-----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, OMi/7cGTEe+n3wqrEO5ZVjlkEMM+CJR9wMoUYmUo/7DGkxc0ogivDQLsOw8zRJLb 7P8NH98+qABH0/K0hRo30Q== 0000950134-03-016678.txt : 20031215 0000950134-03-016678.hdr.sgml : 20031215 20031215172424 ACCESSION NUMBER: 0000950134-03-016678 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20031215 GROUP MEMBERS: GOLD FIELDS MINING CORP GROUP MEMBERS: PEABODY NATURAL RESOURCES CO SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PENN VIRGINIA RESOURCE PARTNERS L P CENTRAL INDEX KEY: 0001144945 STANDARD INDUSTRIAL CLASSIFICATION: BITUMINOUS COAL & LIGNITE MINING [1220] IRS NUMBER: 233087517 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-79381 FILM NUMBER: 031055445 BUSINESS ADDRESS: STREET 1: THREE RADNOR CORP CTR STREET 2: 100 MATSONFORD RD STE 230 CITY: RADNOR STATE: PA ZIP: 19087 BUSINESS PHONE: 610 687 8900 MAIL ADDRESS: STREET 1: THREE RADNOR CORP CTR STREET 2: 100 MATSONFORD RD STE 230 CITY: RADNOR STATE: PA ZIP: 19087 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PEABODY ENERGY CORP CENTRAL INDEX KEY: 0001064728 STANDARD INDUSTRIAL CLASSIFICATION: BITUMINOUS COAL & LIGNITE SURFACE MINING [1221] IRS NUMBER: 134004153 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 701 MARKET ST CITY: ST LOUIS STATE: MO ZIP: 63101-1826 BUSINESS PHONE: 3143423400 MAIL ADDRESS: STREET 1: 701 MARKET ST CITY: ST LOUIS STATE: MO ZIP: 63101-1826 FORMER COMPANY: FORMER CONFORMED NAME: P&L COAL HOLDINGS CORP DATE OF NAME CHANGE: 19980623 SC 13D/A 1 c81517a1sc13dza.txt AMENDMENT NO. 1 TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1) * Penn Virginia Resource Partners, L.P. - -------------------------------------------------------------------------------- (Name of Issuer) Common units, representing limited partner interests - -------------------------------------------------------------------------------- (Title of Class of Securities) 707884102 - -------------------------------------------------------------------------------- (CUSIP Number) Nancy M. Snyder Penn Virginia Resource GP, LLC Three Radnor Corporate Center 100 Matsonford Road Suite 230 Radnor, Pennsylvania 19087 (610) 687-8900 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 15, 2003 - -------------------------------------------------------------------------------- (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 Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-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 Section 240.13d-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). SCHEDULE 13D/A CUSIP No. 707884102 - -------------------------------------------------------------------------------- (1) Name of Reporting Person. I.R.S. Identification Nos. of Above Persons (entities only). Peabody Natural Resources Company 51-0332232 - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Source of Funds (See instructions) OO - -------------------------------------------------------------------------------- (5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- (6) Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- (7) Sole Voting Power 1,710,458 Number of ----------------------------------------------------- Units Bene- (8) Shared Voting Power 0 ficially Owned by Each Report- ----------------------------------------------------- ing Person (9) Sole Dispositive Power 1,710,458 With ----------------------------------------------------- (10) Shared Dispositive Power 0 - -------------------------------------------------------------------------------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person 1,710,458 - -------------------------------------------------------------------------------- (12) Check if the Aggregate Amount in Row (11) Excludes Certain Units (See Instructions) [ ] - -------------------------------------------------------------------------------- (13) Percent of Class Represented by Amount in Row (11) 16.4%* - -------------------------------------------------------------------------------- (14) Type of Reporting Person (See Instructions) PN - ---------- * Based on 10,425,488 Common Units outstanding as of November 1, 2003 as reported in Issuer's Quarterly Report on Form 10-Q for the quarter ended September 30, 2003. Excludes 52,700 units held in escrow by, and registered in the name of, U.S. Bank National Association, as escrow agent. SCHEDULE 13D/A CUSIP No. 707884102 - -------------------------------------------------------------------------------- (1) Name of Reporting Person. I.R.S. Identification Nos. of Above Persons (entities only). Gold Fields Mining Corporation 36-2079582 - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Source of Funds (See instructions) N/A - -------------------------------------------------------------------------------- (5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- (6) Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- (7) Sole