0000312069-14-000195.txt : 20140214
0000312069-14-000195.hdr.sgml : 20140214
20140214092218
ACCESSION NUMBER: 0000312069-14-000195
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20140214
DATE AS OF CHANGE: 20140214
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: Alpha Natural Resources, Inc.
CENTRAL INDEX KEY: 0001301063
STANDARD INDUSTRIAL CLASSIFICATION: BITUMINOUS COAL & LIGNITE SURFACE MINING [1221]
IRS NUMBER: 421638663
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1220
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-80276
FILM NUMBER: 14611028
BUSINESS ADDRESS:
STREET 1: ONE ALPHA PLACE
STREET 2: P.O. BOX 16429
CITY: BRISTOL
STATE: VA
ZIP: 24209
BUSINESS PHONE: 276-619-4410
MAIL ADDRESS:
STREET 1: ONE ALPHA PLACE
STREET 2: P.O. BOX 16429
CITY: BRISTOL
STATE: VA
ZIP: 24209
FORMER COMPANY:
FORMER CONFORMED NAME: Foundation Coal Holdings, Inc.
DATE OF NAME CHANGE: 20040819
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: BARCLAYS PLC
CENTRAL INDEX KEY: 0000312069
STANDARD INDUSTRIAL CLASSIFICATION: COMMERCIAL BANKS, NEC [6029]
IRS NUMBER: 000000000
STATE OF INCORPORATION: X0
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 1 CHURCHILL PLACE
STREET 2: CANARY WHARF
CITY: LONDON
STATE: X0
ZIP: E14 5HP
BUSINESS PHONE: 01100442076993139
MAIL ADDRESS:
STREET 1: 1 CHURCHILL PLACE
STREET 2: CANARY WHARF
CITY: LONDON
STATE: X0
ZIP: E14 5HP
FORMER COMPANY:
FORMER CONFORMED NAME: BARCLAYS BANK PLC
DATE OF NAME CHANGE: 19850313
FORMER COMPANY:
FORMER CONFORMED NAME: BARCLAYS BANK LTD
DATE OF NAME CHANGE: 19820607
SC 13G/A
1
alpha_13ga-201312311.txt
FINAL FILING SUBMISSION
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No.1 )*
Alpha Natural Resources, Inc.
(Name of Issuer)
Common Stock, $0.01 Par Value
(Title of Class of Securities)
02076X102
(CUSIP Number)
December 31, 2013
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule
pursuant to which this Schedule is filed:
[X] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
*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 the
disclosures provided in a prior cover page.
The information required in 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. 02076X102
------------------------------------------------
1. Names of Reporting Persons.
Barclays PLC
------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
(b) [ ]
------------------------------------------------
3. SEC Use Only
------------------------------------------------
4. Citizenship or Place of Organization
England, United Kingdom
5. Sole Voting Power
Number of 12,094,117
Shares ------------------------------
Beneficially 6. Shared Voting Power
Owned by Each -0-
Reporting ------------------------------
Person With: 7. Sole Dispositive Power
12,094,117
------------------------------
8. Shared Dispositive Power
-0-
-----------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
12,094,117
-----------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) [ ]
-----------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
5.47%
-----------------------------------------------
12. Type of Reporting Person (See Instructions)
HC
-----------------------------------------------
CUSIP No. 02076X102
-----------------------------------------------
1. Names of Reporting Persons.
Barclays Capital Inc.
-----------------------------------------------
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
(b) [ ]
-----------------------------------------------
3. SEC Use Only
-----------------------------------------------
4. Citizenship or Place of Organization
Connecticut, United States
5. Sole Voting Power
Number of 778,451
Shares ------------------------------
Beneficially 6. Shared Voting Power
Owned by Each -0-
Reporting ------------------------------
Person With: 7. Sole Dispositive Power
778,451
------------------------------
8. Shared Dispositive Power
-0-
----------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
778,451
----------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) [ ]
