6-K 1 v389124_6k.htm REPORT OF FOREIGN PRIVATE ISSUER

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 6-K

 

REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR

15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934

 

Dated: September 11, 2014

 

Commission File Number 001-32520

 

NEWLEAD HOLDINGS LTD.

(Translation of registrant’s name into English)

 

NewLead Holdings Ltd.

83 Akti Miaouli & Flessa Str.

185 38 Piraeus Greece

(Address of principal executive office)

 

Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.

 

Form 20-F x      Form 40-F ¨

 

Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1):

 

Yes ¨      No x

 

Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7):

 

Yes ¨      No x

 

 
 

 

On September 11, 2014, Ironridge Global IV, Ltd. (“Ironridge”) requested an additional 3,830,396 common shares of NewLead Holdings Ltd. (the “Company”). As of September 11, 2014, Ironridge had requested and/or received approximately 18.3 million shares (adjusted to reflect the 1-for-50 reverse split effective as of May 15, 2014 and the 1-for-50 reverse split effective as of July 15, 2014), as contained in Exhibit A, approximately 7.0 million of which have been requested but not issued, and are therefore not included in the shares outstanding number below.

 

As of July 31, 2014, Ironridge has invested $2.5 million in the Company and force funded another $2.5 million, which was immediately returned pending resolution of the arbitration, and, as disclosed to the Company by Ironridge, has sold the common shares of the Company issued to it for aggregate proceeds of $32.3 million.

 

As of September 12, 2014, the Company had approximately 42.6 million shares outstanding.

 

 
 

 

 Exhibit A

 

 

 

 
 

 

 

 

 
 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this Report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

Date: September 16, 2014

 

 

NEWLEAD HOLDINGS LTD.

     
     
  By: /s/ Michail Zolotas
  Name:    Michail Zolotas
  Title:      Chief Executive Officer