Voting Power 1,710,458 Number of ----------------------------------------------------- Units Bene- (8) Shared Voting Power 0 ficially Owned by Each Report- ----------------------------------------------------- ing Person (9) Sole Dispositive Power 1,710,458 With ----------------------------------------------------- (10) Shared Dispositive Power 0 - -------------------------------------------------------------------------------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person 1,710,458 - -------------------------------------------------------------------------------- (12) Check if the Aggregate Amount in Row (11) Excludes Certain Units (See Instructions) [ ] - -------------------------------------------------------------------------------- (13) Percent of Class Represented by Amount in Row (11) 16.4%* - -------------------------------------------------------------------------------- (14) Type of Reporting Person (See Instructions) CO - ---------- * Based on 10,425,488 Common Units outstanding as of November 1, 2003 as reported in Issuer's Quarterly Report on Form 10-Q for the quarter ended September 30, 2003. Excludes 52,700 units held in escrow by, and registered in the name of, U.S. Bank National Association, as escrow agent. SCHEDULE 13D/A CUSIP No. 707884102 - -------------------------------------------------------------------------------- (1) Name of Reporting Person. I.R.S. Identification Nos. of Above Persons (entities only). Peabody Energy Corporation 13-4004153 - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Source of Funds (See instructions) N/A - -------------------------------------------------------------------------------- (5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- (6) Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- (7) Sole Voting Power 1,710,458 Number of ----------------------------------------------------- Units Bene- (8) Shared Voting Power 0 ficially Owned by Each Report- ----------------------------------------------------- ing Person (9) Sole Dispositive Power 1,710,458 With ----------------------------------------------------- (10) Shared Dispositive Power 0 - -------------------------------------------------------------------------------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person 1,710,458 - -------------------------------------------------------------------------------- (12) Check if the Aggregate Amount in Row (11) Excludes Certain Units (See Instructions) [ ] - -------------------------------------------------------------------------------- (13) Percent of Class Represented by Amount in Row (11) 16.4%* - -------------------------------------------------------------------------------- (14) Type of Reporting Person (See Instructions) HC/CO - ---------- * Based on 10,425,488 Common Units outstanding as of November 1, 2003 as reported in Issuer's Quarterly Report on Form 10-Q for the quarter ended September 30, 2003. Excludes 52,700 units held in escrow by, and registered in the name of, U.S. Bank National Association, as escrow agent. Amendment No. 1 to Schedule 13D This Amendment No. 1 to Schedule 13D (this "Amendment") is filed by the Reporting Persons as an amendment to the initial statement on Schedule 13D (the "Original Schedule 13D") as filed with the Securities and Exchange Commission on December 8, 2003. Capitalized terms used but not defined in this Amendment have the meanings set forth in the Original Schedule 13D. The Original Schedule 13D is hereby amended and supplemented as follows: ITEM 2. IDENTITY AND BACKGROUND Item 2 of the Original Schedule 13D is hereby amended to replace Appendix A to the Original Schedule 13D with Appendix A to this Amendment. Appendix A to this Amendment includes, as of the date of this Amendment, the name, state of incorporation, principal business, and principal place of business of each general partner of PNRC. Appendix A also includes, as of the date of this Amendment, the names, residence or business addresses, citizenship and present principal occupations or employment of the executive officers and directors of (1) Parent, (2) Gold Fields and (3) each other general partner of PNRC. