SEC Form 4 · accession 0001179110-19-001445
ALLIANCE RESOURCE PARTNERS LP · ARLP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy J Whelan
Officer — Senior Vice President Sales
Period of report
Feb 4, 2019
Accepted (ET)
Feb 6, 2019 · 5:32 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 unit | holding | — | — | — | 23,226 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted unitF3,F1,F2 | — | Feb 4, 2019 | A | 27,949 | A | — | — | Common Unit | 27,949 | 27,949 | D |
Explanation of responses
- F11 for 1
- F2The restricted units will vest on January 1, 2022 provided that the issuer meets certain financial tests. Once vested, the restricted units are to be settled in ARLP units.
- F3Not applicable