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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to NewLead Holdings, Ltd.
SEC Filings (Chronological Order)
På denne siden finner du en fullstendig, kronologisk liste over SEC-arkiveringer, med unntak av eierskaps-arkiveringer som vi leverer andre steder.
| May 2, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): [ ] Form 10-K [X] Form 20-F [ ] Form 11-K [ ] Form 10-Q [ ] Form N-SAR [ ] Form N-CSR For Period Ended: December 31, 2016 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on Form 11-K [ ] Transition Report on Form 10-Q [ ] Transition Report on Form N-SAR For the Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| March 31, 2017 |
NewLead Holdings (Current Report of Foreign Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: March 31, 2017 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant?s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Mailing Ad |
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| October 25, 2016 |
Exhibit 99.1 NewLead Holdings Ltd. Announces the Resignation of Michail S. Zolotas as Chairman of the Board of Directors and President and Chief Executive Officer Hamilton, BERMUDA, October 25, 2016 - NewLead Holdings Ltd. (OTC: NEWLF) ("NewLead" or the "Company") announced today that Michail S. Zolotas has resigned from his role as Chairman of the Board of Directors and President and Chief Execut |
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| October 25, 2016 |
NewLead Holdings FORM 6-K (Current Report of Foreign Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: October 25, 2016 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant?s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| October 11, 2016 |
NEWLF / NewLead Holdings, Ltd. / KCG AMERICAS LLC - SC 13G/A NEWLF Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G/A Under the Securities Exchange Act of 1934 (Amendment 1) NewLead Holdings, Ltd. (Name of Issuer) Common Stock (Title of Class of Securities) G64626305 (CUSIP Number) September 30, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sc |
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| September 13, 2016 |
NEWLF / NewLead Holdings, Ltd. / Salviola Perian - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 6) Under the Securities Exchange Act of 1934 NEWLEAD HOLDINGS, LTD (Name of Issuer) Common Stock, $.01 Par Value (Title of Class of Securities) G64626 305 (CUSIP Number) September 12, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi |
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| September 8, 2016 |
NEWLF / NewLead Holdings, Ltd. / KCG AMERICAS LLC - NEWLF 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Initial Filing) Under the Securities Exchange Act of 1934 NewLead Holdings, Ltd. (Name of Issuer) Common Stock (Title of Class of Securities) G64626305 (CUSIP Number) August 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche |
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| September 6, 2016 |
NEWLF / NewLead Holdings, Ltd. / Salviola Perian - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 5) Under the Securities Exchange Act of 1934 NEWLEAD HOLDINGS, LTD (Name of Issuer) Common Stock, $.01 Par Value (Title of Class of Securities) G64626 305 (CUSIP Number) September 2, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this |
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| July 28, 2016 |
BBX / BBX Capital Corporation / Salviola Perian - SCHEDULE 13 G - AMENDMENT 4 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4) NEWLEAD HOLDINGS, LTD (Name of Issuer) Common Stock, $.01 Par Value (Title of Class of Securities) G64626 305 (CUSIP Number) July 28, 2016 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to |
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| July 14, 2016 |
Exhibit 99.1 NewLead Holdings Ltd. Highlights Bitumen Tanker Segment Performance and Capabilities; $15.7 Million in Operating Revenues from its Bitumen Tankers and Shipment of over 3 Million Barrels of Bitumen for the Year Ended December 31, 2015 Hamilton, BERMUDA, July 14, 2016 - NewLead Holdings Ltd. (OTC: NEWLF) ("NewLead" or the "Company") today highlighted its bitumen tanker segment capabilit |
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| July 14, 2016 |
NewLead Holdings 6-K (Current Report of Foreign Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: July 14, 2016 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant?s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| June 24, 2016 |
NewLead Holdings FORM 6-K (Current Report of Foreign Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: June 24, 2016 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant?s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| June 24, 2016 |
NewLead Holdings Ltd. Announces Second Extension of Time Charter for the MT Newlead Granadino Exhibit 99.1 NewLead Holdings Ltd. Announces Second Extension of Time Charter for the MT Newlead Granadino Hamilton, BERMUDA, June 23, 2016 - NewLead Holdings Ltd. (OTC: NEWLF) ("NewLead" or the "Company") announced today that the charterer of MT Newlead Granadino (the ?Newlead Granadino? or the ?Vessel?) has exercised its second option to extend the existing contract for an additional six months. |
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| May 25, 2016 |
newl2015123120f.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 20-F ? REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECUR |
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| May 13, 2016 |
NEWLF / NewLead Holdings, Ltd. / Salviola Perian - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) NEWLEAD HOLDINGS, LTD (Name of Issuer) Common Stock, $.01 Par Value (Title of Class of Securities) G64626305 (CUSIP Number) May 12, 2016 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to wh |
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| May 3, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): o Form 10-K x Form 20-F o Form 11-K o Form 10-Q o Form N-SAR o Form N-CSR For Period Ended: December 31, 2015 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o Transition Report on Form 10-Q o Transition Report on Form N-SAR For the Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| March 18, 2016 |
NewLead Holdings 6-K (Current Report of Foreign Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: March 18, 2016 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant?s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| March 4, 2016 |
NewLead Holdings FORM 6-K (Current Report of Foreign Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: March 4, 2016 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| March 4, 2016 |
NewLead Holdings Ltd. Announces a 1-for-300 Reverse Split of Common Shares Exhibit 99.1 NewLead Holdings Ltd. Announces a 1-for-300 Reverse Split of Common Shares Hamilton, BERMUDA, March 4, 2016 - NewLead Holdings Ltd. (OTC Pink: NEWLD) ("NewLead" or the "Company") announced today that a 1-for-300 reverse stock split of its common shares has been approved by the Company?s Board of Directors and by written consent of the a majority of NewLead?s shareholders in an effort |
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| February 5, 2016 |
BBX / BBX Capital Corporation / Toledo Advisors LLC Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 1)* NEWLEAD HOLDINGS, LTD (Name of Issuer) Common Stock $.01 Par value (Title of Class of Securities) G64626149 (CUSIP Number) FEBRUARY 3, 2016 (Date of Even |
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| January 20, 2016 |
NewLead Holdings 6-K (Current Report of Foreign Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: January 20, 2016 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| January 20, 2016 |
NewLead Holdings Announces Commercial Performance of MT Sofia in 2015 Exhibit 99.1 NewLead Holdings Announces Commercial Performance of MT Sofia in 2015 Hamilton, BERMUDA, January 20, 2016 - NewLead Holdings Ltd. (OTC Pink: NEWL) ("NewLead" or the "Company") announced today a review of the commercial performance of one of its bitumen tanker vessels, the MT Sofia (?Sofia? or the ?Vessel?) in 2015. The Sofia is a 2008-built bitumen tanker vessel of 2,888 dwt and is on |
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| December 31, 2015 |
NewLead Holdings 6-K (Current Report of Foreign Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: December 23, 2015 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant?s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| December 28, 2015 |
BBX / BBX Capital Corporation / Salviola Perian - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) NEWLEAD HOLDINGS, LTD (Name of Issuer) Common Stock, $.01 Par Value (Title of Class of Securities) G64626 149 (CUSIP Number) December 28, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| December 22, 2015 |
NewLead Holdings Announces Renewal of Contract of Affreightment for MT Katerina L Exhibit 99.1 NewLead Holdings Announces Renewal of Contract of Affreightment for MT Katerina L Hamilton, BERMUDA, December 22, 2015 - NewLead Holdings Ltd. (OTC Pink: NEWL) ("NewLead" or the "Company") announced today that it has renewed the Contract of Affreightment (the ?CoA?) for one of its bitumen tanker vessels, the MT Katerina L (?Katerina L? or the ?Vessel?), for an additional twelve month |
