SEC Form 4 · accession 0001179110-17-001279
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
Feb 12, 2016
Accepted (ET)
Jan 27, 2017 · 12:15 pm 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 unitF4 | Feb 12, 2016 | J | 564 | $15.24 | A | 13,952 | 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 | — | Jan 25, 2017 | A | 442 | A | — | — | Common unit | 442 | 22,999 | 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
- F4Represents a purchase of common units in the open market resulting from Mr. Marshall's reinvestment of distributions paid on common units. The common unit price reported is a weighted average price. These common units were purchased in four transactions during the 2016 fiscal year at a per unit price equal to $10.93, $14.99, $18.57 and $24.82, respectively.