-----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, SFDC1p57em8vZxfeXOxVhtEfou75BO/DSJclf+PtPspmz0qXjpJ/uUP/IRxQC4nt DyN3f7IySEw6+uyJ2tSMBw== 0000919574-04-003617.txt : 20041217 0000919574-04-003617.hdr.sgml : 20041217 20041217173040 ACCESSION NUMBER: 0000919574-04-003617 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041215 FILED AS OF DATE: 20041217 DATE AS OF CHANGE: 20041217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FALCONE PHILIP CENTRAL INDEX KEY: 0001233569 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-118190 FILM NUMBER: 041212310 BUSINESS ADDRESS: BUSINESS PHONE: 2125216972 MAIL ADDRESS: STREET 1: 555 MADISON AVE STREET 2: 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARBERT RAYMOND J CENTRAL INDEX KEY: 0001233571 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-118190 FILM NUMBER: 041212309 BUSINESS ADDRESS: BUSINESS PHONE: 2125216972 MAIL ADDRESS: STREET 1: ONE RIVERCHASE PARKWAY SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35244 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LUCE MICHAEL D CENTRAL INDEX KEY: 0001233573 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-118190 FILM NUMBER: 041212308 BUSINESS ADDRESS: BUSINESS PHONE: 2125216972 MAIL ADDRESS: STREET 1: ONE RIVERCHASE PARKWAY SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35244 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: HMC DISTRESSED INVESTMENT OFFSHORE MANAGER LLC CENTRAL INDEX KEY: 0001224055 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-118190 FILM NUMBER: 041212312 BUSINESS ADDRESS: STREET 1: 555 MADISON AVENUE STREET 2: 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2125216972 MAIL ADDRESS: STREET 1: 555 MADISON AVENUE STREET 2: 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARBERT DISTRESSED INVESTMENT MASTER FUND LTD CENTRAL INDEX KEY: 0001233563 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-118190 FILM NUMBER: 041212313 BUSINESS ADDRESS: STREET 1: C/O INTERNATIONAL FUND SERVICES STREET 2: THIRD FL BISHOP SQUARE REDMONDS HILL CITY: DUBLIN IRELAND STATE: L2 ZIP: 00000 BUSINESS PHONE: 2125216972 MAIL ADDRESS: STREET 1: C/O INTERNATIONAL FUND SERVICES STREET 2: THIRD FL BISHOP SQUARE REDMONDS HILL CITY: DUBLIN IRELAND STATE: L2 ZIP: 00000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HMC INVESTORS LLC CENTRAL INDEX KEY: 0001233566 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-118190 FILM NUMBER: 041212311 BUSINESS ADDRESS: STREET 1: ONE RIVERCHASE PARKWAY SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35244 BUSINESS PHONE: 2125216972 MAIL ADDRESS: STREET 1: ONE RIVERCHASE PARKWAY SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35244 4 1 p535132_ex.xml X0202 4 2004-12-15 0 0001297720 James River Coal CO JRCC 0001233563 HARBERT DISTRESSED INVESTMENT MASTER FUND LTD C/O INTERNATIONAL FUND SERVICES THIRD FL BISHOP SQUARE REDMONDS HILL DUBLIN IRELAND L2 00000 IRELAND 0 0 1 0 0001224055 HMC DISTRESSED INVESTMENT OFFSHORE MANAGER LLC 555 MADISON AVENUE 16TH FLOOR NEW YORK NY 10022 0 0 1 0 0001233566 HMC INVESTORS LLC ONE RIVERCHASE PARKWAY SOUTH BIRMINGHAM AL 35244 0 0 1 0 0001233569 FALCONE PHILIP 555 MADISON AVE 16TH FLOOR NEW YORK NY 10022 0 0 1 0 0001233571 HARBERT RAYMOND J ONE RIVERCHASE PARKWAY SOUTH BIRMINGHAM AL 35244 0 0 1 0 0001233573 LUCE MICHAEL D ONE RIVERCHASE PARKWAY SOUTH BIRMINGHAM AL 35244 0 0 1 0 Common Stock 2004-12-15 4 P 0 24500 37.88 A 1745615 D Common Stock 2004-12-15 4 P 0 0 0 A 1745615 I By Harbert Distressed Investment Master Fund, Ltd. Common Stock 2004-12-15 4 P 0 500 37.88 A 35784 I By Alpha US Sub Fund VI, LLC Common Stock 2004-12-15 4 P 0 61250 39.83 A 1806865 D Common Stock 2004-12-15 4 P 0 0 0 A 1806865 I By Harbert Distressed Investment Master Fund, Ltd. Common Stock 2004-12-15 4 P 0 1250 39.83 A 37034 I By Alpha US Sub Fund VI, LLC Common Stock 2004-12-15 4 P 0 24500 39.50 A 1831365 D Common Stock 2004-12-15 4 P 0 0 0 A 1831365 I By Harbert Distressed Investment Master Fund, Ltd. Common Stock 2004-12-15 4 P 0 500 39.50 A 37534 I By Alpha US Sub Fund VI, LLC Common Stock 2004-12-15 4 P 0 49000 39.88 A 1880365 D Common Stock 2004-12-15 4 P 0 0 0 A 1880365 I By Harbert Distressed Investment Master Fund, Ltd. Common Stock 2004-12-15 4 P 0 1000 39.88 A 38534 I By Alpha US Sub Fund VI, LLC Common Stock 2004-12-15 4 P 0 49000 40.25 A 1929365 D Common Stock 2004-12-15 4 P 0 0 0 A 1929365 I By Harbert Distressed Investment Master Fund, Ltd. Common Stock 2004-12-15 4 P 0 1000 40.25 A 39534 I By Alpha US Sub Fund VI, LLC Common Stock 2004-12-15 4 P 0 24500 41.00 A 1953865 D Common Stock 2004-12-15 4 P 0 0 0 A 1953865 I By Harbert Distressed Investment Master Fund, Ltd. Common Stock 2004-12-15 4 P 0 500 41.00 A 40034 I By Alpha US Sub Fund VI, LLC These securities are owned by Harbert Distressed Investment Master Fund, Ltd., which is a Reporting Person. These securities may be deemed to be beneficially owned by HMC Distressed Investment Offshore Manager, L.L.C. ("HMC Management"), the investment manager of Harbert Distressed Investment Master Fund, Ltd., HMC Investors, L.L.C., its managing member ("HMC Investors"), Philip Falcone, a member of HMC Management and the portfolio manager of Harbert Distressed Investment Master Fund, Ltd., Raymond J. Harbert, a member of HMC Investors, and Michael D. Luce, a member of HMC Investors. Each such Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. These securities may be deemed to be beneficially owned by HMC Investors, Philip Falcone, who is the portfolio manager of Alpha US Sub Fund VI, LLC, Raymond J. Harbert and Michael D. Luce. Each such Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Harbert Distressed Investment Master Fund, Ltd. HMC Distressed Investment Offshore Manager, LLC By: HMC Investors, LLC, Managing Member By: /s/ Joel B. Piassick 2004-12-17 HMC Distressed Investment Offshore Manager, LLC By: HMC Investors, LLC, Managing Member By: /s/ Joel Piassick 2004-12-17 HMC Investors, LLC By: /s/ Joel Piassick 2004-12-17 By: /s/ Philip Falcone 2004-12-17 By: /s/ Raymond J. Harbert 2004-12-17 By: /s/ Michael D. Luce 2004-12-17 -----END PRIVACY-ENHANCED MESSAGE-----