424B3 1 d424b3.htm FORM 424B3 FORM 424B3

Filed Pursuant to Rules 424(b)(3) and 424(c)

Registration No. 333-115757

 

$175,000,000

MASSEY ENERGY COMPANY

2.25% Convertible Senior Notes due 2024

 

 

FOURTH PROSPECTUS SUPPLEMENT DATED SEPTEMBER 16, 2004

TO

PROSPECTUS DATED JUNE 28, 2004

 

 

This Fourth Prospectus Supplement amends and restates the “Selling Securityholders” Section of the Prospectus, dated June 28, 2004, appearing on pages 40—41 of such Prospectus, to update the positions of previously disclosed selling security holders based on (i) completed investor questionnaires submitted to Massey on or before September 15, 2004, (ii) information included in our Sixth Prospectus Supplement filed on and dated September 16, 2004 for our 4.75% Convertible Senior Notes due 2023 and (iii) information from the Trustee regarding sales of the notes completed pursuant to the Prospectus.

 

SELLING SECURITYHOLDERS

 

The notes were originally issued by us and sold by UBS Securities LLC and Bear, Stearns & Co. Inc. (the “Initial Purchasers”) in a transaction exempt from the registration requirements of the Securities Act of 1933, as amended (the “Securities Act”), to persons reasonably believed by the Initial Purchasers to be “qualified institutional buyers” (as defined by Rule 144A under the Securities Act). The selling securityholders (which term includes their transferees, pledgees, donees or successors) may from time to time offer and sell pursuant to the Prospectus any and all of the notes and the shares of common stock issuable upon conversion of the notes.

 

Set forth below are the names of each selling securityholder, the principal amount of notes that may be offered by such selling securityholder pursuant to the Prospectus, and the number of shares of common stock into which such notes are convertible. Unless set forth below, none of the selling securityholders has had a material relationship with us or any of our predecessors or affiliates within the past three years.

 

The following table sets forth certain information received by us on or prior to September 15, 2004. However, any or all of the notes or common stock listed below may be offered for sale pursuant to the Prospectus by the selling securityholders from time to time. Accordingly, no estimate can be given as to the amounts of notes or common stock that will be held by the selling securityholders upon consummation of any such sales. In addition, the selling securityholders identified below may have sold, transferred or otherwise disposed of all or a portion of their notes since the date on which the information regarding their notes was provided, in transactions exempt from the registration requirements of the Securities Act or pursuant to the Prospectus. Some of the selling securityholders may hold additional notes that have been registered under the Securities Act.

Name

    Aggregate
Principal
Amount of
Notes at
Maturity that
May be Sold(5)
    Percentage
of Notes
Outstanding
     Shares of
Common
Stock Owned
Prior to
Conversion
     Shares of
Common
Stock
Registered (1)(5)

AG Domestic Convertibles, LP

    $ 1,200,000    0.69 %         35,714

AG Offshore Convertibles, Ltd.

      2,800,000    1.60 %         83,333

Akela Capital Master Fund, Ltd.

      10,000,000    5.71 %         297,619

Attorneys Title Insurance Fund

      150,000    0.09 %         4,464

Banc of America Securities LLC

      1,000,000    0.57 %         29,761

BNP Paribas Arbitrage

      250,000    0.14 %         7,440

BP Amoco PLC Master Trust

      818,000    0.47 %         24,345

Calamos Growth & Income Portfolio—Calamos Advisors Trust

      245,000    0.14 %         7,291

Calamos Growth & Income Fund—Calamos Investment Trust

      13,000,000    7.43 %   618,876 (2)   386,904

Chrysler Corporation Master Retirement Trust

      2,805,000    1.60 %         83,482

Citigroup Global Markets, Inc.(6)

      3,500,000    0.02 %         104,166

CNH CA Master Account, L.P.

      250,000    0.14 %   103,146 (2)   7,440

Context Convertible Arbitrage Fund, LP

      775,000    0.44 %   143,115 (2)   23,065

Context Convertible Arbitrage Offshore, Ltd.

