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Share Name | Share Symbol | Market | Type |
---|---|---|---|
National Coal Corp (MM) | NASDAQ:NCOC | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 0.9956 | 0 | 01:00:00 |
FORM 4
[
X
]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
|
OMB APPROVAL
OMB Number: 3235-0287 Expires: February 28, 2011 Estimated average burden hours per response... 0.5 |
|
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person
*
STEELHEAD PARTNERS LLC |
2. Issuer Name
and
Ticker or Trading Symbol
NATIONAL COAL CORP [ NCOC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner _____ Officer (give title below) __ X __ Other (specify below) See footnotes |
333 108TH AVE. NE, SUITE 2010 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
BELLEVUE, WA 98004 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person _ X _ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
||||||||||
1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock par value $.0001 per share | 10/7/2010 | S | 600 | D | $.9774 | 793227 | I | See footnotes (1) (2) (3) | ||
Common Stock par value $.0001 per share | 10/8/2010 | S | 500000 | D | $.97 | 293227 | I | See footnotes (1) (2) (3) |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
|||||||||||||||
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: | |
( 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) | 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. Navigator is separately reporting this transaction 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 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. |
Reporting Owners
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Reporting Owner Name / Address |
|
||||
Director | 10% Owner | Officer | Other | ||
STEELHEAD PARTNERS LLC
333 108TH AVE. NE SUITE 2010 BELLEVUE, WA 98004 |
|
|
|
See footnotes | |
JOHNSTON JAMES MICHAEL
333 108TH AVE. NE SUITE 2010 BELLEVUE, WA 98004 |
|
|
|
See footnotes | |
KLEIN BRIAN KATZ
333 108TH AVE. NE SUITE 2010 BELLEVUE, WA 98004 |
|
|
|
See footnotes |
Signatures
|
||
Steelhead Partners, LLC; By: James Michael Johnston, its Member-Manager; /s/ James Michael Johnston | 10/12/2010 | |
** Signature of Reporting Person |
Date
|
|
James Michael Johnston; /s/ James Michael Johnston | 10/12/2010 | |
** Signature of Reporting Person |
Date
|
|
Brian Katz Klein; /s/ Brian Katz Klein | 10/12/2010 | |
** Signature of Reporting Person |
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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