Delaware (State or Other Jurisdiction of Incorporation or Organization) | 1221 (Primary Standard Industrial Classification Code Number) | 81-3015061 (I.R.S. Employer Identification Number) |
Byron B. Rooney Shane Tintle Davis Polk & Wardwell LLP 450 Lexington Avenue New York, New York 10017 Telephone: (212) 450-4000 Facsimile: (212) 701-5800 | Mark M. Manno Executive Vice President, General Counsel Contura Energy, Inc. 340 Martin Luther King Jr. Blvd. Bristol, Tennessee 37620 Telephone: (423) 573-0300 Facsimile: (423) 573-0446 | Ryan J. Maierson John M. Greer Latham & Watkins LLP 811 Main Street, Suite 3700 Houston, Texas 77002 Telephone: (713) 546-5400 Facsimile: (713) 546-5401 |
Large accelerated filer | ☐ | Accelerated filer | ☐ | |
Non-accelerated filer | ☒ | Smaller reporting company | ☐ | |
(Do not check if a smaller reporting company) | Emerging growth company | ☐ |
Title of Each Class of Securities to be Registered | Amount to be Registered(1) | Proposed Maximum Offering Price Per Share(2) | Proposed Maximum Aggregate Offering Price(1)(2) | Amount of Registration Fee(3) |
Common Stock, $0.01 par value per share | 6,900,000 | $27.00 | $186,300,000 | $21,593 |
(1) | Includes 900,000 additional shares of common stock that the underwriters have the option to purchase. |
(2) | Estimated solely for the purpose of calculating the registration fee pursuant to Rule 457(a) under the Securities Act. |
(3) | The Registrant previously paid $21,593 based on an estimate of the aggregate offering price. |
Amount to Be Paid | |||
SEC registration fee | $ | 21,593 | |
FINRA filing fee | 28,445 | ||
NYSE listing fee | 77,600 | ||
Transfer agent’s fees | 20,000 | ||
Printing and engraving expenses | 250,000 | ||
Legal fees and expenses | 2,500,000 | ||
Accounting fees and expenses | 1,500,000 | ||
Blue Sky fees and expenses | 10,000 | ||
Miscellaneous | 292,362 | ||
Total | $ | 4,700,000 |
• | 26,367,000 shares of common stock to holders of certain first lien claims, second lien claims and general unsecured claims against Alpha, as adjusted to give effect to the Stock Split; |
• | 1,833,000 shares of common stock to lenders of the Company’s ABL Facility as consideration for providing the ABL Facility, as adjusted to give effect to the Stock Split; and |
• | 810,811 warrants to purchase common stock to holders of certain unsecured claims against Alpha. |
a) | The undersigned registrant hereby undertakes to provide to the underwriter at the closing specified in the underwriting agreements, certificates in such denominations and registered in such names as required by the underwriter to permit prompt delivery to each purchaser. |
b) | Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers and controlling persons of the registrant under the provisions described in Item 14, or otherwise, the registrant has been advised that in the opinion of the SEC such indemnification is against public policy as expressed in the Securities Act and is therefore unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the registrant of expenses incurred or paid by a director, officer or controlling person of the registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue. |
c) | The undersigned registrant hereby undertakes that: |
(1) | For purposes of determining any liability under the Securities Act of 1933, the information omitted from the form of prospectus filed as part of this registration statement in reliance upon Rule 430A and contained in a form of prospectus filed by the registrant under Rule 424(b)(1) or (4) or 497(h) under the Securities Act shall be deemed to be part of this registration statement as of the time it was declared effective. |
(2) | For the purpose of determining any liability under the Securities Act of 1933, each post-effective amendment that contains a form of prospectus shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof. |
CONTURA ENERGY, INC. | |
By: | /s/ Kevin S. Crutchfield |
Name: Kevin S. Crutchfield | |
Title: Chief Executive Officer and Director |
Signature | Capacity |
* | Chief Executive Officer and Director (Principal Executive Officer) |
Kevin S. Crutchfield | |
* | Executive Vice President and Chief Financial Officer (Principal Financial Officer and Principal Accounting Officer) |
Charles Andrew Eidson | |
* | Chairman |
Neale X. Trangucci | |
* | Director |
Albert E. Ferrara, Jr. |
Exhibit No. | Description of Exhibit | |
1.1*** | Form of Underwriting Agreement | |
