NEWL - NEWLEAD HOLDINGS LTD.
Form 20-F Period: DEC.31.15 Date Filed: MAY.26.16
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  Form 20-F (Entire Filing)

Filing Body

Page 1: UNITED STATES

Page 2: Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of

Page 3: N/A

Page 4: CAUTIONARY STATEMENT REGARDING FORWARD-LOOKING STATEMENTS

Page 5: PART I

Page 6: N/A

Page 7: Company Specific Risk Factors

Page 8: N/A

Page 9: We are highly leveraged, anticipate that we will continue to have a high degree of leverage, and may

Page 10: We have historically derived a significant part of our revenue from a small number of charterers.

Page 11: Our vessels may be subject to periods of off-hire, which could materially adversely affect our busin

Page 12: The operation of oil tanker/asphalt carriers involves certain unique operational risks.

Page 13: If we are unable to fund our capital expenditures, we may not be able to operate our vessels, which

Page 14: It may not be possible for investors to enforce U.S. judgments against us.

Page 15: Being a foreign private issuer exempts us from certain SEC requirements.

Page 16: Industry Specific Risk Factors

Page 17: N/A

Page 18: Downturns in the oil tanker/asphalt carriers and dry bulk vessels charter markets may have an advers

Page 19: Changes in the economic and political environment in China and policies adopted by the government to

Page 20: The instability of the euro or the inability of countries to refinance their debts could have a mate

Page 21: An oversupply of dry bulk vessel capacity may lead to further reductions in charter rates, and dispr

Page 22: N/A

Page 23: Increases in fuel, or bunker prices, may adversely affect profits.

Page 24: We are subject to complex laws and regulations, including environmental and safety laws and regulati

Page 25: We could incur material liabilities, including cleanup obligations and natural resource damages, in

Page 26: Climate change and government laws and regulations related to climate change could negatively impact

Page 27: N/A

Page 28: We are subject to international safety regulations and the failure to comply with these regulations

Page 29: Our vessels and/or the cargoes carried on board our vessels may suffer damage due to the inherent op

Page 30: Our insurance may not be adequate to cover our losses that may result from our operations, which are

Page 31: Labor interruptions could disrupt our business.

Page 32: We are subject to vessel security regulations and will incur costs to comply with recently adopted r

Page 33: N/A

Page 34: N/A

Page 35: We rely on our information systems to conduct our business, and failure to protect these systems aga

Page 36: Risks Relating to Our Coal Business

Page 37: Trends within the coal industry could put downward pressure on coal prices and, as a result, materia

Page 38: Changes in the export and import markets for coal products

Page 39: Extensive environmental regulations, including existing and potential future regulatory requirements

Page 40: Our ability to collect payments from our customers could be impaired if their creditworthiness deter

Page 41: Risks Relating to Our Common Shares

Page 42: Risks relating to our Series A-1 and Series B Preference Shares

Page 43: Our ability to pay dividends on and to redeem our Series A-1 and B Preference Shares is limited unde

Page 44: Name Change and Amended Bye-Laws

Page 45: N/A

Page 46: THE SHIPPING INDUSTRY

Page 47: International Maritime Organization

Page 48: N/A

Page 49: Ballast Water Requirements

Page 50: Safety Requirements

Page 51: Oil Pollution Liability

Page 52: United States Requirements

Page 53: N/A

Page 54: Additional U.S. Environmental Requirements

Page 55: European Union Restrictions

Page 56: Vessel Security Regulations

Page 57: Exchange Act Section 13(r) Activities

Page 58: The oil tanker/asphalt and

Page 59: N/A

Page 60: COAL BUSINESS

Page 61: Coal Pricing Trends, Uncertainties and Outlook

Page 62: Mining Permits and Approvals

Page 63: Surety Bonds

Page 64: N/A

Page 65: Black Lung Legislation

Page 66: N/A

Page 67: Climate Change

Page 68: Clean Water Act

Page 69: N/A

Page 70: Resource Conservation and Recovery Act

Page 71: Endangered Species

Page 72: N/A

Page 73: N/A

Page 74: Viking Mine

Page 75: Equipment, Infrastructure and Other Facilities

Page 76: Previous Operations

Page 77: Item 5. Operating and Financial Review and Prospects

Page 78: Overview

Page 79: Important Factors to Consider When Evaluating Our Historical and Future Results of Operations

