-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SUXWKde32HTcn/FF1gTojdYlamo7+FGGJXzaFPjx8Qaxof117nnuSSVyV+0eC/BU JOYCzv/oO5iN3H80ser6yw== 0000898431-97-000115.txt : 19970415 0000898431-97-000115.hdr.sgml : 19970415 ACCESSION NUMBER: 0000898431-97-000115 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970404 FILED AS OF DATE: 19970414 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASHLAND COAL INC CENTRAL INDEX KEY: 0000833890 STANDARD INDUSTRIAL CLASSIFICATION: BITUMINOUS COAL & LIGNITE MINING [1220] IRS NUMBER: 610880012 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09993 FILM NUMBER: 97579778 BUSINESS ADDRESS: STREET 1: 2205 FIFTH ST RD CITY: HUNTINGTON STATE: WV ZIP: 25701 BUSINESS PHONE: 3045263333 MAIL ADDRESS: STREET 1: PO BOX 6300 CITY: HUNTINGTON STATE: WV ZIP: 25771 COMPANY DATA: COMPANY CONFORMED NAME: ARCH MINERAL CORP CENTRAL INDEX KEY: 0001037676 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER IRS NUMBER: 430921172 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: CITYPLACE ONE SUITE 300 CITY: CREVE COEUR STATE: MO ZIP: 63141 BUSINESS PHONE: 3149942700 MAIL ADDRESS: STREET 1: CITYPLACE ONE SUITE 300 CITY: CREVE COEUR STATE: MO ZIP: 63141 3 1 FORM 3 U. S. 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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) ================================================================================ 1. Name and Address of Reporting Person Arch Mineral Corporation ========================================================================== (Last) (First) (Middle) CityPlace One (Street) St. Louis Missouri 63141-7056 ================================================================================ (City) (State) (Zip) 2. Date of Event Requiring Statement (Month/Day/Year) 4/4/97 ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) 43-0921172 ================================================================================ 4. Issuer Name and Ticker or Trading Symbol Ashland Coal, Inc. (ACI) ================================================================================ 5. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ X ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) ========================================================================= 6. If Amendment, Date of Original (Month/Day/Year) ================================================================================ 7. Individual or Joint/Group Filing (Check applicable line) [ X ] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person ================================================================================ (Page 1 of 3 Pages) FORM 3 (continued) Table I - Non-Derivative Securities Beneficially Owned ================================================================================ 1. Title of Security 2. Amount of 3. Ownership 4. Nature of (Instr. 4) Securities Form: Direct Indirect Beneficially (D) or Beneficial Owned (Instr. 4) Indirect (I) Ownership (Instr. 5) (Instr. 5) ================================================================================ No securities beneficially owned* ================================================================================ ================================================================================ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================ 1. Title of Derivative 2. Date Exercisable and Expiration Date Security (Instr. 4) (Month/Day/Year) ============================================ Date Exercisable Expiration Date ================================================================================ No securities beneficially owned* ================================================================================ ================================================================================ 3. Title and Amount of 4. Conversion 5. Ownership 6. Nature of Securities Underlying or Exercise Form of Indirect Derivative Security Price of Derivative Beneficial (Instr. 4) Derivative Security: Ownership Security Direct (D) (Instr. 5) ========================= or Indirect Title Amount or (I) Number of (Instr. 5) Shares ================================================================================ ================================================================================ Explanation of Responses: * This Form 3 is being filed because the Reporting Person has entered into a Voting Agreement dated as of April 4, 1997 pursuant to which a certain stockholder of the Issuer whose aggregate beneficial ownership of the Issuer's Common Stock and Class B Preferred Stock exceeds 10% has agreed to vote its respective shares in favor of a pending combination between the Reporting Person and the Issuer. As a result of such Voting Agreement, the Reporting Person may be deemed to have shared beneficial ownership of such shares of the Issuer's Common Stock and Class B Preferred Stock for purposes of Section 13(d) under the Securities Exchange Act of 1934, as amended ("Exchange Act"). The Reporting Person disclaims beneficial ownership of any equity securities of the Issuer, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of any such equity securities for the purposes of Section 16 of the Exchange Act. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a) (Page 2 of 3 Pages) Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. /s/ Jeffry N. Quinn April 14, 1997 =============================================== ======================== Signature of Reporting Person Date Jeffry N. Quinn, Senior Vice President, Secretary and General Counsel (Page 3 of 3 Pages) -----END PRIVACY-ENHANCED MESSAGE-----