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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Options (right to buy) | $ 19.5 | 02/05/2010 | M | 150,000 | 12/30/2009 | 11/10/2018 | Common Stock | 150,000 | (2) | 50,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BLANKENSHIP DON L C/O MASSEY ENERGY COMPANY 4 NORTH 4TH STREET RICHMOND, VA 23219 |
X | CEO |
/s/ Richard R. Grinnan, attorney-in-fact | 02/09/2010 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | These 150,000 stock options were part of a grant made on 11/10/08 and vested on 12/30/09. Pursuant to their terms, the stock options were required to be exercised within the first 20 days exercise was permissible. |
(2) | Consideration for these stock options is in the form of labor performed or services rendered to Massey by the reporting person, having a fair value on the date of grant of not less than the present fair market value of a like number of options of the common stock of Massey. |
Remarks: This Form 4 is the first of three Forms 4 filed on 2/9/2010 on behalf of the reporting person reflecting the exercise of 150,000 stock options on 2/5/2010. |