      1,825,000    1.04 %   363,590 (2)   54,315

Continental Assurance Company on behalf of its Separate Account (E)

      100,000    0.06 %         2,976

Continental Casualty Company

      400,000    0.23 %         11,904

DBAG London

      500,000    0.29 %         14,880

Delta Airlines Master Trust

      175,000    0.10 %         5,208

Delta Airlines Master Trust—CV

      550,000    0.31 %         16,369

Delta Pilots Disability & Survivorship Trust—CV

      270,000    0.15 %         8,036

Duke Endowment c/o Froley, Revy Investment Co., Inc.

      500,000    0.29 %         14,880

EB Convertible Securities Fund

      35,000    0.02 %         1,041

Employees’ Retirement System of Rhode Island

      500,000    0.29 %         14,880

Fidelity Financial Trust: Fidelity Convertible Securities Trust

      7,000,000    4.00 %         208,333

F.M. Kirby Foundation, Inc.

      35,000    0.02 %         1,041

FrontPoint Convertible Arbitrage Fund L.P.

      945,000    0.54 %         28,124

Gam High Yield Inc.

      500,000    0.29 %         14,880

Gates, Bill & Melinda Foundation

      1,250,000    0.71 %         37,202

Global Bermuda Limited Partnership

      1,900,000    1.09 %         56,547

Grace Convertible Arbitrage Fund, LTD.

      5,000,000    2.86 %         148,809

HBK Master Fund L.P.

      6,850,000    3.91 %   39,300     203,869

HFR CA Select Fund

      900,000    0.51 %         26,785

Honeywell International Inc. Master Retirement Trust

      1,000,000    0.57 %         29,761

Hotel Union & Hotel Industry of Hawaii Pension Plan

      214,000    0.12 %         6,369

Name

    Aggregate
Principal
Amount of
Notes at
Maturity
that May
be Sold(5)
    Percentage
of Notes
Outstanding
     Shares of
Common
Stock Owned
Prior to
Conversion
     Shares of
Common
Stock
Registered (1)(5)

Institutional Benchmark Master Fund

    1,000,000    0.57 %         29,761

Institutional Benchmarks Master Fund Ltd.

    1,123,000    0.64 %         33,422

International Truck & Engine Corporation Non-Contributory Retirement Plan Trust

    35,000    0.02 %         1,041

International Truck & Engine Corporation Retiree Health Benefit Trust

    135,000    0.08 %         4,018

International Truck & Engine Corporation Retirement Plan Trust for Salaried Employees Trust

    180,000    0.10 %         5,357

KBC Financial Products USA Inc.

    150,000    0.10 %         4,464

Lakeshore International, Ltd.

    7,600,000    4.34 %         226,190

Lord Abbett Investment Trust —   LA Convertible Fund

    1,000,000    0.57 %         29,761

Lyxor/Context Fund Ltd.

    50,000    0.03 %   60,598 (2)   1,488

Mellon HBV Master Convertible Arbitrage Fund LP

    1,169,000    0.67 %         34,791

Mellon HBV Master Leveraged Multi-Strategy Fund LP

    446,000    0.25 %         13,273

Mellon HBV Master Multi-Strategy Fund LP

    678,000    0.39 %         20,178

Microsoft Corporation

    75,000    0.04 %         2,232

Mint Master Fund LTD

    207,000    0.12 %         6,160

MLQA Convertible Securities Arbitrage Ltd.

    5,000,000    2.86 %         148,809

Motion Picture Industry Health Plan—Active Member Fund

    10,000    0.01 %         297

Motion Picture Industry Health Plan—Retiree Member Fund

    5,000    0.00 %         148

National Bank of Canada

    300,000    0.17 %   46,416 (2)   8,928

Nations Convertible Securities Fund

    4,465,000    2.55 %   384,219 (2)   132,886

New York City Employees Retirement System

    1,000,000    0.57 %         29,761

New York City Police Pension Fund

    500,000    0.29 %         14,880

OCM Convertible Trust

    100,000    0.06 %         2,976

OCM Global Convertible Securities Fund

    5,000    0.00 %         148

Primus High Yield Bond Fund, LP

    1,500,000    0.86 %         44,642

Putnam Convertible Income—Growth Fund

    3,800,000    2.17 %         113,095

Qwest Occupational Health Trust

    45,000    0.03 %         1,339

Retirement Income Plan for Employees of Armstrong World Industries, Inc.