2.1*** | Asset Purchase Agreement, dated July 26, 2016, among Contura Energy, Inc.; Alpha Natural Resources, Inc.; certain subsidiaries of Alpha Natural Resources, Inc.; ANR, Inc. and Alpha Natural Resources, Inc. as sellers’ representative | |
3.1*** | Form of Amended and Restated Certificate of Incorporation of Contura Energy, Inc. | |
3.2*** | Form of Amended and Restated Bylaws of Contura Energy, Inc. | |
4.1*** | Specimen Certificate for shares of Common Stock | |
5.1* | Opinion of Davis Polk & Wardwell LLP | |
10.1*** | Credit Agreement dated as of March 17, 2017 among Contura Energy, Inc. as Borrower, Jefferies Finance LLC, as Administrative Agent and Collateral Agent, and the Other Lenders Party Thereto (Jefferies Finance LLC, BMO Capital Markets Corp., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC and UBS Securities LLC, as Joint Lead Arrangers and Joint Bookrunners) | |
10.2*** | Asset-Based Revolving Credit Agreement dated as of April 3, 2017 among Contura Energy, Inc., and certain of its Subsidiaries, as the Borrowers; the Guarantors Party Thereto; Citibank, N.A., as Administrative Agent; Citibank, N.A., as Swingline Lender; Citibank, N.A., BMO Harris Bank N.A. and Credit Suisse AG, Cayman Islands Branch, as L/C Issuers; the Other Lenders Party Thereto and Citigroup Global Markets Inc., BMO Capital Markets Corp. and Credit Suisse Securities (USA) LLC, as Joint Lead Arrangers and Joint Bookrunners | |
10.3*** | Loan Agreement dated as of July 26, 2016 by and between ANR, Inc. as Borrower; the Guarantors Party Thereto and Contura Energy, Inc. as Lender | |
10.4*** | Settlement Agreement, dated November 3, 2016 but effective only as of the Settlement Effective Time, by and among Contura Energy, Inc., for itself and on behalf of certain of its subsidiaries; ANR, Inc., for itself and on behalf of certain of its affiliates and Old ANR, Inc. (f/k/a Alpha Natural Resources, Inc.) on behalf of itself and on behalf of all of the sellers in its capacity as sellers’ representative | |
10.5*** | Reclamation Funding Agreement, dated July 12, 2016, by and among Alpha Natural Resources, Inc., on behalf of itself and its debtor-affiliates; Contura Energy, Inc.; the Illinois Department of Natural Resources; the Kentucky Energy and Environment Cabinet, Department for Natural Resources; the United States Department of the Interior, Office of Surface Mining, Reclamation and Enforcement, in its capacity as the regulatory authority over surface mining operations in the State of Tennessee; the Virginia Department of Mines, Minerals and Energy and the West Virginia Department of Environmental Protection | |
10.6*** | Settlement Agreement, dated July 12, 2016, by and among Alpha Natural Resources, Inc., on behalf of itself and its debtor-affiliates; Contura Energy, Inc.; Citicorp North America, Inc. and the United States Department of the Interior, on behalf of the Office of Surface Mining, Reclamation and Enforcement, including in its capacity as the regulatory authority over surface mining operations in the State of Tennessee, the Office of Natural Resources Revenue and the Bureau of Land Management | |
10.7*** | Permitting and Reclamation Plan Settlement Agreement for the State of Illinois, dated July 12, 2016, by and among Alpha Natural Resources, Inc., on behalf of itself and its debtor-affiliates; Contura Energy, Inc. and the Illinois Department of Natural Resources | |
10.8*** | Permitting and Reclamation Plan Settlement Agreement for the Commonwealth of Kentucky, dated July 12, 2016, by and among Alpha Natural Resources, Inc., on behalf of itself and its debtor-affiliates; Contura Energy, Inc. and the Kentucky Energy and Environment Cabinet, Department for Natural Resources | |
10.9*** | Permitting and Reclamation Plan Settlement Agreement for the Commonwealth of Virginia, dated July 12, 2016, by and among Alpha Natural Resources, Inc., on behalf of itself and its debtor-affiliates; Contura Energy, Inc. and the Commonwealth of Virginia, Department of Mines, Minerals and Energy | |
10.10*** | Permitting and Reclamation Plan Settlement Agreement for the State of West Virginia, dated July 12, 2016, by and among Alpha Natural Resources, Inc., on behalf of itself and its debtor-affiliates; Contura Energy, Inc. and the West Virginia Department of Environmental Protection |
Exhibit No. | Description of Exhibit | |
10.11*** | Stipulation Regarding Water Treatment Obligations, dated July 12, 2016, by and among Alpha Natural Resources, Inc., on behalf of itself and its debtor-affiliates; Contura Energy, Inc. and the United States | |
