Filing Details

Accession Number:
0001181431-11-007163
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-02-03 12:00:00
Reporting Period:
2011-02-01
Filing Date:
2011-02-03
Accepted Time:
2011-02-03 17:18:58
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
912365 Evergreen Energy Inc EEE Bituminous Coal & Lignite Surface Mining (1221) 841079971
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1509509 Ilyas Khan 1225 17Th Street
Suite 1300
Denver CO 80202
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2011-02-01 88,462 $2.60 88,462 No 4 P Indirect Crosby Capital Partners (BVI) Limited
Common Stock Acquisiton 2011-02-01 57,692 $2.60 57,692 No 4 P Indirect Crosby Asset Management Inc.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Crosby Capital Partners (BVI) Limited
No 4 P Indirect Crosby Asset Management Inc.
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrant (Right to Buy) Acquisiton 2011-02-01 86,304 $2.60 86,304 $2.60
Common Stock Warrant (Right to Buy) Acquisiton 2011-02-01 43,152 $2.73 43,152 $2.73
Common Stock Warrant (Right to Buy) Acquisiton 2011-02-01 43,152 $2.80 43,152 $2.80
Common Stock Warrant (Right to Buy) Acquisiton 2011-02-01 56,285 $2.60 56,285 $2.60
Common Stock Warrant (Right to Buy) Acquisiton 2011-02-01 28,142 $2.73 28,142 $2.73
Common Stock Warrant (Right to Buy) Acquisiton 2011-02-01 28,142 $2.80 28,142 $2.80
Common Stock Warrant (Right to Buy) Acquisiton 2011-02-01 283,654 $2.60 283,654 $2.60
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
86,304 2011-08-01 2014-08-01 No 4 P Indirect
129,456 2011-08-01 2014-08-01 No 4 P Indirect
172,608 2011-08-01 2014-08-01 No 4 P Indirect
56,285 2011-08-01 2014-08-01 No 4 P Indirect
84,427 2011-08-01 2014-08-01 No 4 P Indirect
112,569 2011-08-01 2014-08-01 No 4 P Indirect
283,654 2011-08-01 2014-08-01 No 4 J Indirect
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Warrant (Right to Buy) $0.00 0 1,238,150 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
0 1,238,150 Indirect
Footnotes
  1. The Reporting Person owns 88% of ECK & Partners Holdings Limited. Crosby Capital Partners (BVI) Limited is a wholly-owned subsidiary of ECK & Partners Holdings Limited.
  2. The Reporting Person owns 88% of ECK & Partners Holdings Limited. Crosby Asset Management Inc. is 48% owned by ECK & Partners Holdings Limited.
  3. Received as partial compensation pursuant to a Professional Services Agreement between Crosby (Hong Kong) Limited and the Issuer.
  4. The Reporting Person owns 88% of ECK & Partners Holdings Limited. Crosby (Hong Kong) Limited is 99.9% owned by ECK & Partners Holdings Limited.
  5. Not applicable - report of holdings only.
  6. The Reporting Person owns 88% of ECK & Partners Holdings Limited. Crosby Special Situations Fund Limited is a wholly-owned subsidiary of ECK & Partners Holdings Limited.