0000909012-12-000435.txt : 20121109
0000909012-12-000435.hdr.sgml : 20121109
20121109104632
ACCESSION NUMBER: 0000909012-12-000435
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20121109
DATE AS OF CHANGE: 20121109
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: ARCH COAL INC
CENTRAL INDEX KEY: 0001037676
STANDARD INDUSTRIAL CLASSIFICATION: BITUMINOUS COAL & LIGNITE SURFACE MINING [1221]
IRS NUMBER: 430921172
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-51233
FILM NUMBER: 121192143
BUSINESS ADDRESS:
STREET 1: CITY PLACE ONE STE 300
STREET 2: ARCH MINERAL CORP
CITY: ST LOUIS
STATE: MO
ZIP: 63141
BUSINESS PHONE: 3149942700
MAIL ADDRESS:
STREET 1: CITYPLACE ONE SUITE 300
STREET 2: ARCH MINERAL CORP
CITY: CREVE COEUR
STATE: MO
ZIP: 63141
FORMER COMPANY:
FORMER CONFORMED NAME: ARCH MINERAL CORP
DATE OF NAME CHANGE: 19970411
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: Tradewinds Global Investors, LLC
CENTRAL INDEX KEY: 0001383221
IRS NUMBER: 020767178
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 2049 CENTURY PARK EAST
STREET 2: 18TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
BUSINESS PHONE: (310) 552-5114
MAIL ADDRESS:
STREET 1: 2049 CENTURY PARK EAST
STREET 2: 18TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
FORMER COMPANY:
FORMER CONFORMED NAME: Tradewinds NWQ Global Investors, LLC
DATE OF NAME CHANGE: 20061211
SC 13G/A
1
t306921.txt
ARCH
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G/A
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 2)*
Arch Coal Incorporated
----------------------
(Name of Issuer)
Common
------------------------------------
(Title of Class of Securities)
039380100
--------------------
(CUSIP Number)
October 31, 2012
-------------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[x] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
PAGE 1 OF 4 PAGES
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Tradewinds Global Investors, LLC 02-0767178
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_]
(b) [_]
N/A
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware - U.S.A.
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
8,125,627
NUMBER OF -----------------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
EACH -----------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH 10,903,747
-----------------------------------------------------------
8 SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,903,747
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
N/A
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
5.14%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IA
--------------------------------------------------------------------------------
PAGE 2 OF 4 PAGES
Item 1(a) Name of Issuer:
Arch Coal Incorporated
Item 1(b) Address of Issuer's Principal Executive Offices:
One City Place Drive
Suite 300
St. Louis, MO 63141
UNITED STATES
Item 2(a) Name of Person Filing:
Tradewinds Global Investors, LLC
Item 2(b) Address of the Principal Office or, if none, Residence:
2049 Century Park East, 20th Floor
Los Angeles, CA 90067
Item 2(c) Citizenship:
Delaware - U.S.A.
Item 2(d) Title of Class of Securities:
Common
Item 2(e) CUSIP Number:
039380100
Item 3 If the Statement is being filed pursuant to Rule
13d-1(b), or 13d-2(b), check whether the person filing
is a:
(e) [X] An investment advisor in accordance with
section 240.13d-1(b)(1)(ii)(E)
Item 4 Ownership:
(a) Amount Beneficially Owned: 10,903,747
(b) Percent of Class: 5.14%
(c) Number of shares as to which such person has:
(i) sole power to vote or direct the vote: 8,125,627
(ii) shared power to vote or direct the vote: 0
(iii) sole power to dispose or to direct the
disposition of: 10,903,747
(iv) shared power to dispose or to direct the
disposition of: 0
PAGE 3 OF 4 PAGES
Item 5 Ownership of Five Percent or Less of a Class:
Not applicable.
Item 6 Ownership of More than Five Percent on Behalf of Another
Person:
Securities reported on this Schedule 13G are beneficially
owned by clients which may include investment companies
registered under the Investment Company Act and/or employee
benefit plans, pension funds, endowment funds or other
institutional clients.
Item 7 Identification and Classification of the Subsidiary Which
Acquired the Security Being Reported on By the Parent
Holding Company:
Not applicable.
Item 8 Identification and Classification of Members of the
Group:
Not applicable.
Item 9 Notice of Dissolution of a Group:
Not applicable.
Item 10 Certification:
By signing below I certify that, to the best of my
knowledge and belief, the securities referred to above
were acquired and are held in the ordinary course of
business and were not acquired and are not held for the
purpose of or with the effect of changing or influencing
the control of the issuer of such securities and were
were not acquired in connection with or as a participant
in any transaction having such purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement is true,
complete and correct.
Dated: November 9, 2012
Tradewinds Global Investors, LLC
By: /S/ Andrew Thelen
------------------
Name: Andrew Thelen, CFA
Title: Co-Chief Investment Officer
By: /S/ Emily Alejos
------------------
Name: Emily Alejos, CFA
Title: Co-Chief Investment Officer
PAGE 4 OF 4 PAGES