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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 | ||||||||
Senior Secured Second Lien Exchangeable PIK Notes due 2017 | (2) | 03/28/2017 | J(2) | 0 (2) | (2) | (2) | Common Units | (2) | (2) | 0 (2) | I (2) | See footnotes (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Murray Robert Eugene C/O MURRAY ENERGY CORPORATION 46226 NATIONAL ROAD ST. CLAIRSVILLE, OH 43950 |
X | X | ||
Murray Energy Corp C/O MURRAY ENERGY CORPORATION 46226 NATIONAL ROAD ST. CLAIRSVILLE, OH 43950 |
X | |||
Murray Energy Holdings Co. C/O MURRAY ENERGY CORPORATION 46226 NATIONAL ROAD ST. CLAIRSVILLE, OH 43950 |
X | |||
Robert E. Murray Trust C/O MURRAY ENERGY CORPORATION 46226 NATIONAL ROAD ST. CLAIRSVILLE, OH 43950 |
X |
/s/ Robert E. Murray | 03/29/2017 | |
**Signature of Reporting Person | Date | |
MURRAY ENERGY CORPORATION /s/ Robert E. Murray By: Robert E. Murray Title: President and Chief Executive Officer | 03/29/2017 | |
**Signature of Reporting Person | Date | |
MURRAY ENERGY HOLDINGS CO. /s/ Robert E. Murray By: Robert E. Murray Title: President and Chief Executive Officer | 03/29/2017 | |
**Signature of Reporting Person | Date | |
ROBERT E. MURRAY TRUST /s/ Robert E. Murray By: Robert E. Murray Title: Settlor and Trustee | 03/29/2017 | |
**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) | 6,767,605 Common Units are held by Murray Energy Corporation ("MEC") and 2,860,503 Common Units are held by Murray South America, Inc. ("MSA"). Murray Energy Corporation ("MEC") owns 100% of the capital stock of MSA. Murray Energy Holdings Co. ("Holdings") owns 100% of the capital stock of MEC. Robert E. Murray Trust (the "Trust") holds 100% of the Class A Voting Common Shares of Holdings. Robert E. Murray is the settlor and trustee of the Trust. Robert E. Murray disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for the purposes of Section 16 or for any other purpose. |
(2) | The reporting persons do not hold any interest in the Common Units underlying any Senior Secured Second Lien Exchangeable PIK Notes due 2017 (the "Exchangeable PIK Notes"), which were issued pursuant to an indenture, dated August 30, 2016, between Foresight Energy LLC, Foresight Energy Finance Corporation, the guarantors party thereto, Wilmington Trust, National Association, as trustee and American Stock Transfer & Trust Company, LLC as notes administrator and exchange agent. The Exchangeable PIK Notes were redeemed in full and cancelled on March 28, 2017. Such transaction was approved by the board of the general partner of Foresight Energy LP. |