-----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, RbHJu/jTr17jhzcgGKH8nB/r27lRIlz6Z1UfTnbdRIhbDm41fmUm4E76FNgK4DOg aFTFLd2n42RUfmM8rVbJ2Q== 0000906344-08-000369.txt : 20080228 0000906344-08-000369.hdr.sgml : 20080228 20080228161859 ACCESSION NUMBER: 0000906344-08-000369 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080226 FILED AS OF DATE: 20080228 DATE AS OF CHANGE: 20080228 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: KLEIN BRIAN KATZ CENTRAL INDEX KEY: 0001327722 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51129 FILM NUMBER: 08650866 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: JOHNSTON JAMES MICHAEL CENTRAL INDEX KEY: 0001327721 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51129 FILM NUMBER: 08650867 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: 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: 08650868 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 X0202 4 2008-02-26 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 2008-02-26 4 S 0 1531 17.4011 D 1792861 I See Footnotes Common Stock 2008-02-26 4 S 0 1219 17.4011 D 1427853 I See Footnotes Common Stock 20000 I See Footnotes Common Stock 7000 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. The securities reported on this Form 4 are held directly by: (i) the J-K Navigator Fund, L.P. ("Navigator"), (ii) The J.K. One Fund, L.P. ("One Fund"), (iii) Steelhead Pathfinder Fund, L.P. ("Pathfinder", and collectively with Navigator and One Fund, the "Domestic Funds"), and (iv) Steelhead Offshore, Ltd. (the "Offshore Fund", and collectively with the Domestic Funds, the "Funds") none of which, for Section 16 purposes, is itself the beneficial owner of more than 10% of the issuer's common stock. Steelhead is the general partner and investment manager of the Domestic Funds and the investment manager of the Offshore Fund. 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. Although none of the Funds is itself the beneficial owner of more than 10% of the issuer's common stock, 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). These shares of common stock are beneficially held by Navigator. These shares of common stock are beneficially held by One Fund. These shares of common stock are beneficially held by Pathfinder. These shares of common stock are beneficially held by the Offshore Fund. Steelhead Partners, LLC; By: James Michael Johnston, its Member-Manager; /s/ James Michael Johnston 2008-02-28 James Michael Johnston; /s/ James Michael Johnston 2008-02-28 Brian Katz Klein; /s/ Brian Katz Klein 2008-02-28 -----END PRIVACY-ENHANCED MESSAGE-----