-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, M/qRFD4eULI48T5Z96uzUMAJGRrZ4dcnWPxEIa8EdJSMlmPGnNBT66wE8eatUxTg PlYiva+rRYcYBZsfQ9TQ7A== 0000914121-07-001003.txt : 20070413 0000914121-07-001003.hdr.sgml : 20070413 20070412174819 ACCESSION NUMBER: 0000914121-07-001003 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070413 DATE AS OF CHANGE: 20070412 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GLENCORE FINANCE AG CENTRAL INDEX KEY: 0001284714 IRS NUMBER: 00000000 STATE OF INCORPORATION: V8 FILING VALUES: FORM TYPE: SC 13D/A SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: James River Coal CO CENTRAL INDEX KEY: 0001297720 STANDARD INDUSTRIAL CLASSIFICATION: BITUMINOUS COAL & LIGNITE SURFACE MINING [1221] IRS NUMBER: 541602012 STATE OF INCORPORATION: VA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-80169 FILM NUMBER: 07764316 BUSINESS ADDRESS: STREET 1: 901 E. BYRD STREET STREET 2: SUITE 1600 CITY: RICHMOND STATE: VA ZIP: 23219 BUSINESS PHONE: 804-780-3000 MAIL ADDRESS: STREET 1: 901 E. BYRD STREET STREET 2: SUITE 1600 CITY: RICHMOND STATE: VA ZIP: 23219 SC 13D/A 1 gl8211353-sc13da4.txt AMENDED NO. 7 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 4) James River Coal Company - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - Par Value $.01 - -------------------------------------------------------------------------------- (Title of Class of Securities) 470355207 (CUSIP Number) Steven N. Isaacs Glencore Finance AG Baarermattstrasse 3 CH-6341 Baar Switzerland 011-41-41-709-2340 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) April 10, 2007 -------------------------------------------------------- (Date of Event which Requires Filing of this Statement) 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 Rule 13d-1(e), Rule 13d-1(f) or Rule 13d-1(g), check the following box [_]. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent. SCHEDULE 13D - ---------------------------- ------------------------- CUSIP NO. 470355207 PAGE 2 OF 11 - ---------------------------- ------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Glencore Finance AG - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a)|_| (b)|_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) (See Item #3) AF - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Switzerland - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBER OF SHARES -------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 737,948 EACH REPORTING -------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 0 -------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 737,948 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 737,948 - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) |_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.43% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) CO - -------------------------------------------------------------------------------- SCHEDULE 13D - ---------------------------- ------------------------- CUSIP NO. 470355207 PAGE 3 OF 11 - ---------------------------- ------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Glencore International AG - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a)|_| (b)|_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) (See Item #3) WC - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Switzerland - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBER OF SHARES -------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 737,948 EACH REPORTING -------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 0 -------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 737,948 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 737,948 - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) |_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.43% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) CO - -------------------------------------------------------------------------------- SCHEDULE 13D - ---------------------------- ------------------------- CUSIP NO. 470355207 PAGE 4 OF 11 - ---------------------------- ------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Glencore Holding AG - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a)|_| (b)|_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) (See Item #3) AF - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Switzerland - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBER OF SHARES -------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 737,948 EACH REPORTING -------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 0 -------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 737,948 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 737,948 - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) |_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.43% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) CO - -------------------------------------------------------------------------------- - ------------------------------ ------------------------------ CUSIP No. 470355207 Page 5 of 11 - ------------------------------ ------------------------------ INTRODUCTION This Amendment No. 4 to Schedule 13D amends and supplements the Schedule 13D filed by Glencore Finance AG ("Glencore Finance"), Glencore International AG ("Glencore International"), and Glencore Holding AG ("Glencore Holding", and, collectively with Glencore Finance and Glencore International, "Glencore") on November 29, 2004, as amended and supplemented by Amendment No. 1 thereto filed on June 2, 2005, as amended and supplemented by Amendment No. 2 thereto filed on February 7, 2007, and as amended and supplemented by Amendment No. 3 thereto filed on March 2, 2007 (as so amended and supplemented, the "Schedule 13D"). This Amendment No. 4 to Schedule 13D relates to the disposition by Glencore Finance of certain shares of common stock (the "Common Stock") of James River Coal Company (the "Company"). Item 5 of Schedule 13D is hereby amended and supplemented as follows: ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. (a) The Company has 16,673,067 shares of Common Stock outstanding as of February 28, 2007, according to the annual report on Form 10-K filed by the Company with the Securities and Exchange Commission on March 16, 2007. As of the date hereof, and after Glencore's disposition of the shares of Common Stock set forth on Schedule "A" hereto, the total number of shares of Common Stock that Glencore beneficially owns is 737,948, which represents approximately 4.43% of the Company's total outstanding shares of Common Stock as of February 28, 2007. (b) Glencore Finance has shared power with Glencore International and Glencore Holding