SEC Form 4 · accession 0001179110-16-031576
ALLIANCE RESOURCE PARTNERS LP · ARLP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cary P Marshall
Officer — VP Corporate Finance
Period of report
Nov 14, 2016
Accepted (ET)
Nov 15, 2016 · 11:51 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001086600
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common unit | holding | — | — | — | 13,388 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom unitF3,F2,F1 | — | Nov 14, 2016 | A | 404 | A | — | — | Common unit | 404 | 22,557 | D |
Explanation of responses
- F1The Phantom units are to be settled in ARLP common units upon the reporting person's death or termination.
- F21 for 1
- F3Not applicable