SEC Form 4 · accession 0001179110-19-002065
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
Feb 14, 2019
Accepted (ET)
Feb 19, 2019 · 3:03 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 | — | — | — | 19,305,581 | D | ||
| Common UnitF4 | holding | — | — | — | 28,141 | I | By Alliance Resource GP, LLC | |
| 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 | — | Feb 14, 2019 | A | 6,479 | A | — | — | Common unit | 6,479 | 242,132 | 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.