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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 | ||||||||
Restricted Units (phantom stock units) | (2) | 08/23/2010 | A | 2,345 (3) | 08/23/2011(4) | 08/23/2013 | Common Stock | 2,345 | $ 0 | 2,345 | D | ||||
Stock Option (right to buy) | $ 31.56 | 08/23/2010 | A | 2,933 (5) | (6) | 08/23/2020 | Common Stock | 2,933 | $ 0 | 2,933 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Holland Robert B III C/O MASSEY ENERGY COMPANY 4 NORTH 4TH STREET RICHMOND, VA 23219 |
X |
/s/ Richard R. Grinnan, attorney-in-fact | 08/25/2010 | |
**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) | Pursuant to the Massey Energy Company Non-Employee Director Compensation Summary (effective November 9, 2009), the reporting person was granted an initial stock award of 3,485 restricted shares. |
(2) | The settlement price of each restricted unit is the cash value of one share of Massey common stock on the date such unit vests. |
(3) | Pursuant to the Massey Energy Company Non-Employee Director Compensation Summary (effective November 9, 2009), the reporting person was granted an initial unit award of 2,345 restricted units. |
(4) | These restricted units vest and are paid in cash in three equal installments beginning on August 23, 2011 and ending on August 23, 2013. |
(5) | Pursuant to the Massey Energy Company Non-Employee Director Compensation Summary (effective November 9, 2009), the reporting person was granted a pro rata portion of an annual stock option award of 2,933 stock options. |
(6) | One third of these stock options vest and become exercisable beginning on August 23, 2011, one third on August 23, 2012, and the remaining third on August 23, 2013. |