----------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
0.35%
----------------------------------------------
12. Type of Reporting Person (See Instructions)
BD
-----------------------------------------------
CUSIP No. 02076X102
-----------------------------------------------
1. Names of Reporting Persons.
Barclays Capital Derivative Funding LLC
-----------------------------------------------
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
(b) [ ]
-----------------------------------------------
3. SEC Use Only
-----------------------------------------------
4. Citizenship or Place of Organization
Delaware, United States
5. Sole Voting Power
Number of 11,248,685
Shares ------------------------------
Beneficially 6. Shared Voting Power
Owned by Each -0-
Reporting ------------------------------
Person With: 7. Sole Dispositive Power
11,248,685
------------------------------
8. Shared Dispositive Power
-0-
-----------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
11,248,685
-----------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) [ ]
-----------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
5.09%
-----------------------------------------------
12. Type of Reporting Person (See Instructions)
BD
-----------------------------------------------
CUSIP No. 02076X102
-----------------------------------------------
1. Names of Reporting Persons.
Barclays Capital Securities Limited
-----------------------------------------------
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
(b) [ ]
-----------------------------------------------
3. SEC Use Only
-----------------------------------------------
4. Citizenship or Place of Organization
England, United Kingdom
5. Sole Voting Power
Number of 6,981
Shares ------------------------------
Beneficially 6. Shared Voting Power
Owned by Each -0-
Reporting ------------------------------
Person With: 7. Sole Dispositive Power
6,981
------------------------------
8. Shared Dispositive Power
-0-
-----------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
6,981
------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) [ ]
--------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
0.00%
--------------------------------------------------
12. Type of Reporting Person (See Instructions)
BD
--------------------------------------------------
CUSIP No. 02076X102
--------------------------------------------------
1. Names of Reporting Persons.
Barclays Private Bank and Trust Limited
--------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
(b) [ ]
--------------------------------------------------
3. SEC Use Only
--------------------------------------------------
4. Citizenship or Place of Organization
St Helier, Jersey
5. Sole Voting Power
Number of 60,000
Shares ------------------------------
Beneficially 6. Shared Voting Power
Owned by Each -0-
Reporting ------------------------------
Person With: 7. Sole Dispositive Power
60,000
------------------------------
8. Shared Dispositive Power
-0-
--------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
60,000
--------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) [ ]
--------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
0.03%
--------------------------------------------------
12. Type of Reporting Person (See Instructions)
IV
--------------------------------------------------
Item 1.
(a) Name of Issuer:
Alpha Natural Resources, Inc.
(b) Address of Issuer's Principal Executive Offices:
One Alpha Place, P.O. Box 16429
Bristol, Virginia 24209
--------------------------------------------------
Item 2.
(a) Name of Person Filing:
(1) Barclays PLC
(2) Barclays Capital Inc.
(3) Barclays Capital Derivative Funding LLC
(4) Barclays Capital Securities Limited
(5) Barclays Private Bank and Trust Limited
(b) Address of Principal Business Office or, if none, Residence:
(1) Barclays PLC
1 Churchill Place,
London, E14 5HP, England
(2) Barclays Capital Inc.
745 Seventh Avenue
New York, NY 10019
(3) Barclays Capital Derivative Funding
C/O Corporation Trust Company
Corporation Trust Center
1209 Orange Street
Wilmington DE 19801
(4) Barclays Capital Securities Limited
5 The North Colonnade
Canary Wharf
London, E14 4BB, England
(5) Barclays Private Bank and Trust Limited
39/41 Broad Street
St Helier
Jersey
JE4 8PU
Channel Islands
(c) Citizenship:
(1) Barclays PLC: England, United Kingdom
(2) Barclays Capital Inc.: Connecticut, United States
(3) Barclays Capital Derivative Funding: Deleware, United States
(4) Barclays Capital Securities Limited: England, United Kingdom
(5) Barclays Private Bank and Trust Limited: St Helier,
Jersey, Channel islands
(d) Title of Class of Securities: Common Stock, $0.01 Par Value
(e) CUSIP Number: 02076X102
---------------------------------------------------
Item 3. If this statement is filed pursuant to Sub-Section 240.13d-1
(b) or 240.13d-2(b)
or (c), check whether the person filing is a:
(a) [X] Broker or dealer registered under section 15 of
the Act (15 U.S.C. 78o);
(b) [ ] Bank as defined in section 3(a)(6) of the Act
(15 U.S.C. 78c);
(c) [ ] Insurance company as defined in section 3(a)(19)
of the Act (15 U.S.C. 78c);
(d) [ ] Investment company registered under section 8 of
the Investment Company Act of 1940 (15 U.S.C. 80a-8);
(e) [ ] An investment adviser in accordance with
Sub-Section 240.13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in
accordance with Sub-Section 240.13d-1(b)(1)(ii)(F);
(g) [X] A parent holding company or control person in
accordance with Sub-Section 240.13d-1(b)(1)(ii)(G);
(h) [ ] A savings association as defined in Section 3(b) of the
Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) [ ] A church plan that is excluded from the definition of
an investment company under section 3(c)(14) of the
Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j) [X] A non-U.S. institution that is the functional equivalent
of any of the institutions listed in Rule 240.13d-1
(b)(1)(ii)(A) through (I);
(k) [ ] Group, in accordance with Sub-Section 240.13d-1(b)(1)(ii)(J).
