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 |
|
1. Name and Address of Reporting Person*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 08/15/2006 |
3. Issuer Name and Ticker or Trading Symbol
MASSEY ENERGY CO [ MEE ] |
|||||||||||||
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
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 | 13,000 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
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 | ||||
Restricted Units (phantom stock units)(1) | 09/10/2006 | 09/10/2006 | Common Stock | 89 | $0(2) | D | |
Restricted Units (phantom stock units)(3) | 09/10/2006 | 09/10/2007 | Common Stock | 178 | $0(2) | D | |
Restricted Units (phantom stock units)(4) | 09/10/2006 | 09/10/2008 | Common Stock | 351 | $0(2) | D | |
Restricted Units (phantom stock units)(5) | 10/29/2006 | 10/29/2006 | Common Stock | 1,150 | $0(2) | D | |
Employee Stock Options (right to buy)(6) | 10/29/2006 | 10/21/2012 | Common Stock | 6,927 | $5.21 | D | |
Restricted Units (phantom stock units)(7) | 11/17/2006 | 11/17/2007 | Common Stock | 947 | $0(2) | D | |
Employee Stock Options (right to buy)(8) | 11/17/2006 | 11/17/2013 | Common Stock | 9,236 | $13.595 | D | |
Restricted Units (phantom stock units)(9) | 11/15/2008 | 11/15/2008 | Common Stock | 860 | $0(2) | D | |
Employee Stock Options (right to buy)(10) | 11/15/2008 | 11/15/2014 | Common Stock | 9,236 | $29.945 | D | |
Restricted Units (phantom stock units)(11) | 11/17/2006 | 11/17/2009 | Common Stock | 661 | $0(2) | D | |
Employee Stock Options (right to buy)(12) | 11/17/2006 | 11/14/2015 | Common Stock | 9,236 | $38.995 | D | |
Restricted Units (phantom stock units)(13) | 05/16/2007 | 05/16/2009 | Common Stock | 3,780 | $0(2) | D | |
Employee Stock Options (right to buy)(14) | 01/16/2005 | 07/09/2011 | Common Stock | 6,916 | $19.42 | D | |
Employee Stock Options (right to buy)(15) | 10/29/2005 | 10/29/2011 | Common Stock | 9,236 | $20.105 | D |
Explanation of Responses: |
1. These restricted units are part of a grant made to the reporting person on 9/10/96. These restricted units vest on 9/10/06. |
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. These restricted units are part of a grant made to the reporting person on 9/10/97. Of the remaining restricted units 89 vest on 9/10/06 and 89 vest on 9/10/07. |
4. These restricted units are part of a grant made to the reporting person on 12/8/98. Of the remaining restricted units 117 vest on 9/10/06, 117 vest on 9/10/07 and 117 vest on 9/10/08. |
5. These restricted units are part of a grant made to the reporting person on 10/21/02. These restricted units vest on 10/29/06. |
6. These stock options are part of a grant that was made to the reporting person on 10/21/02. Currently, 4,618 of hese options are exercisable and 2,309 vest and become exercisable beginning on 10/29/06. |
7. These restricted units are part of a grant made to the reporting person on 11/17/03. Of the remaining restricted units, 474 vest on 11/17/06 and 473 vest on 11/17/07. |
8. These stock options are part of a grant that was made to the reporting person on 11/17/03. Currently, 4,618 of these options are exercisable, 2,309 vest and become exercisable beginning on 11/17/06 and 2,309 vest and become exercisable beginning on 11/17/07. |
9. These restricted units were granted on 11/15/04 and vest on 11/15/08; however, they may vest before such date if certain Company performance targets are met. |
10. These stock options were granted on 11/14/05 and vest and become exercisable in four equal annual installments beginning on 11/17/06. |
11. These restricted units were granted on 11/14/05 and vest in four equal annual installments beginning on 11/17/06. |
12. These stock options were granted on 11/14/05 and vest and become exercisable in four equal annual installments beginning on 11/17/06. |
13. These restricted units were granted on 5/16/06 and vest in three equal annual installments beginning on 5/16/07. |
14. These stock options were granted on 7/9/01 and became fully exercisable on 1/16/05. |
15. These stock options were granted on 10/29/01 and became fully exercisable on 10/29/05. |
/s/ Richard R. Grinnan, attorney-in-fact | 08/24/2006 | |
** 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. |