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| December 22, 2015 |
NewLead Holdings 6-K (Current Report of Foreign Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: December 22, 2015 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant?s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| December 21, 2015 |
NewLead Holdings 6-K (Current Report of Foreign Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: December 21, 2015 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant?s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| December 15, 2015 |
BBX / BBX Capital Corporation / Salviola Perian - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A (Amendment No. 1) Under the Securities Exchange Act of 1934 NEWLEAD HOLDINGS, LTD (Name of Issuer) Common Stock, $.01 Par Value (Title of Class of Securities) G64626 149 (CUSIP Number) December 15, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which th |
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| December 8, 2015 |
Exhibit 99.1 NewLead Holdings Announces Extension of Time Charter for the MT Newlead Granadino Hamilton, BERMUDA, December 8, 2015 - NewLead Holdings Ltd. (OTC Pink: NEWL) ("NewLead" or the "Company") announced today that the charterer of MT Newlead Granadino (?Newlead Granadino?), a 2009-built double hull bitumen tanker vessel of 5,887 dwt, has exercised the option to extend the existing contract |
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| December 8, 2015 |
NewLead Holdings 6-K (Current Report of Foreign Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: December 8, 2015 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant?s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| November 30, 2015 |
NewLead Holdings 6-K (Current Report of Foreign Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: November 30, 2015 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant?s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| November 19, 2015 |
Regarding Completion of $44.8 Million Settlement Agreement EX-99.1 2 v425189ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 NewLead Holdings Ltd. Clarifies Prior Press Release Dated June 18, 2014 Regarding Completion of $44.8 Million Settlement Agreement Hamilton, Bermuda, November 18, 2015 - NewLead Holdings Ltd. (OTC: NEWL) ("NewLead" or the "Company") announced today that the previously announced, on June 18, 2014, completion of a referenced $44.8 million balance |
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| November 19, 2015 |
NewLead Holdings 6-K (Current Report of Foreign Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: November 19, 2015 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant?s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| November 10, 2015 |
Exhibit 99.1 NewLead Holdings Ltd. Updates Date on Press Release Dated September 29, 2015 Announcing Updates on Five Mile and Elk Valley Mines and Coal Supply Contracts Hamilton, Bermuda, November 10, 2015 - NewLead Holdings Ltd. (OTC: NEWL) ("NewLead" or the "Company") announced today that the date of January 17, 2014 referenced in the first paragraph of the press release, distributed on Septembe |
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| November 10, 2015 |
NewLead Holdings 6-K (Current Report of Foreign Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: November 10, 2015 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant?s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| September 30, 2015 |
NewLead Holdings Ltd. Announces Updates to Previously Disclosed Coal Supply and Delivery Contract Exhibit 99.2 NewLead Holdings Ltd. Announces Updates to Previously Disclosed Coal Supply and Delivery Contract Hamilton, Bermuda, September 29, 2015 - NewLead Holdings Ltd. (OTC: NEWL) ("NewLead" or the "Company") announced today that the Company did not complete the agreement to supply and deliver 1.48 million tons of steam coal to a third party that was expected to generate $148.0 million of rev |
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| September 30, 2015 |
Exhibit 99.5 |
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| September 30, 2015 |
EX-99.1 2 v421331ex99-1.htm EXHIBIT 99.2 Exhibit 99.1 |
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| September 30, 2015 |
Exhibit 99.4 |
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| September 30, 2015 |
Exhibit 99.3 |
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| September 30, 2015 |
NewLead Holdings Announces Commercial Performance of MT Nepheli Exhibit 99.3 NewLead Holdings Announces Commercial Performance of MT Nepheli Hamilton, BERMUDA, September 1, 2015 - NewLead Holdings Ltd. (OTC: NEWL) ("NewLead" or the "Company") announced today a review of the commercial performance of one of its bitumen tanker vessels, the MT Nepheli (?Nepheli?) since the vessel was delivered to NewLead?s fleet. The Nepheli is a 2009-built bitumen tanker vessel |
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| September 30, 2015 |
NewLead Holdings FORM 6-K (Current Report of Foreign Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: September 30, 2015 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant?s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Addres |
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| September 30, 2015 |
NewLead Holdings FORM 6-K (Current Report of Foreign Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: September 30, 2015 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant?s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Addres |
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| September 30, 2015 |
NewLead Holdings Announces Time Charter and Commercial Performance of MT Newlead Granadino Exhibit 99.5 NewLead Holdings Announces Time Charter and Commercial Performance of MT Newlead Granadino Hamilton, BERMUDA, September 15, 2015 - NewLead Holdings Ltd. (OTC: NEWL) ("NewLead" or the "Company") announced today that the Company has entered into a new time charter contract for one of its bitumen tanker vessels, the MT Newlead Granadino (?Newlead Granadino?), for a minimum of six months |
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| September 30, 2015 |
Exhibit 99.1 |
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| September 30, 2015 |
NewLead Holdings FORM 6-K (Current Report of Foreign Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: September 30, 2015 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant?s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Addres |
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| September 30, 2015 |
NewLead Holdings FORM 6-K (Current Report of Foreign Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: September 30, 2015 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant?s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Addres |
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| September 30, 2015 |
NewLead Holdings Ltd. Announces Commercial Performance of MV Newlead Venetico Exhibit 99.2 NewLead Holdings Ltd. Announces Commercial Performance of MV Newlead Venetico Hamilton, BERMUDA, August 25, 2015 - NewLead Holdings Ltd. (OTC: NEWL) ("NewLead" or the "Company") announced today a review of the commercial performance of the MV Newlead Venetico (?Newlead Venetico?) since January 1, 2015. The Newlead Venetico is a 2012-built dry bulk eco-type Handysize vessel of 32,394 d |
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| September 30, 2015 |
NewLead Holdings Ltd. Announces Updates to Prior Announcements Regarding the Marrowbone Mine Exhibit 99.6 NewLead Holdings Ltd. Announces Updates to Prior Announcements Regarding the Marrowbone Mine Hamilton, Bermuda, September 28, 2015 - NewLead Holdings Ltd. (OTC: NEWL) ("NewLead" or the "Company") announced today that the Company did not complete the acquisition of the Marrowbone mine which the Company expected to finalize during the third quarter of 2013, as it had previously announce |
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| September 30, 2015 |
NewLead Holdings Ltd. Announces Updates on Five Mile and Elk Valley Mines and Coal Supply Contracts Exhibit 99.2 NewLead Holdings Ltd. Announces Updates on Five Mile and Elk Valley Mines and Coal Supply Contracts Hamilton, Bermuda, September 29, 2015 - NewLead Holdings Ltd. (OTC: NEWL) ("NewLead" or the "Company") announced today that the Company did not complete the agreement to acquire the ownership and leasehold interests of the Elk Valley mine and that it has not yet completed the acquisitio |
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| September 30, 2015 |
NewLead Holdings Ltd. Announces Updates to Previously Disclosed Coal Supply Contract EX-99.2 3 v421331ex99-2.htm EXHIBIT 99.2 Exhibit 99.2 NewLead Holdings Ltd. Announces Updates to Previously Disclosed Coal Supply Contract Hamilton, Bermuda, September 29, 2015 - NewLead Holdings Ltd. (OTC: NEWL) ("NewLead" or the "Company") announced today that the Company did not complete the coal supply agreement requiring the Company to supply 720,000 metric tons of thermal coal to a third par |