Page 80: Principal Factors that Affect Our Shipping Business

Page 81: Commissions

Page 82: Amortization of Special Survey and Dry-docking Costs

Page 83: Use of Estimates

Page 84: Share-based Compensation

Page 85: Results of Continuing Operations

Page 86: Voyage Expenses

Page 87: Other

Page 88: Year Ended December 31, 2014 and Year Ended December 31, 2013

Page 89: Vessel Operating Expenses

Page 90: Other income, net

Page 91: Overview

Page 92: Net cash

Page 93: Indebtedness

Page 94: (b) Portigon AG (formerly, West LB Bank) Credit Facility

Page 95: Convertible Notes

Page 96: (3) Financial Institutions 8%

Page 97: (5) 10% Notes

Page 98: Sale and Lease back

Page 99: EBITDA and adjusted EBITDA reconciliation to Net Loss

Page 100: C. Research and Development, Patents and Licenses

Page 101: N/A

Page 102: Commitments

Page 103: Recent Accounting Pronouncements

Page 104: Item 6. Directors, Senior Management and Employees

Page 105: Panagiotis Skiadas

Page 106: N/A

Page 107: N/A

Page 108: Board Classes

Page 109: N/A

Page 110: Item 7. Major Shareholders and Related Party Transactions

Page 111: Item 8. Financial Information

Page 112: Dividend Policy

Page 113: Item 9. The Offer and Listing

Page 114: Item 10. Additional Information

Page 115: N/A

Page 116: Alteration of Share Capital

Page 117: Treasury Shares

Page 118: Business Combinations

Page 119: Amendments to Bye-Laws

Page 120: N/A

Page 121: N/A

Page 122: D. Exchange controls

Page 123: Bermuda Tax Considerations

Page 124: United States Federal Income Taxation of Our Company

Page 125: Taxation in the Absence of Section 883 Exemption

Page 126: United States Taxation of Gain on Sale of Vessels

Page 127: Sale, Exchange or other Disposition of Common Shares

Page 128: Taxation of U.S. Holders Making a Timely QEF Election

Page 129: Taxation of U.S. Holders Not Making a Timely QEF or Mark-to-Market Election

Page 130: Dividends on Common Shares

Page 131: Information Reporting Regarding Non-U.S. Accounts

Page 132: Item 11. Quantitative and Qualitative Disclosures about Market Risk

Page 133: PART II

Page 134: Item 15. Controls and Procedures

Page 135: (c) Attestation report of the independent registered public accounting firm

Page 136: Item 16. [Reserved]

Page 137: Item 16G. Corporate Governance

Page 138: N/A

Page 139: Item 16H. Mine Safety Disclosure

Page 140: PART III

Page 141: N/A

Page 142: N/A

Page 143: N/A

Page 144: N/A

Page 145: N/A

Page 146: N/A

Page 147: N/A

Page 148: INDEX TO THE CONSOLIDATED FINANCIAL STATEMENTS

Page 149: N/A

Page 150: N/A

Page 151: N/A

Page 152: N/A

Page 153: N/A

Page 154: N/A

Page 155: N/A

Page 156: N/A

Page 157: Going concern

Page 158: N/A

Page 159: N/A

Page 160: N/A

Page 161: Basis of Presentation:

Page 162: Restricted Cash:

Page 163: Assets Held for Sale/Discontinued Operations:

Page 164: Mining Exploration and Development Costs:

Page 165: Discontinued

Page 166: Backlog Asset/Deferred Charter Revenue:

Page 167: Accounting for Available for Sale Investments:

Page 168: Accounting for Revenue and Expenses:

Page 169: Repairs and Maintenance:

Page 170: Loss per Share:

Page 171: N/A

Page 172: Acquisition of the Nepheli Marine Company, Aeolus Compania Naviera S.A. and Kastro Compania Naviera

Page 173: Acquisition of the Kentucky Property-Five Mile

Page 174: Acquisition of Viking Acquisition Group LLC and Viking Prep Plant LLC

Page 175: N/A

Page 176: N/A

Page 177: N/A

Page 178: Goodwill Impairment

Page 179: Acquisition of vessels

Page 180: N/A

Page 181: N/A

Page 182: N/A

Page 183: N/A

Page 184: N/A

Page 185: Other Information

Page 186: N/A

Page 187: N/A

Page 188: N/A

Page 189: N/A

Page 190: N/A

Page 191: N/A

Page 192: N/A

Page 193: N/A

Page 194: Sale and Lease back

Page 195: Annual Future Minimum Lease Payments

Page 196: N/A

Page 197: N/A

Page 198: Segment Operating Revenue

Page 199: Equity Incentive Plan

Page 200: Employment and Severance Agreements

Page 201: N/A

Page 202: Share options

Page 203: Preference Shares

Page 204: N/A

Page 205: Dividends

Page 206: Fair Values

Page 207: Interest Rate Swaps

Page 208: N/A

Page 209: Warrants

Page 210: Concentration of Credit Risk

Page 211: Rental Agreements

Page 212: Joint Venture (26%) Contingencies

Page 213: N/A

Page 214: Terra Stabile S.A./Terra Norma S.A.

Page 215: N/A

Page 216: N/A

Page 217: N/A

Page 218: Asset Retirement Obligations

Page 219: N/A

Page 220: N/A

Page 221: SIGNATURES

Exhibits

Interactive Data

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