10.12*** | Stipulation and Agreed Order dated July 15, 2016 among Alpha Natural Resources, Inc., et al., as Debtors; Citicorp North America, as administrative and collateral agent; Contura Energy, Inc. and the Retiree Settlement Committee | |
10.13*** | Stipulation and Agreed Order dated July 6, 2016 among Alpha Natural Resources, Inc., et al., as Debtors; Citicorp North America, as administrative and collateral agent; Contura Energy, Inc. and the UMWA Funds | |
10.14*** | Agreement to Fund VEBA, dated July 5, 2016, by and among Contura Energy, Inc., on behalf of itself and as authorized agent for certain of its subsidiaries, and the United Mine Workers of America | |
10.15*** | Form of Indemnification Agreement by and between Contura Energy, Inc. and each of its current and future directors and officers | |
10.16***† | Employment Agreement, dated July 26, 2016 by and between Contura Energy, Inc. and Kevin S. Crutchfield | |
10.17***† | Contura Energy, Inc. Management Incentive Plan, effective as of July 26, 2016 | |
10.18***† | Amendment 1 to Contura Energy, Inc. Management Incentive Plan, dated as of January 18, 2017 | |
10.19***† | Form of Contura Energy, Inc. Option Agreement | |
10.20***† | Form of Contura Energy, Inc. Restricted Share Agreement | |
10.21***† | Form of Contura Energy, Inc. Emergence Award Agreement | |
10.22***† | Contura Energy, Inc. Deferred Compensation Plan | |
10.23***† | Contura Energy, Inc. Annual Incentive Bonus Program | |
10.24***† | Contura Energy, Inc. Key Employee Separation Plan, effective as of July 26, 2016 | |
10.25***† | Contura Energy, Inc. Non-Employee Director Compensation Policy, effective as of August 1, 2016 | |
10.26***† | Amendment 1 to Contura Energy, Inc. Non-Employee Director Compensation Policy, dated January 18, 2017 | |
10.27***† | Amendment 2 to Contura Energy, Inc. Non-Employee Director Compensation Policy, dated April 19, 2017 | |
10.28*** | Warrant Agreement, dated July 26, 2016, between Contura Energy, Inc., Computershare, Inc. and Computershare Trust Company, N.A. | |
10.29*** | Transition Services Agreement, dated July 26, 2016, between Contura Energy, Inc., Alpha Natural Resources, Inc. and ANR, Inc. | |
10.30***† | Form of 2017 Long-Term Incentive Plan | |
10.31*** | First Amendment to Credit Agreement, dated as of June 13, 2017, to the Credit Agreement, dated as of March 17, 2017 among Contura Energy, Inc. as Borrower, Jefferies Finance LLC, as Administrative Agent and Collateral Agent, and the Other Lenders Party Thereto | |
10.32*** | First Amendment to Asset-Based Revolving Credit Agreement, dated as of June 9, 2017, to the Asset-Based Revolving Credit Agreement dated as of April 3, 2017 among Contura Energy, Inc., and certain of its Subsidiaries, as the Borrowers; the Guarantors Party Thereto; Citibank, N.A., as Administrative Agent; Citibank, N.A., as Swingline Lender; Citibank, N.A., BMO Harris Bank N.A. and Credit Suisse AG, Cayman Islands Branch, as L/C Issuers; the Other Lenders Party Thereto and Citigroup Global Markets Inc., BMO Capital Markets Corp. and Credit Suisse Securities (USA) LLC, as Joint Lead Arrangers and Joint Bookrunners | |
10.33*** | First Amendment to Transition Services Agreement, dated August 26, 2016, to the Transition Services Agreement, dated July 26, 2016, between Contura Energy, Inc., Alpha Natural Resources, Inc. and ANR, Inc. | |
10.34*** | Second Amendment to Transition Services Agreement, dated October 20, 2016, to the Transition Services Agreement, dated July 26, 2016, between Contura Energy, Inc., Alpha Natural Resources, Inc. and ANR, Inc. |
Exhibit No. | Description of Exhibit | |
10.35*** | Third Amendment to Transition Services Agreement, dated February 22, 2017, to the Transition Services Agreement, dated July 26, 2016, between Contura Energy, Inc., Alpha Natural Resources, Inc. and ANR, Inc. | |
21.1*** | List of Subsidiaries of the Company | |
23.1*** | Consent of KPMG LLP | |
23.2*** | Consent of Marshall Miller & Associates, Inc. | |
23.3*** | Consent of Wood Mackenzie, Inc. | |
23.4* | Consent of Davis Polk & Wardwell LLP (included in Exhibit 5.1) | |
23.5*** | Consent of Director Nominee, Anthony J. Orlando | |
24.1*** | Power of Attorney (included on signature page to the original Registration Statement) |
New York Northern California Washington DC São Paulo London | Paris Madrid Tokyo Beijing Hong Kong | ||||
Davis Polk & Wardwell LLP 450 Lexington Avenue New York, NY 10017 | 212 450 4000 tel 212 701 5800 fax |
Contura Energy, Inc. | 2 | August 2, 2017 |
/s/ Davis Polk & Wardwell LLP |
Davis Polk & Wardwell LLP |
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