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| September 30, 2015 |
NewLead Holdings FORM 6-K (Current Report of Foreign Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: September 30, 2015 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Addres |
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| September 30, 2015 |
NewLead Holdings Announces Commercial Competency of MT Sofia Exhibit 99.1 NewLead Holdings Announces Commercial Competency of MT Sofia Bermuda, July 27, 2015 - NewLead Holdings Ltd. (OTC: NEWL) ("NewLead" or the "Company") announced today a review of the commercial competency of one of its bitumen tanker vessels, the MT Sofia (?Sofia?) since the vessel was delivered to NewLead?s fleet. The Sofia is a 2008-built bitumen tanker vessel of 2,888 dwt and is one |
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| September 30, 2015 |
Exhibit 99.2 |
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| September 30, 2015 |
Exhibit 99.1 |
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| September 30, 2015 |
NewLead Holdings Ltd. Announces Commercial Performance of MV Newlead Albion Exhibit 99.4 NewLead Holdings Ltd. Announces Commercial Performance of MV Newlead Albion Hamilton, BERMUDA, September 8, 2015 - NewLead Holdings Ltd. (OTC: NEWL) ("NewLead" or the "Company") announced today a review of the commercial performance of the MV Newlead Albion (?Newlead Albion?) since January 1, 2015. The Newlead Albion is a 2012-built dry bulk eco-type Handysize vessel of 32,318 dwt and |
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| September 30, 2015 |
NewLead Holdings Ltd. Announces Time Charter and Commercial Performance of Newlead Castellano Exhibit 99.6 NewLead Holdings Ltd. Announces Time Charter and Commercial Performance of Newlead Castellano Hamilton, Bermuda, September 24, 2015 - NewLead Holdings Ltd. (OTC: NEWL) ("NewLead" or the "Company") announced today that it has entered into a time charter contract for one of its dry bulk Eco-type Handysize vessels, the Newlead Castellano, for two consecutive voyages, anticipated to be co |
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| September 30, 2015 |
Exhibit 99.1 |
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| July 31, 2015 |
EXHIBIT 99.1 NewLead Holdings Ltd. Announces Appointment of New Member of the Board of Directors, New Chief Financial Officer and New Corporate Secretary NewLead Holdings Ltd Moves Forward with Transformation and Strengthens the Company’s Resources HAMILTON, Bermuda, July 30, 2015 - NewLead Holdings Ltd. (OTC: NEWL) ("NewLead" or the "Company") announced today that Samuel Gulko has joined the Boar |
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| July 31, 2015 |
NewLead Holdings FORM 6-K (Current Report of Foreign Issuer) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: July 31, 2015 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant?s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| June 11, 2015 |
NEWLF / NewLead Holdings, Ltd. / Toledo Advisors LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2 (Amendment No. )* NEWLEAD HOLDINGS LTD (Name of Issuer) COMMON STOCK $0.0001 PER SHARE PAR VALUE (Title of Class of Securities) G64626131 (CUSIP Number) June |
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| May 14, 2015 |
newl2014123120f.htm Table Of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 20-F ? REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR |
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| May 1, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ? Form 10-K x Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: December 31, 2014 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Report on Form 10-Q ? Transition Report o |
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| February 12, 2015 |
NEWLF / NewLead Holdings, Ltd. / Ironridge Global IV, Ltd. - FORM SC 13G/A Passive Investment United states Securities and exchange commission WashinGton, d.c. 20549 Schedule 13g Under the Securities Exchange Act of 1934 (Amendment No. 1) NEWLEAD HOLDINGS LTD. (Name of Issuer) Common Shares (Title of Class of Securities) G64626149 (CUSIP Number) December 31, 2014 (Date of Event which requires filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S |
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| January 27, 2015 |
PART II “BARECON 2001” Standard Bareboat Charter Exhibit 99.2 Copyright, published by First issued by The Baltic and International Maritime Council (BIMCO), Copenhagen. Issued November 2001 The Baltic and International Maritime Council (BIMCO), Copenhagen, in 1974 As “Barecon A” and “Barecon B”. Revised and amalgamated 1989. Revised 2001 1. Shipbroker BIMCO STANDARD BAREBOAT CHARTER CODE NAME: “BARECON 2001” PART I 2. Place and date November 13t |
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| January 27, 2015 |
EX-99.3 4 v399300ex99-3.htm EXHIBIT 99.3 EXHIBIT 99.3 Execution Version DATED October 16 2014 THALASSA HOLDINGS SA PELAGOS HOLDINGS SA (as Vendors) NEWLEAD TANKER ACQUISITIONS INC (as Purchaser) and NEWLEAD HOLDINGS LTD. (as NewLead) SHARE SALE AND PURCHASE AGREEMENT CONTENTS 1. DEFINITIONS AND INTERPRETATION 3 2. SALE AND PURCHASE 7 3. CONDITIONS 7 4. CONDUCT OF BUSINESS BEFORE FIRST COMPLETION 9 |
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| January 27, 2015 |
PART II “BARECON 2001” Standard Bareboat Charter Exhibit 99.1 Copyright, published by First issued by The Baltic and International Maritime Council (BIMCO), Copenhagen. Issued November 2001 The Baltic and International Maritime Council (BIMCO), Copenhagen, in 1974 as “Barecon A” and “Barecon B”. Revised and amalgamated 1989. Revised 2001 1. Shipbroker BIMCO STANDARD BAREBOAT CHARTER CODE NAME: “BARECON 2001” PART I 2. Place and date October 23rd |
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| January 27, 2015 |
NEWLF / NewLead Holdings, Ltd. 6-K - Current Report of Foreign Issuer - 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: January 27, 2015 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| January 27, 2015 |
EXHIBIT 99.4 DATED 24 November 2014 THALASSA HOLDINGS SA PELAGOS HOLDINGS SA (as Vendors) NEWLEAD TANKER ACQUISITIONS INC. (as Purchaser) and NEWLEAD HOLDINGS LTD. (as NewLead) ADDENDUM NO. 1 to SHARE SALE AND PURCHASE AGREEMENT, dated October 16, 2014 1 THIS ADDENDUM NO. 1 (“Addendum No. 1”) is made on 24th November 2014 BETWEEN (1) THALASSA HOLDINGS S.A. a company incorporated in Liberia with Re |
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| December 29, 2014 |
NEWLF / NewLead Holdings, Ltd. 6-K - Current Report of Foreign Issuer - FORM 6-K 6-K 1 v3976216-k.htm FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: December 23, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. |
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| December 9, 2014 |
NEWLF / NewLead Holdings, Ltd. 6-K - Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: December 9, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| November 25, 2014 |
NEWLF / NewLead Holdings, Ltd. 6-K - Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: November 25, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| September 23, 2014 |
NEWLF / NewLead Holdings, Ltd. 6-K - Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: September 22, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Addres |
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| September 23, 2014 |
NewLead Holdings Ltd. Delivery of the Third Eco-Type Handysize Vessel since January 2014 Exhibit 99.1 NewLead Holdings Ltd. Announces Delivery of the Third Eco-Type Handysize Vessel since January 2014 PIRAEUS, Greece, September 22, 2014 - NewLead Holdings Ltd. (OTC: NEWL) ("NewLead" or the "Company") announced today that the "Newlead Castellano", a 2013-built dry-bulk eco-type Handysize vessel of 35,542 dwt, was delivered to NewLead's owned fleet on September 16, 2014. The Newlead Cas |
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| September 16, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: September 11, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Addres |
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| August 21, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: August 13, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address o |
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| August 20, 2014 |
NEWLF / NewLead Holdings, Ltd. / ASHER ENTERPRISES INC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (AMENDMENT NO. 1)* NEWLEAD HOLDINGS LTD. (Name of issuer) Common Stock, $0.01 value per share (Title of class of securities) G64626115 (CUSIP number) August 18, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| August 12, 2014 |
NEWLF / NewLead Holdings, Ltd. 6-K - Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: August 12, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address o |
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| August 11, 2014 |
