0000788965-12-000010.txt : 20120305 0000788965-12-000010.hdr.sgml : 20120305 20120302181311 ACCESSION NUMBER: 0000788965-12-000010 CONFORMED SUBMISSION TYPE: 10-K/A PUBLIC DOCUMENT COUNT: 6 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120305 DATE AS OF CHANGE: 20120302 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HALLADOR ENERGY CO CENTRAL INDEX KEY: 0000788965 STANDARD INDUSTRIAL CLASSIFICATION: BITUMINOUS COAL & LIGNITE MINING [1220] IRS NUMBER: 841014610 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-K/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-34743 FILM NUMBER: 12664297 BUSINESS ADDRESS: STREET 1: 1660 LINCOLN ST STE 2700 CITY: DENVER STATE: CO ZIP: 80264 BUSINESS PHONE: 3038395505 MAIL ADDRESS: STREET 1: 1660 LINCOLN STREET STREET 2: SUITE 2700 CITY: DENVER STATE: CO ZIP: 80264 FORMER COMPANY: FORMER CONFORMED NAME: HALLADOR PETROLEUM CO DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: KIMBARK OIL & GAS CO /CO/ DATE OF NAME CHANGE: 19900102 FORMER COMPANY: FORMER CONFORMED NAME: KIMBARK INC DATE OF NAME CHANGE: 19860624 10-K/A 1 form10ka2011.htm FORM 10-K/A -TO INCLUDE EX 95 - NO OTHER CHANGES form10ka2011.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D. C. 20549
 
FORM 10-K/A
 
AMENDMENT NO. 1 TO INCLUDE EXHIBIT 95, MINE SAFETY DISCLOSURE.   NO OTHER CHANGES ARE BEING MADE BY MEANS OF THIS FILING.

 
[ x ]
ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
 
 
For the fiscal year ended: December 31, 2011       OR
 
[  ]
TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
 
Commission file number: 0-14731
 
“COAL KEEPS YOUR LIGHTS ON”
                                   
                                    
“COAL KEEPS YOUR LIGHTS ON”

HALLADOR ENERGY COMPANY
(www.halladorenergy.com)
 COLORADO
(State of incorporation)
 
84-1014610
(IRS Employer Identification No.)
 
 
1660 Lincoln Street, Suite 2700, Denver, Colorado
(Address of principal executive offices)
 
80264-2701
(Zip Code)
   
         
Issuer's telephone number: 303.839.5504
       
 
Securities registered pursuant to Section 12(b) of the Exchange Act:  NONE
 
Securities registered pursuant to Section 12(g) of the Exchange Act:  Common Stock, $.01 par value
 
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes o  No þ
 
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15 (d) of the Act. Yes o  No þ
 
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities and Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes þ   No o
 
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. o
 
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).   Yes þ No o
 
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company.  See the definitions of "larger accelerated filer," "accelerated filer" and "smaller reporting company" in Rule 12b-2 of the Exchange Act.
 
o Large accelerated filer
o Accelerated filer
o Non-accelerated filer (do not check if a small reporting company)
 
þ Smaller reporting company

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act.) Yes o  No þ
 
The aggregate market value of the common stock held by non-affiliates on June 30, 2011 was about $50 million based on the closing price reported that date by the NASDAQ of $9.59 per share.
 
As of February 29, 2012 we had 28,309,000 shares outstanding.
 
Portions of our information statement to be filed with the SEC in connection with our annual stockholders’ meeting to be held on April 19, 2012 are incorporated by reference into Part III of this Form 10-K.
 
 
1

 
 

 
SIGNATURES
 
Pursuant to the requirements of Section 13 or 15(d) 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.
 
 
   
HALLADOR ENERGY COMPANY
     
     
     
Date: March 2, 2012
 
/s/W. ANDERSON BISHOP
   
     W. Anderson Bishop, CFO and CAO
 
 
 
2

 
EX-31.1 2 exh31vps.htm SOX 302 CONDENSED CERTIFICATION exh31vps.htm
 
Exhibit 31.1
CERTIFICATION
 
I, Victor P. Stabio, certify that:
 
1.  
I have reviewed this Amendment No. 1 to the Annual report on Form 10-K of Hallador Energy Company; and
 
2.  
Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
 
 March 2, 2012
 
 
/s/VICTOR P. STABIO
     Victor P. Stabio, CEO
EX-31.2 3 exh31wab.htm SOX 302 CONDENSED CERTIFICATION exh31wab.htm
Exhibit 31.2
CERTIFICATION
 
