-----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, B5IFKtTkN/K7aPsgH5t6n9XaSI6TJld4E86aDO5rJwavvqgXcfbW6pVxiauo+pHO Za2kVSwlWU2WaEV1wvHz1g== 0001037676-00-000001.txt : 20000204 0001037676-00-000001.hdr.sgml : 20000204 ACCESSION NUMBER: 0001037676-00-000001 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000203 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: 5 SEC ACT: SEC FILE NUMBER: 001-13105 FILM NUMBER: 522989 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 COMPANY DATA: COMPANY CONFORMED NAME: SANDS THEODORE D CENTRAL INDEX KEY: 0001080751 STANDARD INDUSTRIAL CLASSIFICATION: BITUMINOUS COAL & LIGNITE SURFACE MINING [1221] DIRECTOR STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 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 5 1 ANNUAL STATEMENT/CHANGES IN BENEFICIAL OWNERSHIP ------------------------------ OMB APPROVAL ------------------------------ OMB Number Expires: Estimated average burden hours per response ....... 1.0 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 [_] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). [_] Form 3 Holdings Reported [_] Form 4 Transactions Reported ________________________________________________________________________________ 1. Name and Address of Reporting Person* Sands Theodore D. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 535 Fifth Ave., Suite 3300 - -------------------------------------------------------------------------------- (Street) New York New York 10017 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol Arch Coal, Inc. (ACI) ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year December 31, 1999 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [_] 10% Owner [_] Officer (give title below) [_] Other (specify below) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [X] Form filed by one Reporting Person [_] Form filed by more than one Reporting Person ________________________________________________________________________________ ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
5. 6. 4. Amount of Owner- Securities Acquired (A) or Securities ship Disposed of (D) Beneficially Form: 7. (Instr. 3, 4 and 5) Owned at End Direct Nature of 2. 3. ----------------------------- of Issuer's (D) or Indirect 1. Transaction Transaction (A) Fiscal Year Indirect Beneficial Title of Security Date Code Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) (Instr. 8) (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
* If the form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) FORM 5 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. 10. Number Owner- of ship 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of 6. Title and Amount Secur- ative Nature or Derivative Date of Underlying 8. ities Secur- of Exer- Securities Exercisable Securities Price Bene- ity: In- cise 3. Acquired (A) and Expiration (Instr. 3 and 4) of ficially Direct direct Price Trans- 4. or Disposed Date ---------------- Deriv- Owned (D) or Bene- 1. of action Trans- of (D) Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date action (Instr. 3, --------------- or Secur- of direct Owner- Derivative ative (Month/ Code 4 and 5) Date Expira- Number ity Year (I) ship Security Secur- Day/ (Instr. ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) 8) (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stock 1 for 1 4/08/99 A 303.030 (1) (1) Common Stock 303.030 $12.375 303.030 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Dividend Equivalent Rights 1 for 1 6/15/99 A 2.581 (2) (2) Common Stock 2.581 $13.50 2.581 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stock 1 for 1 6/30/99 A 315.315 (1) (1) Common Stock 315.315 $13.875 315.315 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Dividend Equivalent Rights 1 for 1 9/15/99 A 4.761 (2) (2) Common Stock 4.761 $15.00 4.761 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stock 1 for 1 9/30/99 A 1,522.843 (1) (1) Common Stock 1,522.843 $12.313 1,522.843 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Dividend Equivalent Rights 1 for 1 12/15/99 A 26.008 (2) (2) Common Stock 26.008 $ 9.500 26.008 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stock 1 for 1 12/31/99 A 497.238 (1) (1) Common Stock 497.238 $11.313 497.238 (D) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ==================================================================================================================================== Explanation of Responses: 1. The phantom stock units were accrued under the Arch Coal, Inc. Deferred Compensation Plan and are to be settled in cash, payable in equal annual installments over ten years upon the reporting person's retirement from the Board or in a lump sum payment upon his death, if prior to retirement. 2. The rights accrued when and as dividends were paid on Arch Coal, Inc. Common Stock. /s/Rosemary L. Klein February 3, 2000 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date Rosemary L. Klein, Assistant Secretary, for Theodore D. Sands ** 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 provided is insufficient, see Instruction 6 for procedure. Page 2
EX-24 2 POWER OF ATTORNEY POWER OF ATTORNEY The undersigned appoints the following individuals, with full power to each of them to act alone, as its true and lawful attorneys-in-fact and agents to execute and file on behalf of the undersigned all Forms 3, 4 and 5, and any amendments thereto, that the undersigned may be required to file with the Securities and Exchange Commission, and any stock exchange or similar authority, as a result of the undersigned's ownership of or transactions in securities of Arch Coal, Inc. The authority of the following individuals under this Power of Attorney shall continue until the undersigned is no longer required to file Forms 3, 4 and 5 with regard to the undersigned's ownership of or transactions in securities of Arch Coal, Inc., unless earlier revoked in writing. The undersigned acknowledges that the following individuals are not assuming any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934. The following officers of Arch Coal, Inc.: Secretary of the Corporation Assistant Secretary of the Corporation General Counsel of the Corporation IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 28th day of January, 2000. /s/ Theodore D. Sands -------------------------------- (Signature) -----END PRIVACY-ENHANCED MESSAGE-----