SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 11/14/2019 | 3. Issuer Name and Ticker or Trading Symbol Contura Energy, Inc. [ CTRA ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. 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 Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, par value $0.01 ("Common Stock") | 1,876,285 | I | See footnotes(1)(2)(3)(4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 35,490 | 52.4762(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 14,337 | 52.6602(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 159 | 52.7(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 10,062 | 52.7048(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 20,341 | 52.7235(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 31,822 | 52.7379(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 48,830 | 52.7508(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 4,201 | 52.7546(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 19,774 | 52.7553(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 14,992 | 52.762(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 1 | 52.77(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 2,419 | 52.7729(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 22,786 | 54.0691(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 32,448 | 54.1933(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 11,841 | 54.5797(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 200 | 54.895(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 1,805 | 55.4219(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 22,861 | 55.4786(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 13,388 | 55.4871(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 1,908 | 55.5297(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 100 | 55.53(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 15,000 | 55.9528(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 22,022 | 56.4894(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 3,399 | 56.6081(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 49,514 | 56.7211(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 04/29/2021 | Common Stock | 300 | 57.2533(8) | I | See footnotes(2)(3)(4)(5) |
Equity Swaps (obligation to buy) | (7) | 05/11/2020 | Common Stock | 375,000 | 72.95(8) | I | See footnotes(2)(3)(4)(6) |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. The securities reported on this line are held directly by (i) M. H. Davidson & Co., a New York limited partnership ("CO"), (ii) Davidson Kempner Partners, a New York limited partnership ("DKP"), (iii) Davidson Kempner Institutional Partners, L.P., a Delaware limited partnership ("DKIP"), (iv) Davidson Kempner International, Ltd., a British Virgin Islands business company ("DKIL"), (v) Davidson Kempner Distressed Opportunities Fund LP, a Delaware limited partnership ("DKDOF"), (vi) Davidson Kempner Distressed Opportunities International Ltd., a Cayman Islands exempted company ("DKDOI") and (vii) DKLDO IV Trading Subsidiary LP, a Cayman Islands exempted limited partnership ("DKLDO"). |
2. M.H. Davidson & Co. GP, L.L.C., a Delaware limited liability company, is the general partner of CO. MHD Management Co., a New York limited partnership ("MHD"), is the general partner of DKP and MHD Management Co. GP, L.L.C., a Delaware limited liability company is the general partner of MHD. Davidson Kempner Advisers Inc., a New York corporation, is the general partner of DKIP. Davidson Kempner Capital Management LP, a Delaware limited partnership, is the investment manager of DKIL. DK Group LLC, a Delaware limited liability company, is the general partner of DKDOF. DK Management Partners LP, a Delaware limited partnership, is the investment manager of DKDOI. Davidson Kempner Long-Term Distressed Opportunities GP IV LLC, a Delaware limited liability company, is the general partner of DKLDO. |
3. Davidson Kempner Capital Management LP, a Delaware limited partnership and a registered investment adviser with the U.S. Securities and Exchange Commission ("DKCM") acts as investment manager to each of CO, DKP, DKIP, DKIL, DKDOF, DKDOI and DKLDO either directly or by virtue of a sub-advisory agreement with the investment manager of the relevant fund. DKCM GP LLC, a Delaware limited liability company, is the general partner of DKCM. The managing members of DKCM are Thomas L. Kempner, Jr., Anthony A. Yoseloff, Eric P. Epstein, Avram Z. Friedman, Conor Bastable, Shulamit Leviant, Morgan Blackwell, Patrick W. Dennis, Gabriel T. Schwartz, Zachary Z. Altschuler and Joshua D. Morris. Thomas L. Kempner, Jr., Anthony A. Yoseloff, Conor Bastable and Avram Z. Friedman through DKCM, are responsible for the voting and investment decisions relating to the securities held by CO, DKP, DKIP, DKIL, DKDOF, DKDOI and DKLDO reported herein. |
4. The filing of this statement shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. Each of the Reporting Persons expressly disclaims beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein. |
5. The securities reported on this line are held directly by DKLDO. |
6. The securities reported on this line are held directly by (i) CO, (ii) DKP, (iii) DKIP, (iv) DKIL, (v) DKDOF and (vi) DKDOI. |
7. These cash-settled equity swaps can be settled at any time at any time prior to the expiration date. |
8. Upon settlement of the various swap agreements, either (i) the counterparty will pay to the Reporting Persons in cash an amount determined in part by reference to any increase between the initial reference price set forth in column 4 of Table II and the market value of the reference shares of Common Stock set forth in column 3 of Table II on the applicable expiration date set forth in column 2 of Table II or (ii) the Reporting Persons will pay to the counterparty in cash an amount determined in part by reference to any decrease between the initial reference price set forth in column 4 of Table II and the market value of the reference shares of Common Stock set forth in column 3 of Table II on the applicable expiration date set forth in column 2 of Table II. |
Remarks: |
To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the second of two identical reports relating to the same transaction being filed with the Securities and Exchange Commission. |
/s/ Davidson Kempner Capital Management LP, By: Thomas L. Kempner, Jr., its Co-Executive Managing Member | 11/21/2019 | |
/s/ Thomas L. Kempner, Jr. | 11/21/2019 | |
/s/ Anthony A. Yoseloff | 11/21/2019 | |
/s/ Avram Z. Friedman | 11/21/2019 | |
/s/ Conor Bastable | 11/21/2019 | |
** 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 5 (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. |