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)
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2. Date of Event Requiring Statement
(Month/Day/Year) 03/03/2014 |
3. Issuer Name and Ticker or Trading Symbol
ARCH COAL INC [ ACI ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 03/05/2014 |
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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 | 400 | D | |
Common Stock | 2,710 | I | By 401(k) |
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 | ||||
Employee Stock Options | (1) | 02/27/2017 | Employee Stock Options | 4,150 | 32.99 | D | |
Employee Stock Options | (2) | 02/21/2018 | Employee Stock Options | 2,250 | 52.69 | D | |
Employee Stock Options | (3) | 02/19/2019 | Employee Stock Options | 3,750 | 14.05 | D | |
Employee Stock Options | (4) | 02/18/2020 | Employee Stock Options | 2,800 | 22.65 | D | |
Employee Stock Options | (5) | 02/24/2021 | Employee Stock Options | 2,300 | 32.49 | D | |
Employee Stock Options | (6) | 02/23/2022 | Employee Stock Options | 3,750 | 13.93 | D | |
Employee Stock Options | (7) | 02/28/2023 | Employee Stock Options | 7,400 | 5.23 | D | |
Restricted Stock Units | (8) | (9) | Restricted Stock Units | 1,500 | 13.93 | D | |
Restricted Stock Units | (10) | (9) | Restricted Stock Units | 3,600 | 5.23 | D |
Explanation of Responses: |
1. The reporting person received 4,150 stock options on February 22, 2007. All the stock options vested on February 22, 2010. |
2. The reporting person received 2,250 stock options on February 21, 2008. All the stock options vested on February 21, 2011. |
3. The reporting person received 3,750 stock options on February 19, 2009. All the stock options vested on February 19, 2013. |
4. The reporting person received 2,800 stock options on February 18, 2010. All stock options vested on February 18, 2014. |
5. The reporting person received 2,300 stock options on February 24, 2011. All the stock options vested on February 24, 2014. |
6. The reporting person received 3,750 stock options on February 23, 2012. The stock options vest ratably over 3 years as follows: 1,250 shares vested on February 23, 2013; 1,250 shares vested on February 23, 2014; and 1,250 shares will vest on February 23, 2015. |
7. The reporting person received 7,400 stock options on February 28, 2013. The options will vest ratably over 3 years as follows: 2,467 shares vested on February 28, 2014; 2,467 shares will vest on February 28, 2015; and 2,466 shares will vest on February 28, 2016. |
8. The reporting person erceived 1,500 restricted stock units on February 23, 2012. All of these restricted stock units vest on February 23, 2015. |
9. The restricted stock units do not expire. |
10. The reporting person received 3,600 restricted stock units on February 28, 2013. All of these restricted stock units vest on February 28, 2016. |
Remarks: |
/s/ Jon S. Ploetz, Attorney-in-Fact | 03/07/2014 | |
** 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. |