Filing Details

Accession Number:
0000906344-11-000165
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-09-29 13:58:25
Reporting Period:
2011-09-27
Filing Date:
2011-09-29
Accepted Time:
2011-09-29 13:58:25
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1297720 James River Coal Co JRCC Bituminous Coal & Lignite Surface Mining (1221) 541602012
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1133521 Steelhead Partners Llc 333 108Th Avenue, Suite 2010
Bellevue WA 98004
No No No Yes
1327721 Michael James Johnston 333 108Th Avenue, Suite 2010
Bellevue WA 98004
No No No Yes
1327722 Katz Brian Klein 333 108Th Avenue, Suite 2010
Bellevue WA 98004
No No No Yes
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 Disposition 2011-09-27 1,000 $8.19 4,152,200 No 4 S Indirect See footnotes
Common Stock Disposition 2011-09-27 34,609 $8.21 4,117,591 No 4 S Indirect See footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See footnotes
No 4 S Indirect See footnotes
Footnotes
  1. 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.
  2. 3,991,882, shares of common stock reported on this Form 4 are beneficially held by Steelhead Navigator Master, L.P. (" Steelhead Navigator") and the balance is beneficially held by other client accounts (collectively with Steelhead Navigator, the "Funds"). Steelhead serves as the investment manager of the Funds. As a greater than 10% beneficial owner, Steelhead Navigator is separately reporting its transactions in the issuer's securities on a Form 4 filed concurrently herewith.
  3. 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). 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.