NEWLF / NewLead Holdings, Ltd. 6-K - Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: August 6, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| August 4, 2014 |
NEWLF / NewLead Holdings, Ltd. 6-K - Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: July 21, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| July 29, 2014 |
NewLead Holdings Ltd. Delivery of the Second Eco-Type Handysize Vessel Exhibit 99.1 NewLead Holdings Ltd. Announces Delivery of the Second Eco-Type Handysize Vessel PIRAEUS, Greece, July 29, 2014 - NewLead Holdings Ltd. (OTC: NEWL) ("NewLead" or the "Company") announced today that the "Newlead Venetico," a 2012-built dry-bulk eco-type Handysize vessel of 32,500 dwt, was delivered to NewLead's fleet on July 25, 2014. The Newlead Venetico is trading on the spot market |
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| July 29, 2014 |
NEWLF / NewLead Holdings, Ltd. 6-K - Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: July 29, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| July 24, 2014 |
NEWLF / NewLead Holdings, Ltd. 6-K - Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: July 17, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| July 14, 2014 |
NEWLF / NewLead Holdings, Ltd. 6-K - Current Report of Foreign Issuer - FORM 6-K 6-K 1 v3838156-k.htm FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: July 13, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 |
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| July 11, 2014 |
NEWLF / NewLead Holdings, Ltd. 6-K - Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: July 11, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| July 7, 2014 |
Exhibit 99.1 NewLead Holdings Ltd. Announces Filing of Claims Against Ironridge Global IV, Ltd. Seeking Damages in Excess of $125 Million PIRAEUS, Greece, July 7, 2014 – NewLead Holdings Ltd. (NASDAQ: NEWL) (“NewLead” or the “Company”) announced today that on June 23, 2014, in arbitration proceedings currently pending between the Company and Ironridge Global IV, Ltd. (“Ironridge”), the Company fil |
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| July 7, 2014 |
6-K 1 v3833566k.htm REPORT OF FOREIGN PRIVATE ISSUER UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: July 7, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miao |
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| July 3, 2014 |
EXHIBIT 5.01 CUMBERLAND HOUSE 9TH FLOOR 1 VICTORIA STREET HAMILTON HM 11 BERMUDA T: (441) 295-4630 F: (441) 292-7880 WWW.CHW.COM 2 July 2014 VIA ELECTRONIC TRANSMISSION Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Form S-8 Registration Statement for NewLead Holdings Ltd. (the “Company”) Ladies and Gentlemen: We have acted as special legal counsel in Bermuda to the |
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| July 3, 2014 |
EXHIBIT 10.04 COMPENSATION AGREEMENT This Compensation Agreement is dated as of July 1, 2014 between NewLead Holdings Ltd., a Bermuda exempted company (the “Company”), and Yoel Goldfeder (the “Consultant”). WHEREAS, the Company has requested the Consultant to provide the Company with certain transfer agent services in connection with its business (the “Services”) and the Consultant has agreed to p |
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| July 3, 2014 |
EXHIBIT 10.02 COMPENSATION AGREEMENT This Compensation Agreement is dated as of July 1, 2014 between NewLead Holdings Ltd., a Bermuda exempted company (the “Company”), and Seth Farbman (the “Consultant”). WHEREAS, the Company has requested the Consultant to provide the Company with certain transfer agent services in connection with its business (the “Services”) and the Consultant has agreed to pro |
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| July 3, 2014 |
NEWLF / NewLead Holdings, Ltd. S-8 - - REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on July 3, 2014 Registration No. |
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| July 3, 2014 |
EXHIBIT 10.05 COMPENSATION AGREEMENT This Compensation Agreement is dated as of July 1, 2014 between NewLead Holdings Ltd., a Bermuda exempted company (the “Company”), and Georgios Madianos (the “Consultant”). WHEREAS, the Company has requested the Consultant to provide the Company with certain human resources services in connection with its business (the “Services”) and the Consultant has agreed |
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| July 3, 2014 |
EXHIBIT 10.07 COMPENSATION AGREEMENT This Compensation Agreement is dated as of July 1, 2014 between NewLead Holdings Ltd., a Bermuda exempted company (the “Company”), and Troy LeMichael Francisco (the “Consultant”). WHEREAS, the Company has requested the Consultant to provide the Company with certain engineering services in connection with its business (the “Services”) and the Consultant has agre |
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| July 3, 2014 |
EX-10.03 5 v383083ex10-03.htm EXHIBIT 10.03 EXHIBIT 10.03 COMPENSATION AGREEMENT This Compensation Agreement is dated as of July 1, 2014 between NewLead Holdings Ltd., a Bermuda exempted company (the “Company”), and Shai Stern (the “Consultant”). WHEREAS, the Company has requested the Consultant to provide the Company with certain transfer agent services in connection with its business (the “Servi |
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| July 3, 2014 |
Consent of Independent Registered Public Accounting Firm EXHIBIT 23.02 Consent of Independent Registered Public Accounting Firm We consent to the incorporation by reference in the Registration Statement of NewLead Holdings Ltd. on Form S-8 to be filed on or about July 3, 2014, of our report dated May 9, 2014, on our audit of the consolidated statements of operations and comprehensive income, changes in shareholders’ deficit, and cash flows for the year |
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| July 3, 2014 |
EXHIBIT 10.06 COMPENSATION AGREEMENT This Compensation Agreement is dated as of July 1, 2014 between NewLead Holdings Ltd., a Bermuda exempted company (the “Company”), and Richard L. Thacker (the “Consultant”). WHEREAS, the Company has requested the Consultant to provide the Company with certain managing and supervising mining operations services in connection with its business (the “Services”) an |
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| July 3, 2014 |
Consent of Independent Registered Public Accounting Firm EXHIBIT 23.01 Consent of Independent Registered Public Accounting Firm We consent to the incorporation by reference in the registration statement on Form S-8 of NewLead Holdings Ltd. (“the Company”) of our report dated May 9, 2014 with respect to the consolidated financial statements of the Company as of December 31, 2013 and 2012 and for the two years ended December 31, 2013, included in its Annu |
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| July 3, 2014 |
EXHIBIT 10.01 COMPENSATION AGREEMENT This Compensation Agreement is dated as of July 1, 2014 between NewLead Holdings Ltd., a Bermuda exempted company (the “Company”), and Marc J. Ross (the “Consultant”). WHEREAS, the Company has requested the Consultant to provide the Company with certain SEC-related legal services in connection with its business (the “Services”) and the Consultant has agreed to |
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| June 30, 2014 |
NEWLF / NewLead Holdings, Ltd. / MG PARTNERS Ltd - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2 (Amendment No. 2)* NEWLEAD HOLDINGS LTD. (Name of Issuer) COMMON STOCK, $0.01 PAR VALUE (Title of Class of Securities) G64626 164 (CUSIP Number) June 30, 2014 (Da |
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| June 27, 2014 |
NewLead Holdings Ltd. Receives NASDAQ Staff Determination Letter; Intends to Request Hearing Exhibit 99.1 NewLead Holdings Ltd. Receives NASDAQ Staff Determination Letter; Intends to Request Hearing PIRAEUS, Greece, June 26, 2014 - NewLead Holdings Ltd. (NASDAQ: NEWL) (“NewLead” or the “Company”) today announced that, on June 25, 2014, the Company received a letter from the NASDAQ Listing Qualifications Staff (the “Staff”) of The NASDAQ Stock Market LLC (“NASDAQ”) notifying the Company th |
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| June 27, 2014 |
Current Report of Foreign Issuer - REPORT OF FOREIGN PRIVATE ISSUER UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: June 25, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| June 26, 2014 |
Current Report of Foreign Issuer - AMENDMENT NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K/A REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: June 18, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address o |
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| June 20, 2014 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: June 20, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| June 18, 2014 |
Current Report of Foreign Issuer - REPORT OF FOREIGN PRIVATE ISSUER UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: June 18, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| June 13, 2014 |
Current Report of Foreign Issuer - REPORT OF FOREIGN PRIVATE ISSUER UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: June 12, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| June 12, 2014 |