to vote, or to direct the voting of, all of the shares of the Common Stock reported as beneficially owned by Glencore. Glencore Finance has shared power with Glencore International and Glencore Holding to dispose of, or to direct the disposition of, all of the shares of Common Stock reported as beneficially owned by Glencore. (c) The trading dates, number of shares of Common Stock purchased or sold, and the price per share for all transactions by Glencore Finance in the Common Stock within the last sixty days are set forth in Schedule "A" hereto, and are incorporated by reference. Glencore International and Glencore Holding did not enter into any transactions in respect of the Common Stock of the Company within the last sixty days. (d) Not applicable. (e) Not applicable. - ------------------------------ ------------------------------ CUSIP No. 470355207 Page 6 of 11 - ------------------------------ ------------------------------ SIGNATURE After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Date: April 12, 2007 GLENCORE FINANCE AG By: /s/ Barbara A. Wolfensberger ------------------------------------ Name: Barbara A. Wolfensberger Title: Director By: /s/ Steven N. Isaacs ------------------------------------ Name: Steven N. Isaacs Title: Director GLENCORE INTERNATIONAL AG By: /s/ Steven Kalmin ------------------------------------- Name: Steven Kalmin Title: Officer By: /s/ Lotti Grenacher Hagmann ------------------------------------- Name: Lotti Grenacher Hagmann Title: Officer GLENCORE HOLDING AG By: /s/ Willy R. Strothotte ------------------------------------- Name: Willy R. Strothotte Title: Chairman By: /s/ Ivan Glasenberg ------------------------------------- Name: Ivan Glasenberg Title: Director - ------------------------------ ------------------------------ CUSIP No. 470355207 Page 7 of 11 - ------------------------------ ------------------------------ Annex 1 Set forth below are the names, business addresses and present principal occupations of the executive officers and directors of Glencore Finance, Glencore International and Glencore Holding. The executive officers of Glencore Holding are the directors of Glencore Holding. The executive officers of Glencore International are the persons listed as directors whose principal occupation is with Glencore International. The executive officer of Glencore Finance is the person listed as director whose principal occupation is with Glencore Finance. Unless otherwise indicated, the present principal occupation of each person is with Glencore International. If no business address is given, the director's or executive officer's address is Baarermattstrasse 3, CH-6341, Baar, Switzerland. Unless otherwise indicated, all of the persons listed below are citizens of Switzerland. Directors of Glencore Finance
Name Principal Occupation Business Address Citizenship - --------------------------- --------------------------- --------------------- --------------- Steven N. Isaacs Chairman and Managing South Africa Director of Glencore Finance AG Andreas P. Hubmann Officer of Glencore International AG -- Accounting Barbara A. Wolfensberger In-house Counsel of Glencore International AG Directors of Glencore International Name Principal Occupation Business Address Citizenship - --------------------------- --------------------------- --------------------- --------------- Willy R. Strothotte Chairman Germany Ivan Glasenberg Chief Executive Officer Australia Zbynek E. Zak Non-Executive Director Buetzenweg 16 CH-6300 Zug Switzerland Peter A. Pestalozzi Attorney, Pestalozzi Loewenstrasse 1 Lachenal Patry CH-8001 Zurich Switzerland Craig A. Davis Chairman & Chief 2511 Garden Road USA Executive Officer of Bldg. A, Suite 200 Century Aluminum Co. Monterey, CA 93940
- ------------------------------ ------------------------------ CUSIP No. 470355207 Page 8 of 11 - ------------------------------ ------------------------------ Directors of Glencore Holding
Name Principal Occupation Business Address Citizenship - --------------------------- --------------------------- --------------------- --------------- Willy R. Strothotte Chairman Germany Ivan Glasenberg Chief Executive Officer Australia Zbynek E. Zak Non-Executive Director Buetzenweg 16 CH-6300 Zug Switzerland Peter A. Pestalozzi Attorney, Pestalozzi Loewenstrasse 1 Lachenal Patry CH-8001 Zurich Switzerland Craig A. Davis Chairman & Chief 2511 Garden Road, USA Executive Officer of Bldg. A, Suite 200 Century Aluminum Company Monterey, CA 93940 Andreas P. Hubmann Officer of Glencore International AG -- Accounting
- ------------------------------ ------------------------------ CUSIP No. 470355207 Page 9 of 11 - ------------------------------ ------------------------------ Schedule A Glencore Finance AG - ----------------------------- -------------------------- ----------------------- Number of Shares Date of Transaction Purchased/(Sold) Price Per Share - ----------------------------- -------------------------- ----------------------- 04/10/2007 (300,000) $8.73 - ----------------------------- -------------------------- ----------------------- - ------------------------------ ------------------------------ CUSIP No. 470355207 Page 10 of 11 - ------------------------------ ------------------------------ Exhibit 1 Joint Filing Agreement Pursuant to Rule 13d-1(k) The undersigned persons (the "Reporting Persons") hereby agree that a joint statement on this Amendment No. 4 to Schedule 13D, and any amendments thereto, is to be filed. Each of the Reporting Persons is responsible for the completeness and accuracy of the information concerning each of them contained therein, but none of the Reporting Persons is responsible for the completeness or accuracy of the information concerning any other Reporting Person. Date: April 12, 2007 GLENCORE FINANCE AG By: /s/ Barbara A. Wolfensberger ------------------------------------- Name: Barbara A. Wolfensberger Title: Director By: /s/ Steven N. Isaacs ------------------------------------- Name: Steven N. Isaacs Title: Director GLENCORE INTERNATIONAL AG By: /s/ Steven Kalmin ------------------------------------- Name: Steven Kalmin Title: Officer By: /s/ Lotti Grenacher Hagmann ------------------------------------- Name: Lotti Grenacher Hagmann Title: Officer - ------------------------------ ------------------------------ CUSIP No. 470355207 Page 11 of 11 - ------------------------------ ------------------------------ GLENCORE HOLDING AG By: /s/ Willy R. Strothotte ------------------------------------- Name: Willy R. Strothotte Title: Chairman By: /s/ Ivan Glasenberg ------------------------------------- Name: Ivan Glasenberg Title: Director -----END PRIVACY-ENHANCED MESSAGE-----