FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 01/28/2008 |
3. Issuer Name and Ticker or Trading Symbol
MASSEY ENERGY CO [ MEE ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock(1) | 7,868 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy)(2) | (3) | 10/29/2011 | Common Stock | 577 | $20.105 | D | |
Employee Stock Option (right to buy)(4) | (3) | 11/17/2013 | Common Stock | 1,154 | $13.595 | D | |
Employee Stock Option (right to buy)(5) | (6) | 11/15/2014 | Common Stock | 4,618 | $29.945 | D | |
Employee Stock Option (right to buy)(7) | (8) | 11/14/2015 | Common Stock | 6,927 | $38.995 | D | |
Employee Stock Option (right to buy)(9) | (10) | 11/12/2016 | Common Stock | 5,000 | $24.73 | D | |
Employee Stock Option (right to buy)(11) | (12) | 11/12/2017 | Common Stock | 5,102 | $28.96 | D | |
Restricted Units (phantom stock units)(13) | 11/15/2008 | 11/15/2008 | Common Stock | 430 | (14) | D | |
Restricted Units (phantom stock units)(15) | 11/17/2008 | 11/17/2009 | Common Stock | 247 | (14) | D | |
Restricted Units (phantom stock units)(16) | 11/12/2008 | 11/12/2009 | Common Stock | 1,042 | (14) | D | |
Restricted Units (phantom stock units)(17) | 11/12/2008 | 11/12/2010 | Common Stock | 1,683 | (14) | D |
Explanation of Responses: |
1. Restrictions remain on 5,363 shares, all of which lapse at various times over the next three years. |
2. These stock options were granted on 10/29/2001. |
3. Thest stock options are presently fully exercisable. |
4. These stock options were granted on 11/17/2003. |
5. These stock options were granted on 11/14/2004. |
6. These stock options vest and become exercisable on 11/15/2008; however, they may vest before such date if certain performance targets are met. |
7. These stock options were granted on 11/14/2005. |
8. Of the 6,927 stock options granted, restrictions on 3,464 options have lapsed and the restrictions on the remaining 3,463 options vest in two installments on 11/17/2008 and 11/17/2009. |
9. These stock options were granted on 11/12/2006. |
10. Of the 5,000 stock options granted, restrictions on 1,667 options have lapsed and the restrictions on the remaining 3,333 options vest in two installments on 11/12/2009 and 11/12/2010. |
11. These stock options were granted on 11/12/2007. |
12. The 5,102 stock options granted are currently restricted and will vest in three installments on 11/12/2008, 11/12/2009 and 11/12/2010. |
13. These restricted units were granted on 11/15/2004 and vest and become payable on 11/15/2008; however, they may vest before such date if certain performance targets are met. |
14. The settlement price of each restricted unit is the cash value of one share of Massey common stock on the date such units vest. |
15. These restricted units are part of a grant made on 11/14/2005 and vest and become payable in cash in two installments on 11/17/2008 and 11/17/2009. |
16. These restricted units are part of a grant made on 11/12/2006 and vest and become payable in cash in two installments on 11/12/2008 and 11/12/2009. |
17. These restricted units are part of a grant made on 11/12/2007 and vest and become payable in cash in three equal installments of 561 units on 11/12/2008, 11/12/2009, and 11/12/2010. |
Remarks: |
/s/ Richard R. Grinnan, attorney-in-fact | 01/30/2008 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |