FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
EVERGREEN ENERGY INC [ EEE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 02/01/2011 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 02/01/2011 | P | 88,462 | A | $2.6 | 88,462 | I | Crosby Capital Partners (BVI) Limited(1) | ||
Common Stock | 02/01/2011 | P | 57,692 | A | $2.6 | 57,692 | I | Crosby Asset Management Inc.(2) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrant (Right to Buy) | $2.6 | 02/01/2011 | P | 86,304 | 08/01/2011 | 08/01/2014 | Common Stock | 86,304 | $2.6 | 86,304 | I | Crosby Capital Partners (BVI) Limited(1) | |||
Warrant (Right to Buy) | $2.73 | 02/01/2011 | P | 43,152 | 08/01/2011 | 08/01/2014 | Common Stock | 43,152 | $2.73 | 129,456 | I | Crosby Capital Partners (BVI) Limited(1) | |||
Warrant (Right to Buy) | $2.8 | 02/01/2011 | P | 43,152 | 08/01/2011 | 08/01/2014 | Common Stock | 43,152 | $2.8 | 172,608 | I | Crosby Capital Partners (BVI) Limited(1) | |||
Warrant (Right to Buy) | $2.6 | 02/01/2011 | P | 56,285 | 08/01/2011 | 08/01/2014 | Common Stock | 56,285 | $2.6 | 56,285 | I | Crosby Asset Management Inc.(2) | |||
Warrant (Right to Buy) | $2.73 | 02/01/2011 | P | 28,142 | 08/01/2011 | 08/01/2014 | Common Stock | 28,142 | $2.73 | 84,427 | I | Crosby Asset Management Inc.(2) | |||
Warrant (Right to Buy) | $2.8 | 02/01/2011 | P | 28,142 | 08/01/2011 | 08/01/2014 | Common Stock | 28,142 | $2.8 | 112,569 | I | Crosby Asset Management Inc.(2) | |||
Warrant (Right to Buy) | $2.6 | 02/01/2011 | J(3) | 283,654 | 08/01/2011 | 08/01/2014 | Common Stock | 283,654 | $2.6 | 283,654 | I | Crosby (Hong Kong) Limited(4) | |||
Warrant (Right to Buy) | (5) | (5) | (5) | Common Stock | (5) | 1,238,150 | I | Crosby Special Situations Fund Limited(6) |
Explanation of Responses: |
1. The Reporting Person owns 88% of ECK & Partners Holdings Limited. Crosby Capital Partners (BVI) Limited is a wholly-owned subsidiary of ECK & Partners Holdings Limited. |
2. The Reporting Person owns 88% of ECK & Partners Holdings Limited. Crosby Asset Management Inc. is 48% owned by ECK & Partners Holdings Limited. |
3. Received as partial compensation pursuant to a Professional Services Agreement between Crosby (Hong Kong) Limited and the Issuer. |
4. The Reporting Person owns 88% of ECK & Partners Holdings Limited. Crosby (Hong Kong) Limited is 99.9% owned by ECK & Partners Holdings Limited. |
5. Not applicable - report of holdings only. |
6. The Reporting Person owns 88% of ECK & Partners Holdings Limited. Crosby Special Situations Fund Limited is a wholly-owned subsidiary of ECK & Partners Holdings Limited. |
/s/ William G. Laughlin, Attorney-in-Fact on behalf of Ilyas Khan | 02/03/2011 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |