FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
MASSEY ENERGY CO [ MEE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 11/10/2009 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 11/10/2009 | M | 2,434 | A | (1) | 299,369 | D | |||
Common Stock | 11/10/2009 | D | 4,234 | D | $35.15 | 296,935 | D | |||
Common Stock(2) | 11/10/2009 | M | 16,667 | A | $33.96 | 313,602 | D | |||
Common Stock | 11/10/2009 | S | 800 | D | $33.82 | 312,802 | D | |||
Common Stock | 11/10/2009 | S | 1,767 | D | $33.85 | 311,035 | D | |||
Common Stock | 11/10/2009 | S | 2,773 | D | $33.86 | 308,262 | D | |||
Common Stock | 11/10/2009 | S | 22 | D | $33.87 | 308,240 | D | |||
Common Stock | 11/10/2009 | S | 405 | D | $33.88 | 307,835 | D | |||
Common Stock | 11/10/2009 | S | 2,496 | D | $33.95 | 305,339 | D | |||
Common Stock | 11/10/2009 | S | 1,700 | D | $33.97 | 303,639 | D | |||
Common Stock | 11/10/2009 | S | 604 | D | $33.98 | 303,035 | D | |||
Common Stock | 11/10/2009 | S | 2,400 | D | $34 | 300,635 | D | |||
Common Stock | 11/10/2009 | S | 2,000 | D | $34.1 | 298,635 | D | |||
Common Stock | 11/10/2009 | S | 500 | D | $34.15 | 298,135 | D | |||
Common Stock | 11/10/2009 | S | 500 | D | $34.16 | 297,635 | D | |||
Common Stock | 11/10/2009 | S | 700 | D | $34.2 | 296,935 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Units (phantom stock units)(3) | (1) | 11/10/2009 | M | 2,434 | 11/10/2009 | 11/10/2009 | Common Stock | 2,434 | $0 | 4,866 | D | ||||
Employee Stock Options (right to buy) | $19.5 | 11/10/2009 | M | 16,667 | 11/10/2009 | 11/10/2018 | Common Stock | 16,667 | (4) | 33,333 | D |
Explanation of Responses: |
1. The conversion price of each restricted unit is the cash value on each vesting date of one share of Massey's common stock. |
2. This entry and the following ones in Table I and the second entry in Table II reflect the automatic exercise of 16,667 stock options made pursuant to a trading plan previously entered into by the reporting person. |
3. This entry reflects the vesting of 2,434 restricted units which are part of a grant of restricted units made on November 10, 2008, of which 4,866 restricted units remain. |
4. Consideration for these stock options is in the form of labor performed for or services rendered to Massey, having a fair market value of not less than the present fair market value of a like number of options of the common stock of Massey. |
Remarks: |
/s/ Richard R. Grinnan, attorney-in-fact | 11/12/2009 | |
** 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 4 (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. |