Filing Details
- Accession Number:
- 0000906344-10-000165
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-04-16 13:00:00
- Reporting Period:
- 2010-04-14
- Filing Date:
- 2010-04-16
- Accepted Time:
- 2010-04-16 14:16:15
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1089575 | National Coal Corp | NCOC | Bituminous Coal & Lignite Surface Mining (1221) | 650601272 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1133521 | Steelhead Partners Llc | 1301 First Avenue, Suite 201 Seattle WA 98101 | No | No | No | Yes | |
| 1327721 | Michael James Johnston | 1301 First Avenue, Suite 201 Seattle WA 98101 | No | No | No | Yes | |
| 1327722 | Katz Brian Klein | 1301 First Avenue, Suite 201 Seattle WA 98101 | 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 Par Value $.0001 Per Share | Disposition | 2010-04-14 | 100,000 | $0.57 | 5,380,012 | No | 4 | S | Indirect | See footnotes |
| Common Stock Par Value $.0001 Per Share | Disposition | 2010-04-15 | 150,000 | $0.57 | 5,230,012 | 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
- 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.
- The shares of common stock reported on this Form 4 are directly held by Steelhead Navigator Master, L.P. ("Navigator"). Steelhead is the investment manager of Navigator. As a greater than 10% beneficial owner, Navigator is separately reporting this transaction in the issuer's securities on a Form 4 filed concurrently herewith.
- Steelhead and the other reporting persons may be deemed to beneficially own the securities owned by Navigator 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, 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 Navigator form a group within the meaning of Rule 16a-1(a)(1). Each of Steelhead, Mr. Johnston, Mr. Klein and Navigator expressly disclaims beneficial ownership in these securities, except to the extent of their respective pecuniary interests therein.
Billionaire Hedge Funds