Current Report of Foreign Issuer - REPORT OF FOREIGN PRIVATE ISSUER UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: June 6, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of p |
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| June 6, 2014 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: June 4, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of p |
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| June 5, 2014 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: June 5, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of p |
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| June 5, 2014 |
NewLead Holdings Ltd. Granting of Temporary Restraining Order Against Ironridge Global IV, Ltd. Exhibit 99.1 NewLead Holdings Ltd. Announces Granting of Temporary Restraining Order Against Ironridge Global IV, Ltd. PIRAEUS, Greece, June 5, 2014 - NewLead Holdings Ltd. (NASDAQ: NEWL) ("NewLead" or the "Company") announced today that on June 3, 2014, the Company was granted a Temporary Restraining Order ("TRO"), against Ironridge Global IV, Ltd. (“Ironridge”) prohibiting the further issuance o |
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| June 3, 2014 |
Current Report of Foreign Issuer - REPORT OF FOREIGN PRIVATE ISSUER UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: June 2, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of p |
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| May 30, 2014 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: May 20, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of p |
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| May 13, 2014 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: May 8, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of pr |
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| May 12, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 20-F/A Amendment No. 1 (Mark One) ¨ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2013 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF |
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| May 9, 2014 |
Exhibit 4.91 |
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| May 9, 2014 |
EXHIBIT 16 Pursuant to Section 1503(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”), issuers that are operators, or that have a subsidiary that is an operator, of a coal or other mine in the United States, and that is subject to regulation by the Federal Mine Safety and Health Administration (“MSHA”) under the Mine Safety and Health Act of 1977 (the “Mine Act”), are required to disclose in their periodic reports filed with the SEC information regarding specified health and safety violations, orders and citations, related assessments and legal actions, and mining-related fatalities. |
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| May 9, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 20-F ¨ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2013 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to OR ¨ SHELL COMPANY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of event requiring this shell company report Commission file number 001-32520 NEWLEAD HOLDINGS LTD. |
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| May 9, 2014 |
Exhibit 4.79 |
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| May 9, 2014 |
EXHIBIT 12.2 CERTIFICATION I, Antonis Bertsos, certify that: 1. I have reviewed this annual report on Form 20-F of NewLead Holdings Ltd.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respec |
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| May 9, 2014 |
Exhibit 4.92 |
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| May 9, 2014 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: May 8, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of pr |
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| May 9, 2014 |
Exhibit 2.16 |
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| May 9, 2014 | ||
| May 9, 2014 |
CHIEF FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 EXHIBIT 13.2 CHIEF FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this Annual Report of NewLead Holdings Ltd. (the “Company”) on Form 20-F for the year ended December 31, 2013 as filed with the Securities and Exchange Commission (the “SEC”) on or about the date hereof (the “Report”), I, Antonis Bertsos, Chief Financial Officer of the Company, certify, pursuan |
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| May 9, 2014 |
EXHIBIT 12.1 CERTIFICATION I, Michail Zolotas, certify that: 1. I have reviewed this annual report on Form 20-F of NewLead Holdings Ltd.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respec |
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| May 9, 2014 |
Exhibit 2.15 |
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| May 9, 2014 |
CHIEF EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 EXHIBIT 13.1 CHIEF EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this Annual Report of NewLead Holdings Ltd. (the “Company”) on Form 20-F for the year ended December 31, 2013 as filed with the Securities and Exchange Commission (the “SEC”) on or about the date hereof (the “Report”), I, Michail Zolotas, Chief Executive Officer of the Company, certify, pursuan |
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| May 9, 2014 |
Exhibit 15.1 |
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| May 7, 2014 |
Current Report of Foreign Issuer - REPORT OF FOREIGN PRIVATE ISSUER UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: May 6, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of pr |
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| May 6, 2014 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: May 2, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of pr |
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| April 30, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ¨ Form 10-K x Form 20-F ¨ Form 11-K ¨ Form 10-Q ¨ Form 10-D ¨ Form N-SAR ¨ Form N-CSR For Period Ended: December 31, 2013 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ Transition Report on Form 10-Q ¨ Transition Report o |
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| April 30, 2014 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: April 30, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| April 29, 2014 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: April 29, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| April 25, 2014 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: April 23, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| April 23, 2014 |
NEWLF / NewLead Holdings, Ltd. / ASHER ENTERPRISES INC - SC 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. ) Under the Securities Exchange Act of 1934 NEWLEAD HOLDINGS LTD. (Name of Issuer) Common Stock, $0.001 value per share (Title of Class of Securities) G64626115 (CUSIP Number) April 23, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| April 17, 2014 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: April 17, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| April 15, 2014 |
Current Report of Foreign Issuer - REPORT OF FOREIGN PRIVATE ISSUER UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: April 11, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| April 9, 2014 |
Current Report of Foreign Issuer - REPORT OF FOREIGN PRIVATE ISSUER UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: April 8, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| April 7, 2014 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: April 7, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| March 28, 2014 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: March 28, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| March 24, 2014 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: March 24, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| March 14, 2014 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: March 7, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| March 10, 2014 |
Exhibit 99.3 Form of Notes PROMISSORY NOTE US $2,499,997.50 Issuance Date: March 4, 2014 Road Town, Tortola, BVI Note No. [] FOR VALUE RECEIVED, Ironridge Global IV, Ltd., a British Virgin Islands business company (“Borrower”), promises to pay to the order of NewLead Holdings Ltd., a Bermuda company (“Lender”), the principal sum of $2,499,997.50 in United States currency, together with interest th |
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| March 10, 2014 |
NEWLF / NewLead Holdings, Ltd. / Ironridge Global IV, Ltd. - FORM SC 13G Passive Investment United states Securities and exchange commission WashinGton, d.c. 20549 Schedule 13G Under the securities exchange act of 1934 NEWLEAD HOLDINGS LTD. (Name of Issuer) Common Stock (Title of Class of Securities) G64626149 (CUSIP Number) March 4, 2014 (Date of Event which requires filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ¨ Rul |
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| March 10, 2014 |
