SC 13G/A 1 p14-0431sc13ga.htm JAMES RIVER COAL CO

 

 

 

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
SCHEDULE 13G/A
 
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
 

James River Coal Company

(Name of Issuer)
 

Common Stock, par value $0.01 per share

(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:
 
¨ Rule 13d-1(b)
ý Rule 13d-1(c)
¨ Rule 13d-1(d)
 
(Page 1 of 5 Pages)

 

______________________________

*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 the disclosures provided in a prior cover page.

The information required in 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. 47035520713G/APage 2 of 5 Pages

 

1

NAME OF REPORTING PERSON

GLG Partners LP

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ¨

(b) ¨

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

United Kingdom

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH:
5

SOLE VOTING POWER

0

6

SHARED VOTING POWER

2,572,200 shares of Common Stock issuable upon conversion of $12,861,000 in principal amount of 10% Convertible Senior Notes due 2018

7

SOLE DISPOSITIVE POWER

0

8

SHARED DISPOSITIVE POWER

2,572,200 shares of Common Stock issuable upon conversion of $12,861,000 in principal amount of 10% Convertible Senior Notes due 2018

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,572,200 shares of Common Stock issuable upon conversion of $12,861,000 in principal amount of 10% Convertible Senior Notes due 2018

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

6.7%

12

TYPE OF REPORTING PERSON

PN

         

 

 
CUSIP No. 47035520713G/APage 3 of 5 Pages

 

1

NAME OF REPORTING PERSON

GLG Partners Limited

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ¨

(b) ¨

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

United Kingdom

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH:
5

SOLE VOTING POWER

0

6

SHARED VOTING POWER

2,572,200 shares of Common Stock issuable upon conversion of $12,861,000 in principal amount of 10% Convertible Senior Notes due 2018

7

SOLE DISPOSITIVE POWER

0

8

SHARED DISPOSITIVE POWER

2,572,200 shares of Common Stock issuable upon conversion of $12,861,000 in principal amount of 10% Convertible Senior Notes due 2018

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,572,200 shares of Common Stock issuable upon conversion of $12,861,000 in principal amount of 10% Convertible Senior Notes due 2018

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

6.7%

12

TYPE OF REPORTING PERSON

IA, HC

         

 

 
CUSIP No. 47035520713G/APage 4 of 5 Pages

 

This Amendment No. 1 (this "Amendment") amends the statement on Schedule 13G filed on May 29, 2013 (the "Original Schedule 13G" and the Original Schedule 13G as amended, the "Schedule 13G"), with respect to the Common Stock, par value $0.01 per share (the “Common Stock”) of James River Coal Company, a Virginia corporation (the “Company”). Capitalized terms used herein and not otherwise defined in this Amendment have the meanings set forth in the Schedule 13G. This Amendment amends and restates Item 4 in its entirety as set forth below.
 
Item 4. OWNERSHIP
  Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
   
  The information required by Items 4(a) – (c) is set forth in Rows (5) – (11) of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person.  The Company’s Quarterly Report on Form 10-Q filed on November 7, 2013 indicates that as of October 28, 2013, there were 36,060,869 shares of Common Stock outstanding.  The percentage set forth in Row 11 of the cover page for each Reporting Person is based on the Company’s outstanding shares of Common Stock and assumes the conversion of the reported 10.0% Convertible Senior Notes due 2018.
   
  The Investment Manager, which serves as the investment manager to each of the GLG Funds, may be deemed to be the beneficial owner of all of the shares of Common Stock owned by the GLG Funds.  The General Partner, as general partner to the Investment Manager, may be deemed to be the beneficial owner of all of the shares of Common Stock owned by the GLG Funds. Each of the Investment Manager and the General Partner hereby disclaims any beneficial ownership of any such shares of Common Stock, except for their pecuniary interest therein.
   
 
CUSIP No. 47035520713G/APage 5 of 5 Pages

 

SIGNATURES

After reasonable inquiry and to the best of his or its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.

DATE: February 14, 2014

 

GLG PARTNERS LP    
     
     
By:  /s/ Michelle Robyn Grew    
Name: Michelle Robyn Grew    
Title: Global Head of Compliance & Regulatory    
     
GLG PARTNERS LIMITED    
Individually and in its capacity as General Partner of GLG Partners LP    
     
     
By:  /s/ Geoffrey Galbraith    
Name: Geoffrey Galbraith    
Title: Chief Operating Officer