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
- 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.
- The Reporting Person owns 88% of ECK & Partners Holdings Limited. Crosby Asset Management Inc. is 48% owned by ECK & Partners Holdings Limited.
- Received as partial compensation pursuant to a Professional Services Agreement between Crosby (Hong Kong) Limited and the Issuer.
- The Reporting Person owns 88% of ECK & Partners Holdings Limited. Crosby (Hong Kong) Limited is 99.9% owned by ECK & Partners Holdings Limited.
- Not applicable - report of holdings only.
- 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.