NewLead Holdings Ltd. Announces Placement of $25.0 Million Perpetual Preferred Equity Exhibit 99.4 NewLead Holdings Ltd. Announces Placement of $25.0 Million Perpetual Preferred Equity PIRAEUS, Greece, March 10, 2014 - NewLead Holdings Ltd. (NASDAQ: NEWL) ("NewLead" or the "Company") announced today that on March 4, 2014, it completed the issuance of $25.0 million in Perpetual Series A Preferred Shares ("Preferred Shares") to an institutional investor under a share subscription agr |
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| March 10, 2014 |
Exhibit 99.2 NEWLEAD HOLDINGS LTD. CERTIFICATE OF DESIGNATIONS OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES A PREFERENCE SHARES The undersigned, Michael S. Zolotas and Antonios Bertsos, hereby certify that: 1. They are the Chief Executive Officer and Chief Financial Officer, respectively, of NewLead Holdings Ltd., a Bermuda company (the “Corporation”). 2. The Corporation is authorized to issue |
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| March 10, 2014 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: March 4, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| March 10, 2014 |
Exhibit 99.1 SHARE SUBSCRIPTION AGREEMENT This Share Subscription Agreement (“Agreement”) is made and entered into as of March 4, 2014 (“Effective Date”), by and between NewLead Holdings Ltd., a Bermuda company, of 83 Akti Miaouli & Flessa, 185 38 Piraeus, Greece (“Company”), and Ironridge Global IV, Ltd., a British Virgin Islands business company, of Harbour House, 2nd Floor, Waterfront Drive, Ro |
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| March 7, 2014 |
BBX / BBX Capital Corporation / Salviola Perian - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 NEWLEAD HOLDINGS, LTD (Name of Issuer) Common Stock, $.01 Par Value (Title of Class of Securities) G64626 149 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed |
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| March 7, 2014 |
BBX / BBX Capital Corporation / Mantangi Irrevocable Trust - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 NEWLEAD HOLDINGS, LTD (Name of Issuer) Common Stock, $.01 Par Value (Title of Class of Securities) G64626 149 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed |
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| March 3, 2014 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: February 28, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| February 21, 2014 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: February 13, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| February 7, 2014 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: February 3, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| February 4, 2014 |
NEWLF / NewLead Holdings, Ltd. / MG PARTNERS Ltd - FORM SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2 (Amendment No. 1)* NEWLEAD HOLDINGS LTD. (Name of Issuer) COMMON STOCK, $0.01 PAR VALUE (Title of Class of Securities) G64626 149 (CUSIP Number) December 31, 2013 |
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| January 24, 2014 |
December 11, 2013 Lyn Shenk Branch Chief Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| January 17, 2014 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: January 17, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| January 6, 2014 |
Current Report of Foreign Issuer - FORM 6-K 6-K 1 v3647406-k.htm FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: December 24, 2013 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. |
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| January 6, 2014 |
NewLead Holdings Ltd. Regains Compliance with NASDAQ Minimum Bid Price Requirement Exhibit 99.2 NewLead Holdings Ltd. Regains Compliance with NASDAQ Minimum Bid Price Requirement PIRAEUS, GREECE, January 6, 2014 – NewLead Holdings Ltd. (NASDAQ: NEWL) (“NewLead” or the “Company”) today announced that on Friday, January 3, 2014 it received written notification from the Listing Qualifications Staff of the NASDAQ Stock Market LLC (“NASDAQ”) indicating that the NASDAQ Listing Qualifi |
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| January 6, 2014 |
Current Report of Foreign Issuer - REPORT OF FOREIGN PRIVATE ISSUER UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: January 6, 2014 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address o |
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| January 6, 2014 |
NewLead Holdings Ltd. Receives NASDAQ Notification Related to Market Value of Listed Securities Exhibit 99.1 NewLead Holdings Ltd. Receives NASDAQ Notification Related to Market Value of Listed Securities PIRAEUS, Greece, December 24, 2013 /PRNewswire/ - NewLead Holdings Ltd. (NEWL) (the “Company”) today announced that on December 23, 2013, the Company received notice from the Listing Qualifications Staff of The NASDAQ Stock Market LLC (“NASDAQ”) indicating that the Company did not satisfy t |
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| December 24, 2013 |
Current Report of Foreign Issuer - REPORT OF FOREIGN PRIVATE ISSUER UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: December 23, 2013 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| December 24, 2013 |
EX-99.3 4 v363816ex99-3.htm FORM OF WARRANT Exhibit 99.3 THIS WARRANT AND THE COMMON SHARES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS. THIS WARRANT AND THE COMMON SHARES ISSUABLE UPON EXERCISE OF THIS WARRANT MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGI |
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| December 24, 2013 |
Exhibit 99.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of December 23, 2013, between NewLead Holdings Ltd., a Bermuda corporation (the “Company”) and Dominion Capital L.L.C. (including its successors and assigns, “Purchaser”). WHEREAS, subject to the terms and conditions set forth in this Agreement and pursuant to Section 4(2) of the Securities |
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| December 24, 2013 |
Exhibit 99.4 REGISTRATION RIGHTS AGREEMENT REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of December 23, 2013, between NewLead Holdings Ltd., a Bermuda corporation (the “Company”), and the persons signatory to this Agreement (each an “Investor” and together, the “Investors”). This Agreement is made pursuant to that certain Securities Purchase Agreement (the “Purchase Agreement”), date |
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| December 24, 2013 |
12% CONVERTIBLE DEBENTURE DUE 2014 Exhibit 99.2 NEITHER THIS SECURITY NOR THE SECURITIES INTO WHICH THIS SECURITY IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIS |
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| December 18, 2013 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: December 18, 2013 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| December 18, 2013 |
NewLead Holdings Ltd. Completion of Acquisition of Coal Wash Plant in Kentucky, USA Exhibit 99.1 NewLead Holdings Ltd. Announces Completion of Acquisition of Coal Wash Plant in Kentucky, USA PIRAEUS, Greece, December 18, 2013 - NewLead Holdings Ltd. (NASDAQ: NEWL) ("NewLead" or the "Company") announced today that it recently completed the acquisition of a coal wash plant in Kentucky, USA. The coal wash plant is operational and will immediately generate revenue and positive cash f |
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| December 11, 2013 |
December 11, 2013 Lyn Shenk Branch Chief Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| December 6, 2013 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: December 6, 2013 Commission File Number: 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| December 2, 2013 |
Magna Gibraltar Investments LLC is a wholly owned subsidiary of Hanover Holdings I, LLC. Exhibit 1 Magna Gibraltar Investments LLC is a wholly owned subsidiary of Hanover Holdings I, LLC. |
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| December 2, 2013 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: December 2, 2013 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| December 2, 2013 |
Exhibit 99.1 SUPREME COURT OF THE STATE OF NEW YORK COUNTY OF NEW YORK - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - x HANOVER HOLDINGS I, LLC, Plaintiff, v. NEWLEAD HOLDINGS LTD., Defendant. : : : : : : : : : : : Index No. 160776/2013 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - x STIPULATION OF SETTLEMENT Plaintiff, Hanover |
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| December 2, 2013 |
Exhibit 2 Joint Filing Agreement This Joint Filing Agreement, entered into and effective as of December 2, 2013, is made by and among MG Partners Limited, Magna Gibraltar Investments LLC, Hanover Holdings I, LLC, Magna Group Capital Management, LLC and Joshua Sason (each, a “Filer” and, collectively, the “Filers”) pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended. |
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| December 2, 2013 |
SUPREME COURT OF THE STATE OF NEW YORK Exhibit 99.2 SUPREME COURT OF THE STATE OF NEW YORK COUNTY OF NEW YORK - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - x HANOVER HOLDINGS I, LLC Plaintiff, v. NEWLEAD HOLDINGS LTD., Defendant. : : : : : : : : : : : Index No. 160776/2013 ORDER APPROVING FAIRNESS, TERMS AND CONDITIONS OF EXCHANGE AND ISSUANCE PURSUANT TO SECTION 3(a)(10) OF THE SECURITIES ACT OF 193 |
