FIRST RESERVE GP IX L P 4
4 · Foundation Coal Holdings, Inc. · Filed Jan 10, 2005
Insider Transaction Report
Form 4
FIRST RESERVE GP IX INC
10% Owner
Transactions
- Other
Common Stock
2005-01-07+1,272,602→ 8,514,758 total(indirect: See FN)
Footnotes (3)
- [F1]In connection with the Issuer's initial public offering, on December 8, 2004, the Issuer declared a stock dividend payable to the holders of record of the Issuer's Common Stock issued and outstanding on December 8, 2004 (the "Record Date"). The payment of such stock dividend was contingent upon whether the underwriters in the Issuer's initial public offering exercised their option to purchase an additional 3,541,500 shares of Common Stock (the "Over-Allotment Option"). On January 7, 2005, the Over- Allotment Option expired and as of that date the underwriters had purchased 511,900 shares of the Over-Allotment Option. The remaining 3,029,600 shares were issued ratably to the Company's holders as of the Record Date. First Reserve Fund IX, L.P. received a stock dividend of 1,272,602 shares as of the date of the underwriter's election.
- [F2]Consists of 8,514,758 shares of Common Stock held directly by First Reserve Fund IX, L.P.
- [F3]This Form 4 is being filed on behalf of First Reserve GP IX, Inc. ("GP IX Inc."), First Reserve GP IX, L.P. ("GP IX"), and First Reserve Fund IX, L.P. ("Fund IX"), each as 10% beneficial owners (collectively the "Fund Entities"). GP IX is the general partner of Fund IX and may be deemed to beneficially own all of the shares of Common Stock owned by Fund IX. GP IX Inc., as the general partner of GP IX, may be deemed to beneficially own all of the shares of Common Stock owned by Fund IX.