SEC Form 4 · accession 0001179110-18-010560
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
Aug 14, 2018
Accepted (ET)
Aug 14, 2018 · 12:19 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 UnitF4 | holding | — | — | — | 28,141 | I | By Alliance Resource GP, LLC | |
| Common Unit | holding | — | — | — | 19,254,567 | D | ||
| Common Unit | holding | — | — | — | 2,000 | I | By son | |
| Common Unit | holding | — | — | — | 168,602 | I | Through spouse |
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 | — | Aug 14, 2018 | A | 5,818 | A | — | — | Common unit | 5,818 | 229,468 | 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 and Kathleen S. Craft jointly own Alliance Resource GP, LLC ("SGP"). Mr. Craft disclaims beneficial ownership of the common units of ARLP held by SGP except to the extent of his pecuniary interest therein.