    250,000    0.14 %         7,440

Rockwell Automation Master Trust

    100,000    0.06 %         2,976

Royal Bank of Canada (Norshield)

    200,000    0.11 %   48,994 (2)   5,952

Sage Capital Management LLC

    150,000    0.09 %         4,464

San Diego County Employee Retirement Association

    2,000,000    1.14 %         59,523

Name

    Aggregate
Principal
Amount of
Notes at
Maturity
that May be
Sold(5)
    Percentage
of Notes
Outstanding
     Shares of
Common
Stock Owned
Prior to
Conversion
     Shares of
Common
Stock
Registered (1)(5)

Southern Farm Bureau Life Insurance

    1,075,000    0.61 %         31,994

Sphinx Convertible Arb Fund SPC

    474,000    0.27 %         14,107

SSI Blended Market Neutral L.P.

    424,000    0.24 %         12,619

SSI Hedged Convertible Market Neutral L.P.

    675,000    0.39 %         20,089

State Employees’ Retirement Fund of the State of Delaware

    810,000    0.46 %         24,107

Stonebridge Life Insurance

    500,000    0.29 %         14,880

Teachers Insurance and Annuity Association of America

    14,650,000    8.37 %         436,011

Teachers Retirement System for the City of New York

    1,000,000    0.57 %         29,761

The St. Paul Travelers Companies, Inc.—Commercial Lines

    330,000    0.18 %         9,821

The St. Paul Travelers Companies, Inc.—Personal Lines

    225,000    0.13 %         6,696

The TJX Companies Inc. Retirement Plan Trust

    50,000    0.03 %         1,488

UBS O’Connor LLC f/b/o O’Connor Global Convertible Arbitrage Master Ltd.(3)

    3,000,000    1.71 %         89,285

UBS Securities LLC(4)

    3,582,000    2.05 %   3,287     106,607

Univest Convertible Arbitrage Fund II Ltd. (Norshield)

    100,000    0.06 %   12,893 (2)   2,976

UnumProvident Corporation

    165,000    0.09 %         4,911

Vanguard Convertible Securities Fund, Inc.

    7,350,000    4.20 %         218,750

Viacom Inc. Pension Plan Master Trust

    22,000    0.01 %         654

Whitebox Diversified Convertible Arbitrage Partners LP

    1,000,000    0.57 %         29,761

Windmill Master Fund LP

    1,000,000    0.57 %         29,761

Zazove Convertible Arbitrage Fund, L.P.

    5,100,000    2.91 %         151,785

Zazove Hedged Convertible Fund, L.P.

    2,000,000    1.14 %         59,523

Zurich Institutional Benchmarks Master Fund Ltd.

    1,500,000    0.86 %         44,642

 

(1) Assumes conversion of all of the holder’s notes at a conversion rate of 29.7619 shares of common stock per $1,000 principal amount at maturity of the notes. However, this conversion rate will be subject to adjustments as described under “Description of the Notes—Conversion Rights.” As a result, the amount of common stock issuable upon conversion of the notes may increase or decrease in the future.

 

(2) Indicates the number of shares of common stock owned by the selling securityholders assuming conversion of the 4.75% Convertible Senior Notes due 2023 owned by such selling securityholders at a conversion rate of 51.573 shares of common stock per $1,000 principal amount of notes.

 

(3) UBS O’Connor LLC f/b/o O’Connor Global Convertible Arbitrage Master Ltd. is an affiliate of one of the initial purchasers in the private placement of the notes.

 

(4) UBS Securities LLC was one of the initial purchasers in the private placement of the notes.

 

(5) Amounts indicated may be in excess of the total amount registered due to sales or transfers since the date upon which the selling securityholders provided to us the information regarding their notes.

 

(6) Citigroup Global Markets, Inc. was one of the initial purchasers in the private placement of our 4.75% Convertible Senior Notes due 2023.

The preceding table has been prepared based upon information (i) furnished to us by the selling securityholders named in the table, (ii) from our Sixth Prospectus Supplement filed on September 16, 2004 for our 4.75% Convertible Senior Notes due 2023 and (iii) furnished to us from the Trustee. From time to time, additional information concerning ownership of the notes and common stock may rest with certain holders thereof not named in the preceding table, with whom we believe we have no affiliation. Information about the selling securityholders may change over time. Any changed information will be set forth in prospectus supplements, if and when necessary.