SEC Form 4 · accession 0001209191-16-145362
ARCH COAL INC · ARCH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John W Lorson
Officer — VP & Chief Acctg Officer
Period of report
Oct 5, 2016
Accepted (ET)
Oct 7, 2016 · 2:32 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001037676
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Oct 5, 2016 | J | 235 | $0.00 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionsF2 | $0.00 | Oct 5, 2016 | D | 4,205 | D | — | — | Common Stock | 4,205 | 0 | D |
| Performance Stock AwardsF3 | $0.00 | Oct 5, 2016 | D | 1,755 | D | — | — | Common Stock | 1,755 | 0 | D |
| Restricted Stock UnitsF4 | $0.00 | Oct 5, 2016 | D | 1,755 | D | — | — | Common Stock | 1,755 | 0 | D |
Explanation of responses
- F1Represents shares cancelled for no value on October 5, 2016, the Effective Date of Arch Coal, Inc.'s Fourth Amended Joint Plan of Reorganization and the date on which Arch Coal, Inc. emerged from Chapter 11.
- F2Represents employee stock options cancelled for no value on October 5, 2016, the Effective Date of Arch Coal, Inc.'s Fourth Amended Joint Plan of Reorganization and the date on which Arch Coal, Inc. emerged from Chapter 11.
- F3Represents Performance Stock Awards cancelled for no value on October 5, 2016, the Effective Date of Arch Coal, Inc.'s Fourth Amended Joint Plan of Reorganization and the date on which Arch Coal, Inc. emerged from Chapter 11.
- F4Represents Restricted Stock Units cancelled for no value on October 5, 2016, the Effective Date of Arch Coal, Inc.'s Fourth Amended Joint Plan of Reorganization and the date on which Arch Coal, Inc. emerged from Chapter 11.