SEC Form 4 · accession 0001127602-15-009185
Alpha Natural Resources, Inc. · ANR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philip J Cavatoni
Officer — EVP & Chief Fin & Strategy Off
Period of report
Feb 26, 2015
Accepted (ET)
Mar 2, 2015 · 6:45 pm EST
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 StockF1 | Feb 26, 2015 | A | 413,461 | $0.00 | A | 839,342 | D | |
| Common StockF2 | Feb 27, 2015 | F | 4,090 | $1.27 | D | 835,252 | 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,F4 | — | Feb 26, 2015 | A | 413,461 | A | — | — | Common Stock | 413,461 | 413,461 | D |
Explanation of responses
- F1Restricted stock unit award granted to reporting person under the Issuer's Amended and Restated 2012 Long-Term Incentive Plan.
- F2Represents shares tendered by reporting person to the Issuer for payment of withholding taxes; this transaction is exempt pursuant to Rule 16b-3 under the Securities and Exchange Act of 1934.
- F3Each 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 awards, the restricted stock units will vest and settle for cash 40% on February 26, 2017 and 60% on February 26, 2018.
Remarks
Exhibit 24 - Power of Attorney