----------------------------------------------------
Item 4. Ownership.
Provide the following information regarding the
aggregate number and percentage of the class of
securities of the issuer identified in Item 1.
(a) Amount beneficially owned:
See the response(s) to Item 9 on the attached cover page(s).
(b) Percent of class:
See the response(s)to Item 11 on the attached cover page(s).
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote:
See the response(s) to Item 5 on the attached cover page(s).
(ii) Shared power to vote or to direct the vote:
See the response(s) to Item 6 on the attached cover page(s).
(iii) Sole power to dispose or to direct the disposition of:
See the response(s) to Item 7 on the attached cover page(s).
(iv) Shared power to dispose or to direct the disposition of:
See the response(s) to Item 8 on the attached cover page(s).
-----------------------------------------------------
Item 5. Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact
that as of the date hereof the reporting person has
ceased to be the beneficial owner of more than five
percent of the class of securities, check the following
[]
------------------------------------------------------
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
Not Applicable.
------------------------------------------------------
Item 7. Identification and Classification of the Subsidiary
Which Acquired the Security Being Reported on By the
Parent Holding Company.
See Exhibit A.
------------------------------------------------------
Item 8. Identification and Classification of Members of the Group.
Not Applicable.
------------------------------------------------------
Item 9. Notice of Dissolution of Group.
Not Applicable.
------------------------------------------------------
Item 10. Certification.
By signing below I certify that, to the best of my
knowledge and belief, the securities referred to above
were acquired and are held in the ordinary course of business
and were not acquired and are not held for the purpose of or
with the effect of changing or influencing the control of the
issuer of the securities and were not acquired and are not held
in connection with or as a participant in any transaction having
that purpose or effect.
SIGNATURE
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.
Dated: February 14, 2014
By : Dirk Young
Title: Managing Director, Head of Central Compliance
---------------------------------------------------------
INDEX TO EXHIBITS
Exhibit A Item 7 Information
Exhibit B Joint Filing Agreement
------------------------------------------------------------
EXHIBIT A
The securities being reported by Barclays PLC, as a
parent holding company, are owned, or may be deemed
to be beneficially owned, by Barclays Capital Inc.,
a broker or dealer registered under Section 15 of the
Act, Barclays Capital Derivative Funding LLC, a US
unregulated Delaware LLC , Barclays Capital Securities
Limited, a non-US broker or dealer authorised by the
Prudential Regulation Authority and regulated by the
Financial Conduct Authority and the Prudential Regulation Authority
in the United Kingdom, Barclays Private Bank & Trust Ltd, regulated
by Jersey Financial Services Commission in Jersey. Barclays Capital
Inc., Barclays Capital Securities Ltd, Barclays Capital Derivative
Funding LLC and Barclays Private Bank & Trust Ltd are wholly-owned
subsidiaries of Barclays PLC.
-------------------------------------------------------------
EXHIBIT B
JOINT FILING AGREEMENT
The undersigned hereby agree that the Statement on
Schedule 13G filed herewith (and any amendments thereto),
is being filed jointly with the Securities and Exchange
Commission pursuant to Rule 13d-1(k) (1) under the
Securities Exchange Act of 1934, as amended, on
behalf of each such person.
Dated: February 14, 2014
BARCLAYS PLC
By:
Name: Dirk Young
Title: Managing Director, Head of Central Compliance
BARCLAYS CAPITAL INC.
By:
Name: Dirk Young
Title: Managing Director, Head of Central Compliance
BARCLAYS CAPITAL DERIVATIVE FUNDING LLC
By:
Name: Dirk Young
Title: Managing Director, Head of Central Compliance
Barclays Capital Securities Limited
By:
Name: Dirk Young
Title: Managing Director, Head of Central Compliance
BARCLAYS PRIVATE BANK AND TRUST LIMITED
By:
Name: Dirk Young
Title: Managing Director, Head of Central Compliance