-----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, PJk3qeXeI8QEmWiqMU+KkjlW30bP6/g9GerChczhWOQ0XXiI7FBHwz5cZmkMv0ak ijZVFNBkOHxpUvOODV979g== 0000906344-09-000429.txt : 20090303 0000906344-09-000429.hdr.sgml : 20090303 20090303124359 ACCESSION NUMBER: 0000906344-09-000429 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090227 FILED AS OF DATE: 20090303 DATE AS OF CHANGE: 20090303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JOHNSTON JAMES MICHAEL CENTRAL INDEX KEY: 0001327721 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51129 FILM NUMBER: 09650412 BUSINESS ADDRESS: BUSINESS PHONE: (206) 689-2450 MAIL ADDRESS: STREET 1: 1301 FIRST AVENUE, SUITE 201 CITY: SEATTLE STATE: WA ZIP: 98101 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KLEIN BRIAN KATZ CENTRAL INDEX KEY: 0001327722 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51129 FILM NUMBER: 09650411 BUSINESS ADDRESS: BUSINESS PHONE: (206) 689-2450 MAIL ADDRESS: STREET 1: 1301 FIRST AVENUE, SUITE 201 CITY: SEATTLE STATE: WA ZIP: 98101 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STEELHEAD PARTNERS LLC CENTRAL INDEX KEY: 0001133521 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51129 FILM NUMBER: 09650413 BUSINESS ADDRESS: STREET 1: 1301 FIRST AVENUE STREET 2: STE 201 CITY: SEATTLE STATE: WA ZIP: 98101 BUSINESS PHONE: 2066892450 MAIL ADDRESS: STREET 1: 1301 FIRST AVENUE STREET 2: STE 201 CITY: SEATTLE STATE: WA ZIP: 98101 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2009-02-27 0001297720 James River Coal CO JRCC 0001133521 STEELHEAD PARTNERS LLC 1301 FIRST AVENUE, SUITE 201 SEATTLE WA 98101 0 0 0 1 See footnotes 0001327721 JOHNSTON JAMES MICHAEL 1301 FIRST AVENUE, SUITE 201 SEATTLE WA 98101 0 0 0 1 See footnotes 0001327722 KLEIN BRIAN KATZ 1301 FIRST AVENUE, SUITE 201 SEATTLE WA 98101 0 0 0 1 See footnotes Common Stock 2009-02-27 4 P 0 5000 11.152 A 4740608 I See footnotes Common Stock 2009-02-27 4 P 0 5000 9.99 A 4745608 I See footnotes Common Stock 2009-02-27 4 P 0 40000 11.15 A 4785608 I See footnotes Common Stock 2009-03-02 4 P 0 104000 9.4969 A 4889608 I See footnotes The reporting persons are: (i) Steelhead Partners, LLC ("Steelhead"), a registered investment advisor within the meaning of Rule 16a-1(a)(1)(v) under the Exchange Act; and (ii) each of James Michael Johnston and Brian Katz Klein, Steelhead's member-managers. 4,751,108 shares of common stock reported on this Form 4 are beneficially held by Steelhead Navigator Master, L.P. ("Navigator") and the balance is beneficially held by other client accounts (collectively with Navigator, the "Funds). Steelhead is the general partner and/or investment manager of the Funds. As a greater than 10% beneficial owner, Navigator is separately reporting its transactions in the issuer's securities on a Form 4 filed concurrently herewith. Steelhead and the other reporting persons may be deemed to beneficially own the securities owned by the Funds insofar as they may be deemed to have the power to direct the voting or disposition of such securities. The reporting persons have elected therefore to file this Form 4 voluntarily to report the Funds' holdings on an aggregate basis, notwithstanding the reporting exemption applicable to registered investment advisors under Rule 16a-1(a)(1)(v) and to control persons under Rule 16a-1(a)(1)(vii). The filing of this Form 4 should not, however, be deemed an admission by any of the reporting persons that such person falls outside the scope of the foregoing exemptions, or that the reporting persons and/or the Funds form a group within the meaning of Rule 16a-1(a)(1). Each of Steelhead, Mr. Johnston, Mr. Klein and the Funds expressly disclaims beneficial ownership in these securities, except to the extent of their respective pecuniary interests therein. Steelhead Partners, LLC; By: J. Michael Johnston, its Managing Member; /s/ J. Michael Johnston 2009-03-03 James Michael Johnston; /s/ J. Michael Johnston 2009-03-03 Brian Katz Klein; /s/ Brian K. Klein 2009-03-03 -----END PRIVACY-ENHANCED MESSAGE-----