UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Non-Qualified Stock Option (Right to Buy) | 03/11/2016 | 03/11/2023 | Common Stock | 3,291 | $ 17.5 | D | Â |
Employee Non-Qualified Stock Option (Right to Buy) | 03/15/2015 | 03/15/2022 | Common Stock | 3,071 | $ 17 | D | Â |
Employee Non-Qualified Stock Option (Right to Buy) | 03/08/2014 | 03/08/2021 | Common Stock | 2,157 | $ 20.99 | D | Â |
Employee Non-Qualified Stock Option (Right to Buy) | 11/20/2012 | 11/20/2019 | Common Stock | 19,811 | $ 15 | D | Â |
Performance Units | Â (2) | Â (2) | Common Stock | 3,278 | $ (2) | D | Â |
Performance Units | Â (2) | Â (2) | Common Stock | 3,269 | $ (2) | D | Â |
Performance Units | Â (2) | Â (2) | Common Stock | 2,563 | $ (2) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Jones Bruce E 505 SOUTH GILLETTE AVENUE GILLETTE, WY 82716 |
 |  |  Sr. Vice President, Tech Svcs |  |
/s/ Lisa Kish, attorney-in-fact for Bruce E. Jones | 07/17/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Includes (i) 1,031 shares of restricted stock that vest on 03/08/14, (ii) 1,459 shares of restricted stock that vest on 03/15/15, (iii) 1,639 restricted stock units (each representing a contingent right to receive one share of Cloud Peak Energy Inc. common stock) that vest on 03/11/16, and (iv) 303 shares acquired under the Cloud Peak Energy Inc. employee stock purchase plan. |
(2) | Each performance right represents a contingent right to receive one share of Cloud Peak Energy Inc. common stock. The performance rights vest 3 years from the date of grant (which was 03/11/13 for the 3,278 performance units, 03/15/12 for the 3,269 performance units, and 03/8/11 for the 2,563 performance units) upon Cloud Peak Energy's achievement of Performance Goals, which are based upon Cloud Peak Energy's relative and absolute total shareholder return. These achievements may result in a payout range between 0% and 200% of the target. The number of performance rights shown in column 3 is equal to the target number of performance rights that may be earned. There is no expiration date for performance rights. |
 Remarks: Exhibit List: 1. Exhibit 24 - Power of Attorney |