANT BANKING PARTNERS II INC.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Authorized Signatory
LEHMAN BROTHERS OFFSHORE PARTNERS II LTD.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Authorized Signatory
LEHMAN BROTHERS MERCHANT BANKING PARTNERS II L.P.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Authorized Signatory
LEHMAN BROTHERS OFFSHORE INVESTMENT PARTNERS II L.P.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Authorized Signatory
LEHMAN BROTHERS CAPITAL PARTNERS IV, L.P.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Authorized Signatory
LEHMAN BROTHERS CAPITAL PARTNERS III, L.P.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Authorized Signatory
LEHMAN BROTHERS MBG PARTNERS 1998 (A) L.P.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Authorized Signatory
LEHMAN BROTHERS MBG PARTNERS 1998 (B) L.P.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Authorized Signatory
LEHMAN BROTHERS MBG PARTNERS 1998 (C) L.P.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Authorized Signatory
EXHIBIT A - JOINT FILING AGREEMENT
The undersigned hereby agree that the Statement on Schedule 13G filed
herewith (and any amendments thereto), is being filed jointly with the
Securities and Exchange Commission pursuant to Rule 13d-1(k) (1) under the
Securities Exchange Act of 1934, as amended, on behalf of each such person.
Dated: March 24, 2004
LEHMAN BROTHERS HOLDINGS INC.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title: Vice President
LEHMAN BROTHERS INC.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Senior Vice President
LB I GROUP INC.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title: Authorized Signatory
LEHMAN BROTHERS MERCHANT BANKING PARTNERS II INC.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Authorized Signatory
LEHMAN BROTHERS OFFSHORE PARTNERS II LTD.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Authorized Signatory
LEHMAN BROTHERS MERCHANT BANKING PARTNERS II L.P.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Authorized Signatory
LEHMAN BROTHERS OFFSHORE INVESTMENT PARTNERS II L.P.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Authorized Signatory
LEHMAN BROTHERS CAPITAL PARTNERS IV, L.P.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Authorized Signatory
LEHMAN BROTHERS CAPITAL PARTNERS III, L.P.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Authorized Signatory
LEHMAN BROTHERS MBG PARTNERS 1998 (A) L.P.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Authorized Signatory
LEHMAN BROTHERS MBG PARTNERS 1998 (B) L.P.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Authorized Signatory
LEHMAN BROTHERS MBG PARTNERS 1998 (C) L.P.
By: /s/ Barrett S. DiPaolo
Name: Barrett S. DiPaolo
Title:Authorized Signatory