Sec Form 13G Filing - SUSQUEHANNA ADVISORS GROUP INC. filing for PEABODY ENERGY CORP (BTU) - 2020-02-10

 CUSIP No:  704551100

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

o

Rule 13d-1(b)

x

Rule 13d-1(c)

o

Rule 13d-1(d)

 CUSIP No:  704551100

(1)

Names of Reporting Persons
Capital Ventures International

(2)

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)

o

(b)

o

(3)

SEC Use Only

(4)

Citizenship or Place of Organization
Cayman Islands

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

(5)

Sole Voting Power
17,810 (1)(2)

(6)

Shared Voting Power
6,244,110 (1)

(7)

Sole Dispositive Power
17,810 (1)(2)

(8)

Shared Dispositive Power
6,244,110 (1)

(9)

Aggregate Amount Beneficially Owned by Each Reporting Person
6,244,110 (1)

(10)

Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

(11)

Percent of Class Represented by Amount in Row (9)
6.5%

(12)

Type of Reporting Person (See Instructions)
CO

 CUSIP No:  704551100

(1)

Names of Reporting Persons
CVI Opportunities Fund I, LLLP

(2)

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)

o

(b)

o

(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
4,929,539 (1)(2)

(6)

Shared Voting Power
6,244,110 (1)

(7)

Sole Dispositive Power
4,929,539 (1)(2)

(8)

Shared Dispositive Power
6,244,110 (1)

(9)

Aggregate Amount Beneficially Owned by Each Reporting Person
6,244,110 (1)

(10)

Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

(11)

Percent of Class Represented by Amount in Row (9)
6.5%

(12)

Type of Reporting Person (See Instructions)
PN

 CUSIP No:  704551100

(1)

Names of Reporting Persons
CVI Opportunities Fund II, LLLP

(2)

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)

o

(b)

o

(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
1,187,690 (1)(2)

(6)

Shared Voting Power
6,244,110 (1)

(7)

Sole Dispositive Power
1,187,690 (1)(2)

(8)

Shared Dispositive Power
6,244,110 (1)

(9)

Aggregate Amount Beneficially Owned by Each Reporting Person
6,244,110 (1)

(10)

Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

(11)

Percent of Class Represented by Amount in Row (9)
6.5%

(12)

Type of Reporting Person (See Instructions)
PN

 CUSIP No:  704551100

(1)

Names of Reporting Persons
G1 Execution Services, LLC

(2)

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)

o

(b)

o

(3)

SEC Use Only

(4)

Citizenship or Place of Organization
Illinois

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

(5)

Sole Voting Power
0 (1)

(6)

Shared Voting Power
6,244,110 (1)

(7)

Sole Dispositive Power
0 (1)

(8)

Shared Dispositive Power
6,244,110 (1)

(9)

Aggregate Amount Beneficially Owned by Each Reporting Person
6,244,110 (1)

(10)

Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

(11)

Percent of Class Represented by Amount in Row (9)
6.5%

(12)

Type of Reporting Person (See Instructions)
BD, OO

 CUSIP No:  704551100

(1)

Names of Reporting Persons
Susquehanna Advisors Group, Inc.

(2)

Check the Appropriate Box if a Member of a Group (See Instructions)

&# xA0;

(a)

o

(b)

o

(3)

SEC Use Only

(4)

Citizenship or Place of Organization
Pennsylvania

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

(5)

Sole Voting Power
0 (1)(2)

(6)

Shared Voting Power
6,244,110 (1)

(7)

Sole Dispositive Power
0 (1)(2)

(8)

Shared Dispositive Power
6,244,110 (1)

(9)

Aggregate Amount Beneficially Owned by Each Reporting Person
6,244,110 (1)

(10)

Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

(11)

Percent of Class Represented by Amount in Row (9)
6.5%

(12)

Type of Reporting Person (See Instructions)
CO

 CUSIP No:  704551100

(1)

