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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 | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Kroh D Scott 406 WEST MAIN STREET ABINGDON, VA 24210 |
Executive Vice President | |||
| Benjamin G. Hadary, Attorney-in-Fact for D. Scott Kroh | 08/22/2005 | |
| **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) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 30, 2005. |
| (2) | Pursuant to Rule 16a-1(4) promulgated under the Securities Exchange Act of 1934, as amended, Mr. Kroh herein states that this filing shall not be deemed an admission that he is the beneficial owner of any of the shares of Common Stock covered by this Statement, except to the extent of his pecuniary interest in such shares of Common Stock. |
| (3) | Consists of the following shares (the "Kroh Indirect Shares") of Common Stock of Alpha Natural Resources, Inc. (the "Issuer"): 38,739.3 shares held directly by Dunamis Resources, Inc. ("Dunamis"), 48,646.7 shares held directly by I-22 Processing, Inc. ("I-22"), 41,584.7 shares held directly by Madison Mining Company, LLC ("Madison"), 941,621 shares held directly by Tanoma Energy, Inc. ("Tanoma"), 303,077.6 shares held directly by Laurel Energy, L.P. ("Laurel Energy") and 40,321.9 shares held directly by Laurel Resources, L.P. ("Laurel Resources"). Mr. Kroh has the right to cause the sale of the Kroh Indirect Shares and receive the proceeds from such sale pursuant to the terms of the Shareholders Allocation and Contribution Agreement dated as of March 11, 2003 by and among Fritz R. Kundrun, Hans J. Mende and Mr. Kroh. |
| (4) | Dunamis, I-22, Madison, Tanoma, Laurel Energy and Laurel Resources (the "Record Holders") are record holders of other shares of the Issuer in addition to the Kroh Indirect Shares, however Mr. Kroh does not have the right to cause the sale of such shares and, as a result, Mr. Kroh disclaims beneficial ownership of such shares. Mr. Kroh is a minority stockholder of each of Dunamis, I-22, Tanoma, and Laurel Mountain Management, Inc. and a member of the board of directors of each of Dunamis, I-22 and Laurel Mountain Management, Inc. Laurel Mountain Management, Inc. is the general partner of each of Laurel Resources and Laurel Energy. Mr. Kroh is the general partner of JAZ Ventures, L.P., which directly owns one-third of the membership interests of Madison, which is a member-managed limited liability company. JAZ Ventures, L.P. is also a limited partner of Laurel Resources and Laurel Energy. |
| Remarks: This is the first of two Form 4's filed by the reporting person with respect to transactions occurring on August 18, 2005. | |