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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 4 )*
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.
* The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on 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).
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.
CUSIP No. |
Common: 63900P 10 3; Subordinated: 63900P 50 9 |
Page | 2 |
of | 14 |
1 | NAMES OF REPORTING PERSONS: Corbin J. Robertson, Jr. |
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS): |
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(a) þ | |||||||||||
(b) o | |||||||||||
3 | SEC USE ONLY: | ||||||||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS): | ||||||||||
OO (see Item 3) | |||||||||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e): | ||||||||||
o | |||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION: | ||||||||||
Texas, United States | |||||||||||
7 | SOLE VOTING POWER (1): | ||||||||||
NUMBER OF | 69,530 Common plus Subordinated Units; 69,530 Common Units; 0 Subordinated Units |
||||||||||
SHARES | 8 | SHARED VOTING POWER: (2) | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 8,740,712 Common plus Subordinated Units; 6,020,377 Common Units; 2,720,335 Subordinated Units |
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EACH | 9 | SOLE DISPOSITIVE POWER: (1) | |||||||||
REPORTING | |||||||||||
PERSON | 69,530 Common plus Subordinated Units; 69,530 Common Units; 0 Subordinated Units |
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WITH | 10 | SHARED DISPOSITIVE POWER: (2) | |||||||||
8,740,712 Common plus Subordinated Units; 6,020,377 Common Units; 2,720,335 Subordinated Units |
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11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: (2) | ||||||||||
8,810,242 Common plus Subordinated Units; 6,089,907 Common Units; 2,720,335 Subordinated Units |
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12 | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS): | ||||||||||
o | |||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): | ||||||||||
27.8% of Common plus Subordinated Units (3); 23.4% of Common Units; 47.9% of Subordinated Units |
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14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): | ||||||||||
IN |
(1) | Corbin J. Robertson, Jr. may be deemed to beneficially own 69,530 Common Units owned by the William K. Robertson 1993 Trust, in his capacity as trustee of the trust. See Item 3. |
(2) | The 2,720,335 Subordinated Units are convertible into an equal number of Common Units upon satisfaction of the conditions described in the Registration Statement on Form S-1 (File No. 333-86582), incorporated herein by reference. See Item 3 for an explanation of how Mr. Robertson may be deemed to be the beneficial owner of these Common Units. |
(3) | Excludes Class B units representing limited partner interests in the Partnership (Class B Units), which are not registered under Section 12 of the Securities Exchange Act of 1934, as amended (the Exchange Act). |
2
CUSIP No. |
Common: 63900P 10 3; Subordinated: 63900P 50 9 |
Page | 3 |
of | 14 |
1 | NAMES OF REPORTING PERSONS: Western Pocahontas Properties Limited Partnership |
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): |
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76-0205573 | |||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS): |
||||||||||
(a) þ | |||||||||||
(b) o | |||||||||||
3 | SEC USE ONLY: | ||||||||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS): | ||||||||||
OO (see Item 3) | |||||||||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e): | ||||||||||
o | |||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION: | ||||||||||
Delaware, United States | |||||||||||
7 | SOLE VOTING POWER: | ||||||||||
NUMBER OF | 0 Common Units; 0 Subordinated Units | ||||||||||
SHARES | 8 | SHARED VOTING POWER: (1) | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 8,389,930 Common plus Subordinated Units; 5,774,048 Common Units; 2,615,882 Subordinated Units |
||||||||||
EACH | 9 | SOLE DISPOSITIVE POWER: | |||||||||
REPORTING | |||||||||||
PERSON | 0 Common Units; 0 Subordinated Units | ||||||||||
WITH | 10 | SHARED DISPOSITIVE POWER: (1) | |||||||||
8,389,930 Common plus Subordinated Units; 5,774,048 Common Units; 2,615,882 Subordinated Units |
|||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: (1) | ||||||||||
8,389,930 Common plus Subordinated Units; 5,774,048 Common Units; 2,615,882 Subordinated Units |
|||||||||||
12 | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS): | ||||||||||
o | |||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): | ||||||||||
