SEC Form 4 · accession 0001127602-15-011482
Alpha Natural Resources, Inc. · ANR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Matthew Manno
Officer — SVP - Chief Info & Sourcing
Period of report
Mar 13, 2015
Accepted (ET)
Mar 16, 2015 · 6:52 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 StockF1,F2 | Mar 13, 2015 | M | 8,561 | — | A | 146,661 | D | |
| Common Stock | Mar 13, 2015 | D | 8,561 | $0.91 | D | 138,100 | D | |
| Common StockF3 | Mar 13, 2015 | F | 280 | $0.91 | D | 137,820 | 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 UnitsF1,F2,F4 | — | Mar 13, 2015 | M | 8,561 | D | — | — | Common Stock | 8,561 | 136,660 | D |
Explanation of responses
- F1Each restricted stock unit represents the right to receive the cash value of one share of the Issuer's common stock at settlement.
- F2Previously, 25,683 shares of cash-settled restricted stock units were reported in Table I. One-third of these units vested on March 13, 2015 and the remaining balance has been transferred from Table I and are now included in Table II.
- F3Represents 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.
- F403/13/2015