I, W. Anderson Bishop, certify that:
 
1.  
I have reviewed this Amendment No. 1 to the Annual report on Form 10-K of Hallador Energy Company; and
  
2.  
Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
 
 March 2, 2012
 
 
/s/W. ANDERSON BISHOP
     W. Anderson Bishop, CFO
 

EX-95 4 exh95.htm MINE SAFETY DISCLOSURE exh95.htm
 
 
 
Exhibit 95    Mine Safety Disclosure
 
Our principles are safety, honesty, and compliance. We firmly believe that these values compose a dedicated workforce and with that, come high production. The core to this is our strong training programs that include accident prevention, workplace inspection and examination, emergency response, and compliance. We work with the Federal and State regulatory agencies to help eliminate safety and health hazards from our workplace and increase safety and compliance awareness throughout the mining industry.  Sunrise has not had a fatality since its establishment in 2005.
 
Sunrise is regulated by the MSHA under the Federal Mine Safety and Health Act of 1977 (“Mine Act”). MSHA inspects our mine on a regular basis and issues various citations and orders when it believes a violation has occurred under the Mine Act. We present information below regarding certain violations which MSHA has issued with respect to our mine. While assessing this information please consider that the number and cost of violations will vary depending on the MSHA inspector and can be contested and appealed, and in that process, and are often reduced in severity and amount, and are sometimes dismissed. We are currently contesting 11 citations with MSHA; some involve the amount of the assessments and some involve the citation itself.
 
Sunrise has not been issued written notice from MSHA of a pattern of, or the potential to have a pattern of, violations of mandatory health or safety standards that are of such a nature as could significantly and substantially cause and effect health or safety standards under section 104(e) of the Mine Act.
 
The table that follows outlines citations and orders issued to us by MSHA during 2011. The citations and orders outlined below may differ from MSHA`s data retrieval system due to timing, special assessed citations, and other factors.
 
Definitions:
 
Section 104(a) Significant and Substantial Citations “S&S”: An alleged violation of a mining safety or health standard or regulation where there exists a reasonable likelihood that the hazard outlined will result in an injury or illness of a serious nature.
 
Section 104(b) Orders:  Failure to abate a 104(a) citation within the period of time prescribed by MSHA. The result of which is an order of immediate withdraw of non-essential persons from the affected area until MSHA determines the violation has been corrected.
 
Section 104(d) Citations and Orders: An alleged unwarrantable failure to comply with mandatory health and safety standards.
 
Section 107(a) Orders: An order of withdraw for situations where MSHA has determined that an imminent danger exists.
 
Section 110(b)(2) Violations: An alleged flagrant violation issued by MSHA under section 110(b)(2) of the Mine Act.
 
Pattern or Potential Pattern of Violations: A pattern of violations of mandatory health or safety standards that are of such a nature as could have significantly and substantially contributed to the cause and effect of coal mine health or safety hazards under section 104(e) of the Mine Act or a potential to have such a pattern.
 
Contest of Citations, Orders, or Proposed Penalties: A contest proceeding may be filed with the Commission by the operator or miners/miners representative to challenge the issuance or penalty of a citation or order issued by MSHA.
 
   
Section
 
Section
 
Section
 
Section
 
Section
 
Proposed
 
   
104(a)
 
104(b)
 
104(d)
 
107(a)
 
110(b)(2)
 
MSHA
 
Month
 
Citations
 
Orders
 
Citation/Orders
 
Orders
 
Violations
 
Assessments
 
                       
(in thousands)
 
January
 
1
 
0
 
0
 
0
 
0
 
$10.00
 
February
 
2
 
0
 
0
 
0
 
0
 
$11.00
 
March
 
2
 
0
 
0
 
0
 
0
 
  $7.70
 
April
 
4
 
0
 
0
 
0
 
0
 
  $6.00
 
May
 
3
 
0
 
0
 
0
 
0
 
$16.00
 
June
 
2
 
0
 
3
 
0
 
0
 
$30.00
 
July
 
2
 
0
 
0
 
0
 
0
 
$14.60
 
August
 
7
 
0
 
0
 
1
 
0
 
$19.60
 
September
 
2
 
0
 
0
 
0
 
0
 
  $5.80
 
October
 
4
 
0
 
0
 
0
 
0
 
$26.40
 
November
 
8
 
0
 
0
 
0
 
0
 
$34.30
 
December
 
5
 
0
 
0
 
0
 
0
 
$23.40
 
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