26.5% of Common plus Subordinated Units (2); 22.2% of Common Units; 46.1% of Subordinated Units |
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14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): | ||||||||||
PN |
(1) | The 2,615,882 Subordinated Units are convertible into an equal number of Common Units upon satisfaction of the conditions described in the Registration Statement on Form S-1 (File No. 333-86582), incorporated herein by reference. |
(2) | Excludes Class B Units, which are not registered under Section 12 of the Exchange Act. |
3
CUSIP No. |
Common: 63900P 10 3; Subordinated: 63900P 50 9 |
Page | 4 |
of | 14 |
1 | NAMES OF REPORTING PERSONS: Western Pocahontas Corporation |
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): |
|||||||||||
76-0204210 | |||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS): |
||||||||||
(a) þ | |||||||||||
(b) o | |||||||||||
3 | SEC USE ONLY: | ||||||||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS): | ||||||||||
OO (see Item 3) | |||||||||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e): | ||||||||||
o | |||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION: | ||||||||||
Texas, United States | |||||||||||
7 | SOLE VOTING POWER: | ||||||||||
NUMBER OF | 0 Common Units; 0 Subordinated Units | ||||||||||
SHARES | 8 | SHARED VOTING POWER: (1) | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 8,389,930 Common plus Subordinated Units; 5,774,048 Common Units; 2,615,882 Subordinated Units |
||||||||||
EACH | 9 | SOLE DISPOSITIVE POWER: | |||||||||
REPORTING | |||||||||||
PERSON | 0 Common Units; 0 Subordinated Units | ||||||||||
WITH | 10 | SHARED DISPOSITIVE POWER: (1) | |||||||||
8,389,930 Common plus Subordinated Units; 5,774,048 Common Units; 2,615,882 Subordinated Units |
|||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: (1) | ||||||||||
8,389,930 Common plus Subordinated Units; 5,774,048 Common Units; 2,615,882 Subordinated Units |
|||||||||||
12 | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS): | ||||||||||
o | |||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): | ||||||||||
26.5% of Common plus Subordinated Units (2); 22.2% of Common Units; 46.1% of Subordinated Units |
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14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): | ||||||||||
CO |
(1) | The 2,615,882 Subordinated Units are convertible into an equal number of Common Units upon satisfaction of the conditions described in the Registration Statement on Form S-1 (File No. 333-86582), incorporated herein by reference. |
(2) | Excludes Class B Units, which are not registered under Section 12 of the Exchange Act. |
4
(a) | Name of Persons Filing this Statement: |
(1) | Corbin J. Robertson, Jr. | ||
(2) | Western Pocahontas Properties Limited Partnership, a limited partnership formed under the laws of the State of Delaware. | ||
(3) | Western Pocahontas Corporation, a corporation formed under the laws of the State of Texas. |
(b) | Principal Business Address and Principal Office Address of Reporting Persons: |
(1) | The principal business address and principal office address of Corbin J. Robertson, Jr. and Western Pocahontas Corporation is 601 Jefferson Street, Suite 3600, Houston, Texas 77002. | ||
(2) | The principal business address and principal office address of Western Pocahontas Properties Limited Partnership is P.O. Box 2827, 1035 Third Avenue, Suite 300, Huntington, West Virginia 25727. |
5
(c) | Present Principal Occupation or Principal Business: |
(1) | Mr. Robertson is the President and Chief Executive Officer of Quintana Minerals Corporation, a corporation engaged in oil and gas production, and is Chairman of the Board and Chief Executive Officer of GP Natural Resource Partners LLC, which acts as the general partner of the general partner of the Partnership. | ||
(2) | Western Pocahontas Properties Limited Partnership engages in the leasing and acquisition of mineral properties. | ||
(3) | Western Pocahontas Corporation acts as the general partner of Western Pocahontas Properties Limited Partnership. |
Principal Business/Principal | Principal Occupation/ | |||||
Name | Office Address | Position | Employment | |||
Corbin J. Robertson, Jr.
|
* | Director, Chairman of the Board and Chief Executive Officer | See Item 2(c)(1) above | |||
S. Reed Morian
|
300 Jackson Hill, Houston, TX 77007 |
Director | Chairman and CEO of Dixie Chemical Company (1) | |||
William L. Mullen
|
Lost Tree Village 838 Lake House Drive North Palm Beach, FL 33408 |
Director | Retired | |||
Peter Baumann
|
4221 Birdview Avenue Malibu, CA 90265 |
Director | Retired | |||
W.W. Scott, Jr.
