0000733060-14-000020.txt : 20140213 0000733060-14-000020.hdr.sgml : 20140213 20140213133023 ACCESSION NUMBER: 0000733060-14-000020 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140213 DATE AS OF CHANGE: 20140213 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 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-80169 FILM NUMBER: 14604718 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PIONEER GLOBAL ASSET MANAGEMENT SPA CENTRAL INDEX KEY: 0001162663 IRS NUMBER: 000000000 STATE OF INCORPORATION: L6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: GALLERIA SAN CARLO 6 CITY: MILAN STATE: L6 ZIP: 20122 BUSINESS PHONE: 6174224907 MAIL ADDRESS: STREET 1: GALLERIA SAN CARLO 6 CITY: MILAN STATE: L6 ZIP: 20122 SC 13G 1 jamesriver2013.htm SCHEDULE 13G jamesriver2013.htm
 
 

 

               SECURITIES EXCHANGE COMMISSION
                              Washington, DC 20549

                                 SCHEDULE 13G

             Under the Securities Exchange Act of 1934
                               (Amendment No. 0)

                             James River Coal Company
                                (Name of Issuer)

                                  Common Stock
                         (Title of Class of Securities)

                                    470355207
                                 (CUSIP Number)


                                December 31, 2013
        Date of Event Which Requires Filing of this Statement
 
 

                 Check the appropriate box to designate the rule
                    pursuant to which this Schedule is filed

                                [X] Rule 13d-1(b)
                                [ ] Rule 13d-1(c)
                                [ ] Rule 13d-1(d)


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1) Name of Reporting Person: Pioneer Global Asset Management S.p.A. (PGAM)
 
 

2)     Check the Appropriate Box      (a)
       of A Member of  Group
       (See Instructions)             (b)

3)     SEC Use Only

4)     Citizenship of Place of
       Organization                             Italy

         Number of                              (5)Sole Voting
         Shares                                  Power          0
         Beneficially Owned
         by Each Reporting
         Person With                            (6)Shared Voting
                                                 Power            3,031,800
                                                 [See Item 4 below.]

                                                (7)Sole Disposi-
                                                 tive Power      0
 
 

                                                (8)Shared Disposi-
                                                   tive Power      3,031,800
                                                 [See Item 4 below.]

9)     Aggregate Amount Beneficially     3,031,800
       Owned by Each                                [See Item 4 below.]
       Reporting Person

10)    Check if the aggregate Amount in Row (9) Exclude Certain Shares (See
         Instructions)

11)   Percent of Class Represented
         By Amount in Row 9.                     7.8%

12)   Type of Reporting
         Person (See Instructions)               FI


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1) Name of Reporting Person: Pioneer Investment Management, Inc. (PIM)
 
 
2)    Check the Appropriate Box     (a)
      of A Member of  Group
      (See Instructions)            (b)

3)    SEC Use Only

4)    Citizenship of Place of
      Organization                            Delaware

         Number of                              (5)Sole Voting
         Shares                                  Power      0
         Beneficially Owned
         by Each Reporting
         Person With                            (6)Shared Voting
                                                 Power        2,856,000
                                                 [See Item 4 below.]

                                                (7)Sole Disposi-
                                                  tive Power      0
 
 

                                                (8)Shared Disposi-
                                                   tive Power  2,856,000
                                                  [See Item 4 below.]

9)     Aggregate Amount Beneficially    2,856,000
       Owned by Each                 [See Item 4 below.]
       Reporting Person

10)   Check if the aggregate Amount in Row (9) Exclude Certain Shares (See
      Instructions)

11)   Percent of Class Represented
      By Amount in Row 9.                     7.3%

12)   Type of Reporting
      Person (See Instructions)               IA

<page>

Item 1(a)         Name of Issuer.

                           James River Coal Company.


Item 1(b)         Address of Issuer's Principal Executive Offices:

                  901 East Byrd Street
 Suite 1600
 Richmond, Virginia 23219

Item 2(a)         Name of Person Filing:

                  PGAM and PIM

Item 2(b) Address of Principal Business Office:

          The principal business office for PGAM is:
          Galleria San Carlo 6
          Milan, Italy

          The principal business office for PIM is:
          60 State Street
          Boston, MA 02109

Item 2(c)  Citizenship:

           PGAM is organized under the laws of Italy.

           PIM is a corporation organized under the laws of the
           State of Delaware.

Item 2(d)         Title of Class of Securities:

                  Class A Common Stock

Item 2(e)         Cusip Number:

                  470355207

Item 3   The person filing this statement pursuant to Rule 13d-1(b)
         or 13d-2(b) is:

             PGAM is a parent holding company or control
             person in accordance with Section 240.13d-1(b)(1)(ii)(J).

             PIM is an investment adviser in accordance with Section
             240.13d-1(b)(1)(ii)(E).

 
 
Item 4.  Ownership.

