| 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) 08/26/2015 | 3. Issuer Name and Ticker or Trading Symbol Alpha Natural Resources, Inc. [ ANRZQ ] | |||||||||||||
| 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 | 4,210 | D | |
| Common Stock | 5,133(1) | D | |
| Common Stock | 9,230(2) | D | |
| 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 | ||||
| Restricted Stock Units | (3) | (3) | Common Stock | 19,150 | (3) | D | |
| Restricted Stock Units | (4) | (4) | Common Stock | 137,649 | (4) | D | |
| Explanation of Responses: |
| 1. Restricted stock unit award granted to reporting person under the Issuer's Amended and Restated 2012 Long-Term Incentive Plan. Subject to the terms of the award, each restricted stock unit represents the right to receive one share of the Issuer's common stock on February 27, 2016. |
| 2. Represents earned performance share units which continue to be subject to time-vesting criteria that will be satisfied, if at all, after December 31, 2015. |
| 3. Restricted stock unit award granted to reporting person under the Issuer's Amended and Restated 2012 Long-Term Incentive Plan. Subject to the terms of the award, the restricted stock units will vest and settle 50% on March 13, 2016 and 50% on March 13, 2017. Each restricted stock unit represents the right to receive the cash value of one share of the Issuer's common stock at settlement. |
| 4. Restricted stock unit award granted to reporting person under the Issuer's Amended and Restated 2012 Long-Term Incentive Plan. Subject to the terms of the award, the restricted stock units will vest and settle 40% on February 26, 2017 and 60% on February 26, 2018. Each restricted stock unit represents the right to receive the cash value of one share of the Issuer's common stock at settlement. |
| Remarks: |
| Exhibit 24 - Power of Attorney |
| /s/ William L. Phillips III, attorney in fact | 09/08/2015 | |
| ** 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. | ||
