-----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, FMqplVr7NarKPHVThGZH3EvVxWmcCSUM9KgFfJyEBAtgeVcQddrtdhabV9wmx1+q 9BF89KX8Uq9ZRgdL/PTKZw== 0000942708-09-000009.txt : 20090128 0000942708-09-000009.hdr.sgml : 20090128 20090128120629 ACCESSION NUMBER: 0000942708-09-000009 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090128 DATE AS OF CHANGE: 20090128 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EVERGREEN ENERGY INC CENTRAL INDEX KEY: 0000912365 STANDARD INDUSTRIAL CLASSIFICATION: BITUMINOUS COAL & LIGNITE SURFACE MINING [1221] IRS NUMBER: 841079971 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48425 FILM NUMBER: 09550345 BUSINESS ADDRESS: STREET 1: 1225 17TH STREET STREET 2: SUITE 1300 CITY: DENVER STATE: CO ZIP: 80202 BUSINESS PHONE: 3032932992 MAIL ADDRESS: STREET 1: 1225 17TH STREET STREET 2: SUITE 1300 CITY: DENVER STATE: CO ZIP: 80202 FORMER COMPANY: FORMER CONFORMED NAME: KFX INC DATE OF NAME CHANGE: 19940316 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WILLIS THURMAN L & WILLIS ANGIE LEE M CENTRAL INDEX KEY: 0001258957 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: PO BOX 415 CITY: MONTICELLO STATE: GA ZIP: 31064 BUSINESS PHONE: 706 468 6965 MAIL ADDRESS: STREET 1: PO BOX 415 CITY: MONTICELLO STATE: GA ZIP: 31064 SC 13D/A 1 sced13d1-012809.htm 012809

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13D

Under the Securities Exchange Act of 1934
(Amendment No. 1)*

 

Evergreen Energy, Inc.

(Name of Issuer)

 

Common Stock, $0.001 Par Value

(Title of Class of Securities)

 

30024B104 

(CUSIP Number)

 

Thurman L. Willis, Jr.
P.O. Box 415
Monticello, GA 31064

(706) 476-0979

(Name, Address and Telephone Number of Person Authorized

to Receive Notices and Communications)

 

December 31, 2008

(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 §§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 Rule 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 person's 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).


CUSIP No. 30024B104                                                                                                                                 Page 2 of 5 Pages

SCHEDULE 13D

1

NAME OF REPORTING PERSONS

 Thurman L. Willis, Jr.

 

 

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)

(a)     o

(b)     o

 

 

 

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS (See Instructions)

PF

 

 

5

CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)          o

 

 

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 United States of America

 

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH:

7

SOLE VOTING POWER

7,634,0001

8

SHARED VOTING POWER
 -0-

9

SOLE DISPOSITIVE POWER

7,634,000

10

SHARED DISPOSITIVE POWER

837,500

 

 

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

8,471,500

 

 

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)

 6.9 %

 

 

14

TYPE OF REPORTING PERSON (See Instructions)

 IN

 

 


_________________________________

1 Includes 739,000 shares owned by Thurman Willis, Inc.



2

 


CUSIP No. 30024B104                                                                                                                                 Page 3 of 5 Pages

 

Item 1.   Security and Issuer.

This Amendment No. 1 to Schedule 13D (“Amendment No. 1”) is filed by and on behalf of Thurman L. Willis, Jr. (the “Reporting Person”). This Amendment No. 1 relates to and amends the Schedule 13D originally filed on December 15, 2008, by and on behalf of the Reporting Person. The purpose of this Amendment No. 1 is to report that the Reporting Person’s beneficial ownership of the common stock, par value $0.001 per share (the “Common Stock”) of Evergreen Energy, Inc., a Delaware corporation (the “Issuer”), has increased to 6.9% of the shares of Common Stock outstanding. The principal executive offices of the Issuer are located at 1225 17th Street, Ste. 1300, Denver, Colorado 80202.

Item 2.   Identity and Background.

Unchanged.

Item 3.      Source and Amount of Funds or Other Consideration.
 

     As of the date hereof, the Reporting Person may, in the aggregate, be deemed to beneficially own 8,471,500 shares of Common Stock of the Issuer (the “Shares”). The Shares were purchased by the Reporting Person in the open market and the purchases were funded from personal funds of the Reporting Person.

Item 4. Purpose of Transaction.

     Unchanged.

Item 5.   Interest in Securities of the Issuer.
 

(a)     See Boxes 11 and 13 of Cover Page 2. Based upon the Quarterly Report on Form 10-Q filed by the Issuer with the U.S. Securities and Exchange Commission on November 10, 2008, there were 123,325,845 shares of Common Stock issued and outstanding as of November 4, 2008. The Reporting Person may be deemed to beneficially own shares of Common Stock, representing 6.9% of the shares of Common Stock outstanding.

(b)     The Reporting Person has sole power to vote and dispose of 7,634,000 shares of the Common Stock.2 See Boxes 7-10 of cover page 2. The Reporting Person shares discretionary authority over 837,500 shares held for the benefit of a number of individuals. No voting or similar agreements exist between such individuals or between the Reporting Person and such individuals.

 


______________________
2 The 8,471,500 shares of the Common Stock is owned as follows: (a) 6,100,000 shares owned in Reporting Person’s individual brokerage account; (b) 795,000 shares owned in Reporting Person’s IRA brokerage account; (c) 739,000 shares owned in Thurman Willis, Inc. brokerage account; and (d) 837,500 shares are owned in various accounts held for the benefit of a number of individuals of which Reporting Person shares discretionary authority.


3

 


CUSIP No. 30024B104                                                                                                                                 Page 4 of 5 Pages

(c)     In the past sixty calendar days, starting with the most recent days, the Reporting Person has sold no shares of Common Stock in the open market. 

          The Reporting Person effected the following transactions in the Common Stock in open market transactions on the dates indicated, and such transactions are the only transactions in the Stock by the Reporting Person since November 27, 2008:

Name

Purchase/Sale

Date

Number of Shares

Purchase/Sale Price

TLW

Purchase

12/5/2008

1,000,000

$0.30

TLW

Purchase

12/11/2008

975,000

$0.31

TLW

Purchase

12/12/2008

25,000

$0.29

TLW

Purchase

12/21/2008

81,077

$0.39

TLW

Purchase

12/22/2008

74,232

$0.37

TLW

Purchase

12/23/2008

25,768

$0.42

TLW

Purchase

12/31/2008

218,923

$0.29



(d)     Unchanged.

 

(e)      Not applicable.

Item 6.Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.
 
     
Not applicable.

Item 7. Material to be Filed as Exhibits.
 
     
Not applicable.
 
 

 

 

 

[Remainder of Page Intentionally Left Blank.]

 

 

 

4



CUSIP No. 30024B104                                                                                                                                 Page 5 of 5 Pages

 

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: January 28, 2009

By:  

  /s/ Thurman L. Willis, Jr.

 

Thurman L. Willis, Jr.



 

 

 

 

 

 

 

 

 

 

 

 

 

5

 

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