SEC Form 3 · accession 0000899243-15-004562
Alpha Natural Resources, Inc. · ANR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce A Hartshorn
Officer — SVP - Sales and Marketing
Period of report
Aug 26, 2015
Accepted (ET)
Sep 8, 2015 · 4:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001301063
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 4,210 | D | ||
| Common StockF1 | holding | — | — | — | 5,133 | D | ||
| Common StockF2 | holding | — | — | — | 9,230 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3 | — | holding | — | — | — | — | — | Common Stock | 19,150 | — | D |
| Restricted Stock UnitsF4 | — | holding | — | — | — | — | — | Common Stock | 137,649 | — | D |
Explanation of responses
- F1Restricted stock unit award granted to reporting person under the Issuer's Amended and Restated 2012 Long-Term Incentive Plan. Subject to the terms of the award, each restricted stock unit represents the right to receive one share of the Issuer's common stock on February 27, 2016.
- F2Represents earned performance share units which continue to be subject to time-vesting criteria that will be satisfied, if at all, after December 31, 2015.
- F3Restricted stock unit award granted to reporting person under the Issuer's Amended and Restated 2012 Long-Term Incentive Plan. Subject to the terms of the award, the restricted stock units will vest and settle 50% on March 13, 2016 and 50% on March 13, 2017. Each restricted stock unit represents the right to receive the cash value of one share of the Issuer's common stock at settlement.
- F4Restricted stock unit award granted to reporting person under the Issuer's Amended and Restated 2012 Long-Term Incentive Plan. Subject to the terms of the award, the restricted stock units will vest and settle 40% on February 26, 2017 and 60% on February 26, 2018. Each restricted stock unit represents the right to receive the cash value of one share of the Issuer's common stock at settlement.
Remarks
Exhibit 24 - Power of Attorney