SEC Form 4 · accession 0001179110-17-014177
ALLIANCE RESOURCE PARTNERS LP · ARLP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph W Craft III
Officer — President and Chief Executive · Director · 10% Owner
Period of report
Nov 14, 2017
Accepted (ET)
Nov 16, 2017 · 9:04 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 UnitF4 | holding | — | — | — | 87,188,338 | I | By Alliance Holdings GP, L.P. | |
| Common UnitF4 | holding | — | — | — | 7,181 | I | By Alliance Resource GP, LLC | |
| Common Unit | holding | — | — | — | 357,452 | D | ||
| Common Unit | holding | — | — | — | 2,000 | I | By son |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom unitF3,F1,F2 | — | Nov 14, 2017 | A | 5,416 | A | — | — | Common unit | 5,416 | 211,751 | D |
Explanation of responses
- F11 for 1
- F2The Phantom units are to be settled in ARLP common units upon the reporting person's death or termination.
- F3Not applicable
- F4Mr. Craft indirectly wholly owns Alliance GP, LLC, the general partner of Alliance Holdings GP, L.P. ("AHGP"), which wholly owns MGP II, LLC ("MGP II"), the owner of 56,100,000 common units of ARLP, and directly owns 31,088,338 common units of ARLP. Mr. Craft and Kathleen S. Craft jointly own Alliance Resource GP, LLC ("SGP"). Mr. Craft disclaims beneficial ownership of the common units of ARLP held by AHGP, MGP II and SGP except to the extent of his pecuniary interest therein.