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER Item 5 of the Original Schedule 13D is hereby amended to read in its entirety as follows: (a) Based on the information reported by Issuer in its Quarterly Report on Form 10-Q for the quarter ended September 30, 2003, there were 10,425,488 Common Units outstanding as of November 1, 2003. As of December 15, 2003, PNRC owns 1,710,458 Common Units, representing 16.4% of the outstanding Common Units of Issuer, based on the number of Common Units outstanding as of November 1, 2003. As of December 15, 2003, Gold Fields may be deemed to beneficially own, by virtue of its ownership of PNRC, the same 1,710,458 Common Units, representing 16.4% of the outstanding Common Units of Issuer, based on the number of Common Units outstanding as of November 1, 2003. As of December 15, 2003, Parent may be deemed to beneficially own, by virtue of its ownership of PNRC and Gold Fields, the same 1,710,458 Common Units, representing 16.4% of the outstanding Common Units of Issuer, based on the number of Common Units outstanding as of November 1, 2003. In connection with the foregoing acquisition of Common Units by PNRC, Issuer placed 52,700 Common Units in escrow pending transfer to Issuer of certain coal mineral estates in certain parcels and tracts of land. These Common Units are registered in the name of U.S. Bank National Association, as escrow agent. If the coal mineral estates are transferred to Issuer prior to the deadline in the escrow agreement, these units will be released from escrow to PNRC. (b) PNRC has sole power to vote or direct the vote and to dispose or to direct the disposition of the Common Units beneficially owned by it. Gold Fields, by virtue of its ownership of PNRC, may be deemed to have the power to vote or direct the vote and to dispose or to direct the disposition of the Common Units beneficially owned by PNRC. Parent, by virtue of its ownership of PNRC and Gold Fields, may be deemed to have the power to vote or direct the vote and to dispose or to direct the disposition of the Common Units beneficially owned by PNRC. (c) PNRC sold 1,000,000 Common Units on December 15, 2003 for proceeds to PNRC of $32.11 per share in an underwritten transaction. That sale was made under an underwriting agreement (a copy of which is filed with this Amendment as Exhibit 5 and is incorporated in this Amendment by reference). Except for that sale, no transactions in Common Units were effected by the Reporting Persons, or to their knowledge, any of the persons listed on Appendix A to this Amendment since the filing of the Original Schedule 13D. (d) No person is known by any Reporting Person to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, any Common Units owned by any Reporting Person. (e) Not applicable. ITEM 7. MATERIALS TO BE FILED AS EXHIBITS
Exhibit Description ------- ----------- 5 Underwriting Agreement dated December 9, 2003 among Penn Virginia Resource GP, LLC, Penn Virginia Resource Partners, L.P., Peabody Natural Resources Company, Peabody Energy Corporation and Lehman Brothers Inc. (incorporated by reference to Exhibit 1.1 of Issuer's Current Report on Form 8-K filed on December 12, 2003).
SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Date: December 15, 2003 PEABODY NATURAL RESOURCES COMPANY /s/ Robert L. Reilly ------------------------------------- Robert L. Reilly Vice President PEABODY ENERGY CORPORATION /s/ Richard A. Navarre ------------------------------------- Richard A. Navarre Executive Vice President and Chief Financial Officer GOLD FIELDS MINING CORPORATION /s/ Richard A. Navarre ------------------------------------- Richard A. Navarre Vice President APPENDIX A PEABODY NATURAL RESOURCES COMPANY GENERAL PARTNERS Gold Fields Mining Corporation, a Delaware corporation 14062 Denver West Parkway Suite 110 Golden, Colorado 80401-3301 Gold Fields Mining Corporation is a direct wholly owned subsidiary of Parent. Peabody America, Inc., a Delaware corporation 701 Market Street Suite 720 St. Louis, Missouri 63101-1826 Peabody America, Inc. is a direct wholly owned subsidiary of Gold Fields and an indirect wholly owned subsidiary of Parent. GOLD FIELDS MINING CORPORATION BOARD OF DIRECTORS NAME/TITLE BUSINESS ADDRESS - ---------- ---------------- C.C. Kennedy Gold Fields Mining Corporation Vice President, Secretary 14062 Denver West Parkway, Suite 110 and General Counsel Golden, Colorado 80401-3301 Richard A. Navarre Peabody Energy Corporation Executive Vice President and 701 Market Street, Suite 760 Chief Financial Officer St. Louis, Missouri 63101 Peabody Energy Corporation Roger B. Walcott, Jr. Peabody Energy Corporation Executive Vice President - 701 Market Street, Suite 760 Corporate Development St. Louis, Missouri 63101 Peabody Energy Corporation EXECUTIVE OFFICERS NAME/TITLE BUSINESS ADDRESS - ---------- ---------------- Roger B. Walcott, Jr. Gold Fields Mining Corporation President 14062 Denver West Parkway, Suite 110 Golden, Colorado 80401-3301 Walter L. Hawkins, Jr. Gold Fields Mining Corporation Vice President and Assistant Treasurer 14062 Denver West Parkway, Suite 110 Golden, Colorado 80401-3301 C.C. Kennedy Gold Fields Mining Corporation Vice President, Secretary and 14062 Denver West Parkway, Suite 110 General Counsel Golden, Colorado 80401-3301 Richard A. Navarre Gold Fields Mining Corporation Vice President 14062 Denver West Parkway, Suite 110 Golden, Colorado 