Filing Details
- Accession Number:
- 0001181431-11-007120
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-02-03 16:58:49
- Reporting Period:
- 2011-02-01
- Filing Date:
- 2011-02-03
- Accepted Time:
- 2011-02-03 16:58:49
- 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 |
|---|---|---|---|---|---|---|---|
| 1465890 | Jr. H Thomas Stoner | 1225 17Th Street Suite 1300 Denver CO 80202 | Chief Executive Officer | Yes | Yes | 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 | 69,231 | $2.60 | 69,231 | No | 4 | P | Indirect | By Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Trust |
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 | 67,542 | $2.60 | 67,542 | $2.60 |
| Common Stock | Warrant (Right to Buy) | Acquisiton | 2011-02-01 | 33,771 | $2.73 | 33,771 | $2.73 |
| Common Stock | Warrant (Right to Buy) | Acquisiton | 2011-02-01 | 3,771 | $2.80 | 33,771 | $2.80 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 67,542 | 2011-08-01 | 2014-08-01 | No | 4 | P | Indirect |
| 101,313 | 2011-08-01 | 2014-08-01 | No | 4 | P | Indirect |
| 135,084 | 2011-08-01 | 2014-08-01 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 14,932 | Indirect | By IRA |
| Common Stock | 480,135 | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | $0.00 | 0 | 301,667 | Direct | ||
| Common Stock | Restricted Stock Awards | $0.00 | 0 | 250,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 0 | 301,667 | Direct | |
| 0 | 250,000 | Direct |
Footnotes
- Not applicable - report of holdings only.
Billionaire Hedge Funds