Names of Reporting Persons
Susquehanna Fundamental Investments, LLC

(2)

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)

o

(b)

o

(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
65,600 (1)

(6)

Shared Voting Power
6,244,110 (1)

(7)

Sole Dispositive Power
65,600 (1)

(8)

Shared Dispositive Power
6,244,110 (1)

(9)

Aggregate Amount Beneficially Owned by Each Reporting Person
6,244,110 (1)

(10)

Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

(11)

Percent of Class Represented by Amount in Row (9)
6.5%

(12)

Type of Reporting Person (See Instructions)
OO

 CUSIP No:  704551100

(1)

Names of Reporting Persons
Susquehanna Securities, LLC

(2)

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)

o

(b)

o

(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
43,471 (1)

(6)

Shared Voting Power
6,244,110 (1)

(7)

Sole Dispositive Power
43,471 (1)

(8)

Shared Dispositive Power
6,244,110 (1)

(9)

Aggregate Amount Beneficially Owned by Each Reporting Person
6,244,110 (1)

(10)

Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

(11)

Percent of Class Represented by Amount in Row (9)
6.5%

(12)

Type of Reporting Person (See Instructions)
BD, OO

 CUSIP No:  704551100

Item 1.

(a)

Name of Issuer
Peabody Energy Corporation (the “Company”)

(b)

Address of Issuer’s Principal Executive Offices
701 Market Street, St. Louis, Missouri 63101

Item 2(a).

Name of Person Filing

This statement is filed by the entities listed below, who are collectively referred to herein as “Reporting Persons,” with respect to the shares of common stock of the Company, $0.01 par value per share (the “Shares”).

(i)          Capital Ventures International

(ii)         CVI Opportunities Fund I, LLLP

(iii)        CVI Opportunities Fund II, LLLP

(iv)        G1 Execution Services, LLC

(v)         Susquehanna Advisors Group, Inc.

(vi)        Susquehanna Fundamental Investments, LLC

(vii)       Susquehanna Securities, LLC

Item 2(b).

Address of Principal Business Office or, if none, Residence

The address of the principal business office of Capital Ventures International is:

P.O. Box 897

Windward 1, Regatta Office Park

West Bay Road

Grand Cayman, KY1-1103

Cayman Islands

The address of the principal business offices of each of CVI Opportunities Fund I, LLLP and CVI Opportunities Fund II, LLLP is:

One Commerce Center

1201 N. Orange Street

Suite 715

Wilmington, DE 19801

The address of the principal business office of G1 Execution Services, LLC is:

175 W. Jackson Blvd.

Suite 1700

Chicago, IL 60604

The address of the principal business office of each of Susquehanna Advisors Group, Inc., Susquehanna Fundamental Investments, LLC and Susquehanna Securities, LLC is:

401 E. City Avenue

Suite 220

Bala Cynwyd, PA 19004

Item 2(c).

Citizenship
Citizenship is set forth in Row 4 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person.

Item 2(d)

Title of Class of Securities
Common stock, $0.01 par value per share

Item 2(e)

CUSIP Number
704551100

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

(a)

o

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

(b)

o

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

(c)

o

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

(d)

o

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

(e)

o

An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

(f)

o

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

(g)

o

A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

(h)

o

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

(i)

o

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

(j)

o

A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J);

(k)

o

Group, in accordance with Rule 13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with

§240.13d-1(b)(1)(ii)(J), please specify the type of institution:____________________________

CUSIP No:  704551100

Item 4.

Ownership

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

The information required by Items 4(a) — (c) is set forth in Rows 5 — 11 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person.

The number of Shares reported as beneficially owned by Susquehanna Securities, LLC includes options to buy 11,100 Shares.

The Company’s Quarterly Report on Form 10-Q, filed with the United States Securities and Exchange Commission on November 5, 2019, indicates that there were 96,800,000 Shares outstanding as of November 1, 2019.

