0000906344-11-000089.txt : 20110303
0000906344-11-000089.hdr.sgml : 20110303
20110303173853
ACCESSION NUMBER: 0000906344-11-000089
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110302
FILED AS OF DATE: 20110303
DATE AS OF CHANGE: 20110303
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: 11661478
MAIL ADDRESS:
STREET 1: 333 108TH AVENUE NE
STREET 2: SUITE 2010
CITY: BELLEVUE
STATE: WA
ZIP: 98004
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: 11661477
MAIL ADDRESS:
STREET 1: 333 108TH AVENUE NE
STREET 2: SUITE 2010
CITY: BELLEVUE
STATE: WA
ZIP: 98004
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: 11661479
BUSINESS ADDRESS:
STREET 1: 333 108TH AVENUE NE
STREET 2: SUITE 2010
CITY: BELLEVUE
STATE: WA
ZIP: 980004
BUSINESS PHONE: 2066892450
MAIL ADDRESS:
STREET 1: 333 108TH AVENUE NE
STREET 2: SUITE 2010
CITY: BELLEVUE
STATE: WA
ZIP: 980004
4
1
edgar.xml
PRIMARY DOCUMENT
X0303
4
2011-03-02
0001297720
James River Coal CO
JRCC
0001133521
STEELHEAD PARTNERS LLC
333 108TH AVENUE, SUITE 2010
BELLEVUE
WA
98004
0
0
0
1
See footnotes
0001327721
JOHNSTON JAMES MICHAEL
333 108TH AVENUE, SUITE 2010
BELLEVUE
WA
98004
0
0
0
1
See footnotes
0001327722
KLEIN BRIAN KATZ
333 108TH AVENUE, SUITE 2010
BELLEVUE
WA
98004
0
0
0
1
See footnotes (1) (2) (3)
Common Stock
2011-03-02
4
S
0
42190
20.1092
D
4420710
I
See footnotes
Common Stock
2011-03-03
4
S
0
136482
20.2391
D
4284228
I
See footnotes (1) (2) (3)
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.
4,154,588 shares of common stock reported on this Form 4 are beneficially held by Steelhead Navigator Master, L.P. (" Steelhead Navigator") and the balance is beneficially held by other client accounts (collectively with Steelhead Navigator, the "Funds). Steelhead is the general partner and/or investment manager of the Funds. As a greater than 10% beneficial owner, Steelhead 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
2011-03-03
James Michael Johnston; /s/ J. Michael Johnston
2011-03-03
Brian Katz Klein; /s/ Brian K. Klein
2011-03-03