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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) (1) | $ 15.39 | 04/04/2007 | M(2) | 22,095 | (6) | 04/27/2014 | Common shares, $0.01 par value per share | 22,095 | $ 0 | 66,285 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LILLY PETER B 1800 WASHINGTON ROAD PITTSBURGH, PA 15241 |
President - Coal Group |
/s/ Peter B. Lilly by Stephanie Gill, his attorney-in-fact | 05/31/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This exercise of options was inadvertently omitted from the reporting person's original Form 4 filing, filed on April 5, 2007, which reported the sale of 22,095 shares pursuant to a 10b5-1 trading plan. |
(2) | All transactions occurring on April 4, 2007, including the exercise and subsequent sale of 22,095 shares, were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 13, 2007, as opposed to the trading plan adopted on November 16, 2004, as originally reported on the Form 4 filing, filed on April 5, 2007. |
(3) | The sale transaction was previously reported on the Form 4 filed on April 5, 2007, but is being included on this amended Form 4 as a matter of completeness. |
(4) | An adjustment of 22,095 additional shares has been made to the total number of shares beneficially owned by the reporting person, to account for the exercise of options which was inadvertently omitted from the reporting person's original Form 4 filing, reporting the sale of 22,095 shares, filed on April 5, 2007. |
(5) | Of the 94,377 shares owned directly, 55,106 are restricted stock units including dividend equivalent rights. |
(6) | Stock option grant provides that options vest 25% per year beginning April 27, 2005. |