Susquehanna Advisors Group, Inc., which serves as the investment manager to Capital Ventures International, CVI Opportunities Fund I, LLLP and CVI Opportunities Fund II, LLLP, may be deemed to be the beneficial owner of all Shares owned by Capital Ventures International, CVI Opportunities Fund I, LLLP and CVI Opportunities Fund II, LLLP, respectively. Each of the Reporting Persons hereby disclaims any beneficial ownership of any such Shares, except for their pecuniary interest therein.

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:  o

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

Not applicable.

Item 8.

Identification and Classification of Members of the Group

Not applicable.

Item 9.

Notice of Dissolution of Group

Not applicable.

CUSIP No:  704551100

CAPITAL VENTURES INTERNATIONAL

CVI OPPORTUNITIES FUND I, LLLP

By: Susquehanna Advisors Group, Inc., pursuant to a Limited Power of Attorney, a copy of which was previously filed

By: Susquehanna Advisors Group, Inc., pursuant to a Limited Power of Attorney, a copy of which was previously filed

By:

/s/ Brian Sopinsky

By:

/s/ Brian Sopinsky

Name:

Brian Sopinsky

Name:

Brian Sopinsky

Title:

Assistant Secretary

Title:

Assistant Secretary

CVI OPPORTUNITIES FUND II, LLLP

By: Susquehanna Advisors Group, Inc., pursuant to a Limited Power of Attorney, a copy of which was previously filed

G1 EXECUTION SERVICES, LLC

By:

/s/ Brian Sopinsky

Name:

Brian Sopinsky

By:

/s/ Brian Sopinsky

Title:

Secretary

Name:

Brian Sopinsky

Title:

Assistant Secretary

SUSQUEHANNA ADVISORS GROUP, INC.

SUSQUEHANNA FUNDAMENTAL INVESTMENTS, LLC

By:

/s/ Brian Sopinsky< /font>

By:

/s/ Brian Sopinsky

Name:

Brian Sopinsky

Name:

Brian Sopinsky

Title:

Assistant Secretary

Title:

Assistant Secretary

SUSQUEHANNA SECURITIES, LLC

By:

/s/ Brian Sopinsky

Name:

Brian Sopinsky

Title:

Secretary

CUSIP No:  704551100

EXHIBIT

DESCRIPTION

I

Limited Power of Attorney for Capital Ventures International *

II

Limited Power of Attorney for CVI Opportunities Fund I, LLLP*

III

Limited Power of Attorney for CVI Opportunities Fund II, LLLP*

IV

Joint Filing Agreement

CUSIP No:  704551100

CAPITAL VENTURES INTERNATIONAL

CVI OPPORTUNITIES FUND I, LLLP

By: Susquehanna Advisors Group, Inc., pursuant to a Limited Power of Attorney

By: Susquehanna Advisors Group, Inc., pursuant to a Limited Power of Attorney

By:

/s/ Brian Sopinsky

By:

/s/ Brian Sopinsky

Name:

Brian Sopinsky

Name:

Brian Sopinsky

Title:

Assistant Secretary

Title:

Assistant Secretary

CVI OPPORTUNITIES FUND II, LLLP

By: Susquehanna Advisors Group, Inc., pursuant to a
Limited Power of Attorney

G1 EXECUTION SERVICES, LLC

By:

/s/ Brian Sopinsky

Name:

Brian Sopinsky

By:

/s/ Brian Sopinsky

Title:

Secretary

Name:

Brian Sopinsky

Title:

Assistant Secretary

SUSQUEHANNA ADVISORS GROUP, INC.

SUSQUEHANNA FUNDAMENTAL INVESTMENTS, LLC

By:

/s/ Brian Sopinsky

By:

/s/ Brian Sopinsky

Name:

Brian Sopinsky

Name:

Brian Sopinsky

Title:

Assistant Secretary

Title:

Assistant Secretary

SUSQUEHANNA SECURITIES

By:

/s/ Brian Sopinsky

Name:

Brian Sopinsky

Title:

Secretary