(a) Amount Beneficially Owned: **

        PGAM: 3,031,800
        PIM:  2,856,000
 
 
(b) Percent of Class:

        PGAM: 7.8%
        PIM:  7.3%

(c) Number of shares as to which such person has

         (i) sole power to vote or to direct the vote: 0

         (ii) shared power to vote or to direct vote :**

                PGAM: 3,031,800
                PIM:  2,856,000

         (iii) sole power to dispose or to direct disposition of: 0

         (iv) shared power to dispose or to direct disposition :**

                PGAM: 3,031,800
                PIM:  2,856,000

**Shares reported on this Schedule 13G (the Shares) are owned by (i) collective
investment vehicles (Funds) advised by PIM and (ii) Funds advised by other
advisors that are direct or indirect wholly-owned subsidiaries of PGAM
(Additional PGAM Subsidiaries).  In their roles as investment manager or
adviser to the Funds, PIM and the Additional PGAM Subsidiaries possess
investment and/or voting control over the Shares.

PIM is a direct  subsidiary of PGAM. PGAM is a limited liability company and the
holding company  incorporating  all of the Pioneer  Investments asset management
business   (including  PIM,  and  the  Additional  PGAM  Subsidiaries)  and  may
therefore, be deemed to beneficially own the Shares.

PGAM, PIM, and the Additional PGAM Subsidiaries disclaim beneficial ownership of
the Shares except to the extent or their respective pecuniary interests therein,
if any.  The filing of this  Schedule 13G shall not be construed as an admission
that the Reporting Persons are the beneficial owners of the Shares for any other
purposes than Section 13(d) of the Securities Exchange Act of 1934.

In  accordance  with  Securities  and Exchange  Commission  Release  No.34-39538
(January 12, 1998) (the"Release"),  this filing reflects the securities that may
be deemed to be beneficially owned by the Reporting Persons,  each of which is a
directly or indirectly owned subsidiary of Unicredit S.p.A. ("Unicredit").  This
filing does not reflect securities,  if any,  beneficially owned by Unicredit or
any other  subsidiaries of Unicredit whose ownership is disaggregated  from that
of the Reporting Persons in accordance with the Release.

Item 5.  Ownership of Five Percent or Less of a Class.

If this statement is being filed to report the fact that as of the date Hereof
the reporting person has ceased to be the beneficial owner of more than five
percent of the class of securities, check here:

Item 6. Ownership of More than Five Percent on Behalf of Another Person.

     Various  persons  have the right to  receive  or the  power to  direct  the
receipt of dividends from, or the proceeds from the sale of, the Common Stock of
James River Coal Company. The interest of one person, PIM, in the Common Stock of James River Coal Company,  amounted to 2,856,000 shares or 7.3% of the total outstanding Common Stock at December 31, 2013.

Item 7.  Identification and Classification of the Subsidiary Which Acquired
         the Security Being Reported On By the Parent Holding Company.

         See Item 4.

Item 8.  Identification and Classification of Members of the Group.

         Inapplicable.

Item 9.  Notice of Dissolution of the Group.

         Inapplicable.

Item 10. Certification.

     By signing  below I certify  that,  to the best of my knowledge and belief,
the  securities  referred to above were  acquired  and are held in the  ordinary
course of business  and were not acquired and are not held for the purpose of or
with the effect of  changing  or  influencing  the  control of the issuer of the
securities  and were not  acquired and are not held in  connection  with or as a
participant in any transaction having that purpose or effect.

    By  signing  below PGAM  certifies  that to the best of its  knowledge  and
belief, the foreign regulatory scheme applicable to it as a sub-holding  company
for the asset  management  division in the UniCredit  Banking Group,  the latter
being  regulated  by the  Bank of Italy  and the  Commissione  Nazionale  per le
Societa`e la Borsa  (CONSOB),  is  substantially  comparable  to the  regulatory
scheme applicable to the functionally equivalent U.S. institution(s).  PGAM also
undertakes to furnish to the Commission  staff,  upon request,  information that
would otherwise be disclosed in a Schedule 13D.

SIGNATURE

     After  reasonable  inquiry and to the best of my  knowledge  and belief,  I
certify that the information  set forth in this statement is true,  complete and
correct.

                  Date: February 6, 2014

                  Pioneer Global Asset Management S.p.A




                  By: /s/ Sandro Pierri
                  Name:   Sandro Pierri
                  Title:  CEO; Head of Asset Management Division


                  Pioneer Investment Management, Inc.




                  By: /s/ Jean M. Bradley
                  Name:   Jean M. Bradley
                  Title:  Chief Compliance Officer


<page>


                                     EXHIBIT

                             JOINT FILING AGREEMENT

In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange
Act of 1934, the undersigned agree to the joint filing of a Statement on
Schedule 13G (including any and all amendments thereto) with respect to the
Common Stock in James River Coal Company and further agree to the filing of
this agreement as an Exhibit thereto. Each party to this Agreement expressly
authorizes each other party to this Agreement to file on its behalf any and all
amendments to such Statement on Schedule 13G.

Date: February 6, 2014

Pioneer Global Asset Management S.p.A




By: /s/ Sandro Pierri
Name:   Sandro Pierri
Title:  CEO; Head of Asset Management Division



Pioneer Investment Management, Inc.




By: /s/ Jean M. Bradley
Name:   Jean M. Bradley
Title:  Chief Compliance Officer