-----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, Kh79+WjokElZ929bzQdQuwvznh8azWw4VDX3b3dKMXEWZWSPyleAmbVXk61rq+63 fDygLRkmtS8caSWJLCKgAg== 0001167966-05-000868.txt : 20050622 0001167966-05-000868.hdr.sgml : 20050622 20050622114213 ACCESSION NUMBER: 0001167966-05-000868 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20050524 FILED AS OF DATE: 20050622 DATE AS OF CHANGE: 20050622 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: Wilson James Forbes CENTRAL INDEX KEY: 0001291381 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51129 FILM NUMBER: 05909444 BUSINESS ADDRESS: BUSINESS PHONE: 212-909-8451 MAIL ADDRESS: STREET 1: C/O CARL MARKS MANAGEMENT COMPANY, L.P. STREET 2: 900 THIRD AVENUE - 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2005-05-24 0001297720 James River Coal CO JRCC 0001291381 Wilson James Forbes C/O CARL MARKS MANAGEMENT COMPANY, L.P. 900 THIRD AVENUE, 33RD FLOOR NEW YORK NY 10022-4775 1 0 0 0 Common Stock, par value $0.01 per share 2005-05-24 4 S 0 2000000 32.50 D 751652 I See Footnote Common Stock, par value $0.01 per share 2000 D See Exhibit 99.1 attached hereto. Exhibit List: Exhibit 99.1 - Explanation of Responses /s/ James Forbes Wilson 2005-06-21 EX-99 2 wilsonex99_0524.txt EXHIBIT 99.1 Exhibit 99.1 to Form 4 for James Forbes Wilson The Reporting Person is a director of James River Coal Company (the "Issuer"). The Reporting Person is the direct owner of 1,000 shares of restricted stock and options to acquire 10,000 shares of the Issuer's Common Stock granted by the Issuer on May 7, 2004, and an additional 1,000 shares of restricted stock and options to acquire 10,000 shares of the Issuer's Common Stock granted by the Issuer on May 7, 2005. The Reporting Person is also one of three individual general partners of Carl Marks Management Company, L.P. ("CMMC"), a Delaware limited partnership and registered investment adviser, which is the sole general partner of (i) Carl Marks Strategic Investments, L.P. ("CMSI"), a Delaware limited partnership and private investment partnership, and (ii) Carl Marks Strategic Investments, III, L.P. ("CMSIIII"), a Delaware limited partnership and private investment partnership. As of May 24, 2005, CMSI was the owner of 710,471 shares of the Common Stock of the Issuer, and CMSIIII was the owner of 41,181 shares of the Common Stock of the Issuer. The shares of Common Stock of the Issuer which are owned by CMSI and CMSIIII may be deemed to be beneficially owned (i) indirectly by CMMC, as general partner of CMSI and CMSIIII, and (ii) indirectly, on a shared basis, by the Reporting Person and the two other individual general partners of CMMC, the general partner of CMSI and CMSIIII, who share the power to direct the vote or disposition of such securities. CMMC and the two other individual general partners of CMMC have separately filed statements pursuant to Section 13 and Section 16 of the Securities Exchange Act of 1934, as amended, with respect to the securities of the Issuer which they may be deemed to beneficially own. The Reporting Person's interest in the securities reported herein as being indirectly beneficially owned by the Reporting Person is limited to his pecuniary interest in CMSI and CMSIIII, if any. -----END PRIVACY-ENHANCED MESSAGE-----