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| December 2, 2013 |
NEWLF / NewLead Holdings, Ltd. / MG PARTNERS Ltd - SCHEDULE 13G Passive Investment SC 13G 1 v361773sc13g.htm SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2 (Amendment No. )* NEWLEAD HOLDINGS LTD. (Name of Issuer) COMMON STOCK, $0.01 PAR VALUE (Title of Class of Securities) G6462 |
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| November 27, 2013 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: November 27, 2013 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| November 19, 2013 |
SC 13G/A 1 v360863sc13ga.htm AMENDMENT TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2 (Amendment No. 1)* NEWLEAD HOLDINGS LTD. (Name of Issuer) COMMON STOCK, $0.01 PAR VALUE (Title of Class of |
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| November 6, 2013 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: November 6, 2013 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| November 6, 2013 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: November 6, 2013 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address |
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| October 8, 2013 |
NewLead Holdings Ltd. Receives NASDAQ Notification Related to Minimum Bid Price NewLead Holdings Ltd. Receives NASDAQ Notification Related to Minimum Bid Price PIRAEUS, Greece, October 4, 2013 /PRNewswire/ - NewLead Holdings Ltd. (NASDAQ: NEWL) (“NewLead” or the “Company”) today announced that the Company received a letter from NASDAQ Listing Qualifications Staff of The NASDAQ Stock Market LLC (“NASDAQ”) notifying the Company that it had not regained compliance, by October 1, |
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| October 8, 2013 |
Current Report of Foreign Issuer - REPORT OF FOREIGN PRIVATE ISSUER 6-K 1 v3568556k.htm REPORT OF FOREIGN PRIVATE ISSUER UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: October 8, 2013 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti M |
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| October 2, 2013 |
Current Report of Foreign Issuer - REPORT OF FOREIGN PRIVATE ISSUER UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: October 2, 2013 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address o |
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| October 2, 2013 |
NewLead Holdings Ltd. 1-for-15 Reverse Split of Common Shares NewLead Holdings Ltd. Announces 1-for-15 Reverse Split of Common Shares PIRAEUS, Greece, October 1, 2013 /PRNewswire/ - NewLead Holdings Ltd. (NASDAQ: NEWL) ("NewLead" or the "Company") today announced that a 1-for-15 reverse stock split of its common shares has been approved by the Company's Board of Directors and by written consent of a majority of shareholders, effective upon the commencement o |
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| August 30, 2013 |
Exhibit 4.71 |
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| August 30, 2013 |
CHIEF EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 EXHIBIT 13.1 CHIEF EXECUTIVE OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this Annual Report of NewLead Holdings Ltd. (the “Company”) on Form 20-F for the year ended December 31, 2012 as filed with the Securities and Exchange Commission (the “SEC”) on or about the date hereof (the “Report”), I, Michail Zolotas, Chief Executive Officer of the Company, certify, pursuan |
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| August 30, 2013 |
Exhibit 4.78 |
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| August 30, 2013 |
ex4-71 - Converted by SECPublisher 2.1.1.8, created by BCL Technologies Inc., for SEC Filing Exhibit 4.72 |
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| August 30, 2013 |
Exhibit 4.75 |
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| August 30, 2013 |
NewLead Holdings Ltd. (NEWL) 20-F Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d) Filed on 08/30/2013 Filed Period 12/31/2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 20-F ¨ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF |
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| August 30, 2013 |
Exhibit 4.82 fORBEARANCE AGREEMENT THIS AMENDED AND RESTATED FORBEARANCE AGREEMENT (this "Agreement") is made effective as of March 18, 2013, by and between NEWLEAD HOLDINGS, LTD. ("Borrower"); and KENTUCKY FUEL CORPORATION ("Lender"). RECITALS: A. The parties entered into a Promissory Note (the “Note”) on December 28, 2012 by which Borrower agreed to pay $7,500,000.00 to Lender as part of a real |
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| August 30, 2013 |
EX-2.9 5 v344642ex2-9.htm EXHIBIT 2.9 Exhibit 2.9 PROMISSORY NOTE $2,000,000.00 December 28, 2012 FOR VALUE RECEIVED, Newlead Holdings, LTD., a company organized in Bermuda (the "Maker"), hereby promises to pay to the order of Williams Industries, LLC, a Delaware limited liability company and any subsequent successors or assigns as holders of this Note (the "Holder" or "Holders") in the manner her |
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| August 30, 2013 |
Exhibit 4.67 |
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| August 30, 2013 |
Exhibit 4.77 |
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| August 30, 2013 |
Exhibit 4.81 |
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| August 30, 2013 |
Exhibit 4.83 fORBEARANCE AGREEMENT THIS AMENDED AND RESTATED FORBEARANCE AGREEMENT (this "Agreement") is made effective as of March 18, 2013, by and between NEWLEAD HOLDINGS, LTD. ("Borrower"); and WILLIAMS INDUSTRIES, LLC ("Lender"). RECITALS: A. The parties entered into a Promissory Note (the “Note”) on December 28, 2012 by which Borrower agreed to pay $2,000,000.00 to Lender as part of an asset |
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| August 30, 2013 |
Exhibit 4.19 |
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| August 30, 2013 |
ex4-79 - Converted by SECPublisher 2.1.1.8, created by BCL Technologies Inc., for SEC Filing Exhibit 4.79 |
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| August 30, 2013 |
EX-4.65 13 v344642ex4-65.htm EXHIBIT 4.65 Exhibit 4.65 |
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| August 30, 2013 |
Exhibit 4.6 |
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| August 30, 2013 |
Exhibit 4.84 |
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| August 30, 2013 |
Exhibit 4.24 |
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| August 30, 2013 |
EXHIBIT 12.1 CERTIFICATION I, Michail Zolotas, certify that: 1. I have reviewed this annual report on Form 20-F of NewLead Holdings Ltd.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respec |
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| August 30, 2013 |
CHIEF FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 EXHIBIT 13.2 CHIEF FINANCIAL OFFICER CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350 In connection with this Annual Report of NewLead Holdings Ltd. (the “Company”) on Form 20-F for the year ended December 31, 2012 as filed with the Securities and Exchange Commission (the “SEC”) on or about the date hereof (the “Report”), I, Antonis Bertsos, Chief Financial Officer of the Company, certify, pursuan |
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| August 30, 2013 |
Exhibit 4.68 |
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| August 30, 2013 |
Exhibit 4.85 |
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| August 30, 2013 |
Exhibit 4.69 |
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| August 30, 2013 |
Exhibit 4.87 |
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| August 30, 2013 |
Exhibit 4.66 |
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| August 30, 2013 |
v344642ex2-6 - Converted by SECPublisher 2.1.1.8, created by BCL Technologies Inc., for SEC Filing Exhibit 2.6 |
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| August 30, 2013 |
Exhibit 4.20 |
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| August 30, 2013 |
Exhibit 2.8 PROMISSORY NOTE $7,500,000.00 December 28, 2012 FOR VALUE RECEIVED, Newlead Holdings, LTD., a company organized in Bermuda (the "Maker"), hereby promises to pay to the order of Kentucky Fuel Corporation, a Kentucky corporation and any subsequent successors or assigns as holders of this Note (the "Holder" or "Holders") in the manner hereinafter provided, the principal sum of Seven Milli |
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| August 30, 2013 |
ex2-11 - Converted by SECPublisher 2.1.1.8, created by BCL Technologies Inc., for SEC Filing Exhibit 2.11 |
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| August 30, 2013 |
EXHIBIT 12.2 CERTIFICATION I, Antonis Bertsos, certify that: 1. I have reviewed this annual report on Form 20-F of NewLead Holdings Ltd.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respec |
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| August 30, 2013 |
EX-2.10 6 v344642ex2-10.htm EXHIBIT 2.10 Exhibit 2.10 PROMISSORY NOTE $1,500,000.00 December 28, 2012 FOR VALUE RECEIVED, Newlead Holdings, LTD., a company organized in Bermuda (the "Maker"), hereby promises to pay to the order of RJLT Investments, LLC and any subsequent successors or assigns as holders of this Note (the "Holder" or "Holders") in the manner hereinafter provided, the principal sum |
