-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, VjFrGkmK+BJlkXknHwt+cy+eQbUrat/ZvyZahCNuLvMRtl6+027dSXnVZIgB3rZF 3PDn9nfIOsnQJBNtfWOvkw== 0000950133-01-000185.txt : 20010125 0000950133-01-000185.hdr.sgml : 20010125 ACCESSION NUMBER: 0000950133-01-000185 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010124 GROUP MEMBERS: GUY ORLANDO DOVE, III GROUP MEMBERS: STEPHEN D. ROSENBAUM GROUP MEMBERS: WILLIAMS FRANK E JR SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WESTMORELAND COAL CO CENTRAL INDEX KEY: 0000106455 STANDARD INDUSTRIAL CLASSIFICATION: BITUMINOUS COAL & LIGNITE MINING [1220] IRS NUMBER: 231128670 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-12668 FILM NUMBER: 1513820 BUSINESS ADDRESS: STREET 1: 2 NORTH CASCADE AVENUE 14TH FLOOR STREET 2: 200 S BROAD ST CITY: COLORADO SPRINGE STATE: CO ZIP: 80903 BUSINESS PHONE: 7194422600 MAIL ADDRESS: STREET 1: 2 N CASCADE AVE STREET 2: # 14THFL CITY: COLORADO SPRINGS STATE: CO ZIP: 80903-1614 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WILLIAMS FRANK E JR CENTRAL INDEX KEY: 0001055499 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 252483918 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 2789-B HARTLAND ROAD CITY: FALLS CHURCH STATE: VA ZIP: 22043 BUSINESS PHONE: 7036414612 MAIL ADDRESS: STREET 1: 2798-B HARTLAND ROAD CITY: FALLS CHURCH STATE: VA ZIP: 22043 SC 13D/A 1 w44678sc13da.txt SCHEDULE 13D/A 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSI0N Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 Westmoreland Coal Company ------------------------------------------ (Name of Issuer) Common Stock, par value $2.50 per share ------------------------------------------- (Title of Class of Securities) 960878106 ------------------------------------------- (CUSIP Number) Frank E. Williams, Jr. 2789-B Hartland Road Falls Church, Virginia 22043 (703) 641-4612 -------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) January 23, 2001 -------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [ ]. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent. *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 960878106 2 1 NAME OF REPORTING PERSON Frank E. Williams, Jr. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ###-##-#### - - ------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) |X| (b) |_| - - ------------------------------------------------------- 3 SEC USE ONLY - - ------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) PF - - ------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - - -------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - - -------------------------------------------------------- 7 SOLE VOTING POWER 288,634 ---------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES 0 BENEFICIALLY ---------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER EACH 288,634 REPORTING ----------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 0 -------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 288,634 -------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) |_| -------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.92% -------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN 3 1. NAME OF REPORTING PERSON Guy Orlando Dove, III S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ###-##-#### ------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) |X| (b) |_| ------------------------------------------------------- 3 SEC USE ONLY ------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) PF, AF ------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| ------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States ------------------------------------------------------- 7 SOLE VOTING POWER 252,820 ----------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES 10,000 BENEFICIALLY ----------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER EACH 252,820 REPORTING ----------------------------------- PERSON WITH 10 SHARED DISPOSITIVE POWER 0 ------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 262,820 ------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) |_| ---------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.45% -------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN,AF 4 1. NAME OF REPORTING PERSON Stephen D. Rosenbaum S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON -------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) |X| (b) |_| -------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) PF ------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| -------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States -------------------------------------------------------- 7 SOLE VOTING POWER 136,624 ------------------------------------ NUMBER OF 8 SHARED VOTING POWER SHARES 0 BENEFICIALLY ------------------------------------ OWNED BY 9 SOLE DISPOSITIVE POWER EACH 136,624 REPORTING ------------------------------------ PERSON 10 SHARED DISPOSITIVE POWER 0 -------------------------------------------------------- 11 AGGREGATE AMOUNT OWNED BENEFICIALLY BY EACH REPORTING PERSON 136,624 -------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) |_| -------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.90% -------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN. 5 This amended 13D is filed solely for the purpose of reporting the dissolution of the group consisting of the reporting persons and acting as the Westmoreland Committee to Enhance Shareholder Value. The reporting persons believe that the Company has received the pro-governance and pro-shareholder message that the Committee's actions were intended to convey. Specifically, they believe that the Committee's two-year battle with the Company has resulted in at least two concrete achievements towards enhancing WLB shareholder value: the Company has appointed two new directors who own significant amounts of preferred stock and the Company has proposed to sell its interests in three cogeneration plants. Prior to formation of the Committee two years ago, WLB's preferred shares were trading at approximately $13.00 and the common shares were trading below $3.00. On January 23, 2001, the preferred shares were quoted at approximately $23.00 and the common shares at approximately $9.50. The intent of the Committee in dissolving is to pursue individually-determined alternatives. Encouraged by recent developments the Committee's members nonetheless express their intent to continue as individuals to closely monitor Westmoreland's performance. While the members of the Committee have no plans, arrangements, or understandings among themselves or others to take any further actions to attempt to influence the actions of the Company, it is possible that the Committee will reconstitute itself at some later time should the Company not make significant progress towards enhancing shareholder value in the opinions of former reporting persons SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: January 23, 2001 S/Frank E. Williams,Jr. ------------------------- Frank E. Williams, Jr. Date: January 23, 2001 S/Guy O. Dove ------------- Guy O. Dove, III Date: January 23, 2001 S/Stephen D. Rosenbaum ---------------------- Stephen D. Rosenbaum -----END PRIVACY-ENHANCED MESSAGE-----