80401-3301 Robert L. Reilly Gold Fields Mining Corporation Vice President 14062 Denver West Parkway, Suite 110 Golden, Colorado 80401-3301 Steven F. Schaab Gold Fields Mining Corporation Vice President and Treasurer 14062 Denver West Parkway, Suite 110 Golden, Colorado 80401-3301 All above individuals are citizens of the United States. PEABODY AMERICA, INC. BOARD OF DIRECTORS NAME/TITLE BUSINESS ADDRESS - ---------- ---------------- Richard A. Navarre Peabody Energy Corporation Executive Vice President and 701 Market Street, Suite 760 Chief Financial Officer St. Louis, Missouri 63101 Peabody Energy Corporation Roger B. Walcott, Jr. Peabody Energy Corporation Executive Vice President - 701 Market Street, Suite 760 Corporate Development St. Louis, Missouri 63101 Peabody Energy Corporation EXECUTIVE OFFICERS NAME/TITLE BUSINESS ADDRESS - ---------- ---------------- Roger B. Walcott, Jr. Peabody America, Inc. President 701 Market Street, Suite 720 St. Louis, Missouri 63101-1826 Walter L. Hawkins, Jr. Peabody America, Inc. Vice President and Assistant Treasurer 701 Market Street, Suite 720 St. Louis, Missouri 63101-1826 C.C. Kennedy Peabody America, Inc. Vice President and Secretary 701 Market Street, Suite 720 St. Louis, Missouri 63101-1826 Jeffery L. Klinger Peabody America, Inc. Vice President and Assistant Secretary 701 Market Street, Suite 720 St. Louis, Missouri 63101-1826 Robert L. Reilly Peabody America, Inc. Vice President 701 Market Street, Suite 720 St. Louis, Missouri 63101-1826 Steven F. Schaab Peabody America, Inc. Vice President and Treasurer 701 Market Street, Suite 720 St. Louis, Missouri 63101-1826 L.B. Stottlemyre Peabody America, Inc. Vice President 701 Market Street, Suite 720 St. Louis, Missouri 63101-1826 All above individuals are citizens of the United States. PEABODY ENERGY CORPORATION BOARD OF DIRECTORS NAME/TITLE BUSINESS ADDRESS - ---------- ---------------- B.R. Brown Peabody Energy Corporation Former Chief Executive Officer 701 Market Street, Suite 760 of publicly traded coal company St. Louis, Missouri 63101 Irl F. Engelhardt Peabody Energy Corporation Chairman and Chief Executive Officer 701 Market Street, Suite 760 St. Louis, Missouri 63101 William E. James Peabody Energy Corporation Founding Partner of 701 Market Street, Suite 760 RockPort Capital Partners LLC St. Louis, Missouri 63101 Robert B. Karn, III Peabody Energy Corporation Financial Consultant 701 Market Street, Suite 760 St. Louis, Missouri 63101 Henry E. Lentz Peabody Energy Corporation Consultant to Lehman Brothers Inc. 701 Market Street, Suite 760 St. Louis, Missouri 63101 William C. Rusnack Peabody Energy Corporation Former President and CEO of 701 Market Street, Suite 760 Premcor Inc. St. Louis, Missouri 63101 James R. Schlesinger, PhD Peabody Energy Corporation Chairman of the Board of Trustees of 701 Market Street, Suite 760 MITRE Corporation St. Louis, Missouri 63101 Blanche M. Touhill, PhD Peabody Energy Corporation Chancellor Emeritus and Professor Emeritus 701 Market Street, Suite 760 at the University of Missouri - St. Louis St. Louis, Missouri 63101 Sandra Van Trease Peabody Energy Corporation President of UNICARE 701 Market Street, Suite 760 St. Louis, Missouri 63101 Alan H. Washkowitz Peabody Energy Corporation Managing Director of Lehman Brothers Inc. 701 Market Street, Suite 760 St. Louis, Missouri 63101 All above individuals are citizens of the United States. PEABODY ENERGY CORPORATION EXECUTIVE OFFICERS NAME/TITLE BUSINESS ADDRESS - ---------- ---------------- Irl F. Engelhardt Peabody Energy Corporation Chairman and Chief Executive Officer 701 Market Street, Suite 760 St. Louis, Missouri 63101 Gregory H. Boyce Peabody Energy Corporation President and Chief Operating Officer 701 Market Street, Suite 760 St. Louis, Missouri 63101 Richard M. Whiting Peabody Energy Corporation Executive Vice President - 701 Market Street, Suite 760 Sales and Trading St. Louis, Missouri 63101 Roger B. Walcott, Jr. Peabody Energy Corporation Executive Vice President - 701 Market Street, Suite 760 Corporate Development St. Louis, Missouri 63101 Richard A. Navarre Peabody Energy Corporation Executive Vice President and 701 Market Street, Suite 760 Chief Financial Officer St. Louis, Missouri 63101 Fredrick D. Palmer Peabody Energy Corporation Executive Vice President - Legal and 701 Market Street, Suite 760 External Affairs and Secretary St. Louis, Missouri 63101 Sharon D. Fiehler Peabody Energy Corporation Executive Vice President - 701 Market Street, Suite 760 Human Resources and Administration St. Louis, Missouri 63101 Jeffery L. Klinger Peabody Energy Corporation Vice President - Legal Services and 701 Market Street, Suite 760 Assistant Secretary St. Louis, Missouri 63101 All above individuals are citizens of the United States. -----END PRIVACY-ENHANCED MESSAGE-----