SEC Form 4 · accession 0001179110-18-008010
ALLIANCE RESOURCE PARTNERS LP · ARLP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas M Wynne
Officer — Senior Vice President and COO
Period of report
May 31, 2018
Accepted (ET)
Jun 4, 2018 · 8:13 pm EDT
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 UnitF1,F2 | May 31, 2018 | A | 660,816 | — | A | 735,976 | D | |
| Common UnitF1,F3 | May 31, 2018 | A | 99,745 | — | A | 99,745 | I | By Trust |
| Common UnitF1,F4 | May 31, 2018 | A | 251,291 | — | A | 251,291 | I | By Wynne Family LP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom unitF5,F6,F7 | — | holding | — | — | — | — | — | Common unit | 28,880 | 28,880 | D |
Explanation of responses
- F1The common units were acquired as consideration for the AHGP common units held by the reporting person immediately prior to the effectiveness of the transactions contemplated by the Simplification Agreement dated February 22, 2018 (the "Simplification Agreement"). Pursuant to the Simplification Agreement, all AHGP common units were canceled and converted into the right to receive all of the ARLP common units held by AHGP and its subsidiaries on May 31, 2018. Based on a formula calculated pursuant to the Simplification Agreement, the exchange ratio was 1.478181161 ARLP common units for each AHGP common unit.
- F2Units held by the Thomas M. Wynne Revocable Trust, which Mr. Wynne is trustee.
- F3Units held by the Thomas M. Wynne Family Trust. Thomas P. Wynne is the trustee of the trust.
- F4Units held by Wynne Family LP.
- F51 for 1
- F6The Phantom Units are to be settled in ARLP common units upon the reporting person's death or termination
- F7Not applicable