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| August 30, 2013 |
ex2-12 - Converted by SECPublisher 2.1.1.8, created by BCL Technologies Inc., for SEC Filing Exhibit 2.12 |
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| August 30, 2013 |
Exhibit 4.70 |
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| August 30, 2013 |
v344642ex2-7 - Converted by SECPublisher 2.1.1.8, created by BCL Technologies Inc., for SEC Filing Exhibit 2.7 |
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| August 30, 2013 |
Exhibit 4.73 |
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| August 30, 2013 |
Exhibit 4.74 |
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| August 30, 2013 |
Exhibit 4.76 |
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| August 30, 2013 |
Exhibit 4.86 |
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| August 30, 2013 |
Exhibit 4.80 |
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| August 30, 2013 |
Exhibit 4.88 |
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| August 8, 2013 |
NewLead Holdings Ltd. Receives NASDAQ Acceptance of its Plan to Regain Compliance Exhibit 99.1 NewLead Holdings Ltd. Receives NASDAQ Acceptance of its Plan to Regain Compliance PIRAEUS, GREECE, August 8, 2013 - NewLead Holdings Ltd. (NASDAQ: NEWL) (“NewLead” or “the Company”) today announced that the NASDAQ Stock Market LLC (“NASDAQ”) has accepted the Company’s plan to regain compliance with NASDAQ Listing Rule 5250(c)(1) (the “Rule”) which will permit the continued listing of |
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| August 8, 2013 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: August 5, 2013 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| July 10, 2013 |
EXHIBIT 99.1 SUPREME COURT OF THE STATE OF NEW YORK COUNTY OF NEW YORK - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - x HANOVER HOLDINGS I, LLC, Plaintiff, v. NEWLEAD HOLDINGS LTD., Defendant. : : : : : : : : : : : Index No. 155723/2013 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - |
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| July 10, 2013 |
NEWLF / NewLead Holdings, Ltd. / Magna Equities II, LLC - FORM SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO Sec.240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO Sec.240.13d-2 (Amendment No. )* NEWLEAD HOLDINGS LTD. (Name of Issuer) COMMON STOCK, $0.01 PAR VALUE (Title of Class of Securities) G64626 115 (CUSIP Number) July 9, 2013 |
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| July 10, 2013 |
EXHIBIT 99.2 |
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| July 10, 2013 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: July 9, 2013 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of p |
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| June 26, 2013 |
Exhibit 99.2 |
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| June 26, 2013 |
Current Report of Foreign Issuer - REPORT OF FOREIGN PRIVATE ISSUER UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: June 26, 2013 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| June 26, 2013 |
Exhibit 99.1 |
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| June 19, 2013 |
EX-99.5 6 v347760ex99-5.htm EXHIBIT 99.5 Exhibit 99.5 |
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| June 19, 2013 |
Results of Continuing Operations Exhibit 99.2 Results of Continuing Operations The following discussion solely reflects results from continuing operations, unless otherwise noted. Year Ended December 31, 2012 and Year Ended December 31, 2011 The following table presents the results of operations of the Company for the years ended December 31, 2012 and December 31, 2011 (amounts in thousands). Year Ended December 31, 2012 Year End |
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| June 19, 2013 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: June 18, 2013 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| June 19, 2013 |
EX-99.1 2 v347760ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 NEWLEAD HOLDINGS LTD. CONSOLIDATED BALANCE SHEETS (All amounts expressed in thousands of U.S. dollars except share amounts) As of December 31, As of December 31, 2012 2011 (unaudited) ASSETS Current assets Cash and cash equivalents $ 1,043 $ 5,119 Restricted cash 1,311 250 Trade receivables, net 3,586 12,522 Other receivables 4,980 3,398 Due fr |
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| June 19, 2013 |
Exhibit 99.4 |
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| June 19, 2013 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: June 19, 2013 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| June 19, 2013 |
NewLead Holdings Ltd. Agrees to Annul Transaction for Contribution of Nickel Exhibit 99.3 NewLead Holdings Ltd. Agrees to Annul Transaction for Contribution of Nickel PIRAEUS, GREECE, June 7, 2013 - NewLead Holdings Ltd. (NASDAQ: NEWL) (“NewLead”) today announced that the Company agreed to unwind the transaction whereby 3,750 grams of nickel wire had been contributed to NewLead in exchange for 258,536,585 shares of common stock of NewLead. As previously disclosed in a Form |
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| June 19, 2013 |
Exhibit 99.6 |
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| May 22, 2013 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: May 22, 2013 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of p |
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| May 22, 2013 |
NewLead Holdings Ltd. Receives NASDAQ Notice of Non-Compliance EX-99.1 2 v345964ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 NewLead Holdings Ltd. Receives NASDAQ Notice of Non-Compliance PIRAEUS, GREECE, May 22, 2013 - NewLead Holdings Ltd. (NASDAQ: NEWL) (“NewLead” or “the Company”) today announced that on May 16, 2013 it received a letter from the NASDAQ Stock Market LLC (“NASDAQ”) stating that the Company is not in compliance with NASDAQ Listing Rule 5250(c)(1) b |
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| May 15, 2013 |
Current Report of Foreign Issuer - REPORT OF FOREIGN PRIVATE ISSUER UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: May 15, 2013 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of p |
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| May 1, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ¨ Form 10-K x Form 20-F ¨ Form 11-K ¨ Form 10-Q ¨ Form 10-D ¨ Form N-SAR ¨ Form N-CSR For Period Ended: December 31, 2012 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ Transition Report on Form 10-Q ¨ Transition Report o |
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| April 12, 2013 |
NEWLF / NewLead Holdings, Ltd. / Prime Shipping Holding Ltd - SC 13D Activist Investment Schedule 13D CUSIP No. G64626115 Page 1 of 9 Pages UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* NewLead Holdings, Ltd. (Name of the Issuer) Common Shares, par value $.01 per share (Title of Class of Securities) G64626115 (CUSIP Number) Prime Shipping Holding Ltd 17-21B Agias Zonis Street, Eleni Cour |
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| April 12, 2013 |
Schedule 13D CUSIP No. G64626115 Page 9 of 9 Pages Exhibit 99.1 JOINT FILING AGREEMENT This will confirm the agreement by and among the undersigned that the Schedule 13D filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial ownership by the undersigned of the common shares, $.01 par value (the “Common Shares”), of NewLead Holdings, Ltd., a Ber |
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| April 9, 2013 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: April 9, 2013 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| April 9, 2013 |
NewLead Holdings Ltd. Receives NASDAQ Notification Letter Regarding Minimum Bid Price Requirement Exhibit 99.1 NewLead Holdings Ltd. Receives NASDAQ Notification Letter Regarding Minimum Bid Price Requirement PIRAEUS, GREECE, April 5, 2013 - NewLead Holdings Ltd. (NASDAQ: NEWL) (“NewLead” or “the Company”) today announced that on April 4, 2013 the Company received a written notification from the NASDAQ Stock Market LLC (“NASDAQ”) indicating that the Company is not in compliance with the NASDAQ |
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| April 5, 2013 |
Exhibit 99.2 |
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| April 5, 2013 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Dated: April 5, 2013 Commission File Number 001-32520 NEWLEAD HOLDINGS LTD. (Translation of registrant’s name into English) NewLead Holdings Ltd. 83 Akti Miaouli & Flessa Str. 185 38 Piraeus Greece (Address of |
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| April 5, 2013 |
Exhibit 99.1 SUPREME COURT OF THE STATE OF NEW YORK COUNTY OF NEW YORK - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - x HANOVER HOLDINGS I, LLC, Plaintiff, v. NEWLEAD HOLDINGS LTD., Defendant. : : : : : : : : : : : Index No. 650964/2013 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - x STIPULATION OF SETTLEMENT Plaintiff, Hanover |