|
2606 W. Lane Drive Houston, TX 77027 | Director | Retired | |||
Nick Carter
|
** | President and Chief Operating Officer | *** | |||
Dwight L. Dunlap
|
* | Chief Financial Officer and Treasurer |
*** | |||
Wyatt L. Hogan
|
* | Secretary | *** | |||
Kevin Wall
|
** | Vice President and Chief Engineer | *** |
(1) | The principal business of Dixie Chemical Company is manufacturing and marketing of high-purity specialty and complex chemicals and pharmaceutical intermediates for domestic and export areas. | |
* | The principal business address and principal office address of the executive officers and directors listed above is 601 Jefferson, Suite 3600, Houston, Texas 77002. |
6
** | The principal business address and principal office address of the executive officers and directors listed above is P.O. Box 2827, 1035 Third Avenue, Suite 300, Huntington, West Virginia 25727. | |
*** | The principal occupation of the executive officers and directors listed above is their position or positions as an executive officer and/or director of GP Natural Resource Partners LLC, the general partner of the general partner of the Partnership and, if applicable, other affiliates of the Partnership. The principal business of GP Natural Resource Partners LLC is acting as the general partner of the general partner of the Partnership. |
7
(a) | (1) | Corbin J. Robertson, Jr., in his capacity as the controlling shareholder of Western Pocahontas Corporation, the general partner of Western Pocahontas Properties Limited Partnership, in his capacity as a shareholder of New Gauley Coal Corporation, in his capacity as trustee of the William K. Robertson 1993 Management Trust (the WKR Trust), and in his capacity as the spouse of Barbara Robertson, may be deemed to be the beneficial owner of an aggregate of 8,810,242 Common and Subordinated Units, consisting of 6,089,907 Common Units and 2,720,335 Subordinated Units that are convertible into an equal number of Common Units upon satisfaction of the conditions described in the Registration Statement. There being a total of 25,976,795 Common Units and 5,676,817 Subordinated Units outstanding, these holdings represent 23.4% of the Common Units, 47.9% of the Subordinated Units and 27.8% of all outstanding Common and Subordinated Units (excluding the Class B units representing limited partner interests in the Partnership (the Class B Units), which are not registered under Section 12 of the Exchange Act). Pursuant to Rule 13d-4 under the Exchange Act, Mr. Robertson disclaims the beneficial ownership of the Common Units and Subordinated Units reported in this Item 5(a)(1). |
(2) | Western Pocahontas Properties Limited Partnership is the record and beneficial owner of an aggregate of 8,389,930 Common and Subordinated Units, consisting of 5,774,048 Common Units and 2,615,882 Subordinated Units that are convertible into an equal number of Common Units upon satisfaction of the conditions described in the Registration Statement. These holdings represent 22.2% of the Common Units, 46.1% of the Subordinated Units and 26.5% of all outstanding Common and Subordinated Units (excluding the Class B Units). |
8
(3) | Western Pocahontas Corporation does not directly own any units. In its capacity as the general partner of Western Pocahontas Properties Limited Partnership, Western Pocahontas Corporation may, pursuant to Rule 13d-3 under the Exchange Act, be deemed to be the beneficial owner of the aggregate of 8,389,930 Common and Subordinated Units, consisting of 5,774,048 Common Units and 2,615,882 Subordinated Units held by Western Pocahontas Properties Limited Partnership. These holdings represent 22.2% of the Common Units, 46.1% of the Subordinated Units and 26.5% of all outstanding Common and Subordinated Units (excluding the Class B Units). |
9
Exhibit 4.1:
|
Second Amended and Restated Agreement of Limited Partnership of Natural Resource Partners L.P. dated as of January 4, 2007, incorporated herein by reference to Exhibit 4.1 to the Partnerships Form 8-K filed with the Commission on January 4, 2007. | |
Exhibit 10.1:
|
Registration Statement on Form S-1 for Natural Resource Partners L.P. (File No. 333-86582) incorporated herein by reference. | |
Exhibit 99.1:
|
Joint Filing Agreement among the parties regarding filing of Schedule 13D, dated October 28, 2002 incorporated by reference to Exhibit 99.1 to Schedule 13D filed October 28, 2002. |
10
January 16, 2007 | CORBIN J. ROBERTSON, JR. |
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By: | /s/ Corbin J. Robertson, Jr. | |||
Corbin J. Robertson, Jr. | ||||
11
January 16, 2007 | WESTERN POCAHONTAS PROPERTIES LIMITED PARTNERSHIP |
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By: | Western Pocahontas Corporation, | |||
Its General Partner | ||||
By: | /s/ Corbin J. Robertson, Jr | |||
Corbin J. Robertson, Jr. | ||||
Chief Executive Officer | ||||
12
January 16, 2007 | WESTERN POCAHONTAS CORPORATION |
|||
By: | /s/ Corbin J. Robertson, Jr. | |||
Corbin J. Robertson, Jr. | ||||
Chief Executive Officer | ||||
13
Exhibit 4.1:
|
Second Amended and Restated Agreement of Limited Partnership of Natural Resource Partners L.P. dated as of January 4, 2007, incorporated herein by reference to Exhibit 4.1 to the Partnerships Form 8-K filed with the Commission on January 4, 2007. | |
Exhibit 10.1:
|
Registration Statement on Form S-1 for Natural Resource Partners L.P. (File No. 333-86582) incorporated herein by reference. | |
Exhibit 99.1:
|
Joint Filing Agreement among the parties regarding filing of Schedule 13D, dated October 28, 2002 incorporated by reference to Exhibit 99.1 to Schedule 13D filed October 28, 2002. |
14