SEC Form 4 · accession 0001179110-19-002068
ALLIANCE RESOURCE PARTNERS LP · ARLP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles R Wesley
Officer — Executive Vice President · Director
Period of report
Feb 14, 2019
Accepted (ET)
Feb 19, 2019 · 3:06 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 unitF4 | holding | — | — | — | 1,035,728 | D | ||
| Common unitF5 | holding | — | — | — | 635,618 | I | By Wesley Family LP | |
| Common unitF6 | holding | — | — | — | 167,116 | I | By Trust | |
| Common unitF7 | holding | — | — | — | 1,035,729 | I | By Trust | |
| Common unitF8 | holding | — | — | — | 715,506 | I | By Trust | |
| Common unitF9 | holding | — | — | — | 715,506 | I | By Trust |
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 | 3,098 | A | — | — | Common unit | 3,098 | 115,788 | 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.
- F4Units held by the Charles Wesley Revocable Trust U/A dated 3/28/2006, which Charles R. Wesley III is trustee.
- F5Units held by the Wesley Family LP, which Charles R. Wesley III is trustee.
- F6Units held by the Charles R. Wesley Family Trust Irrevocable Trust Agreement, which Nancy Wesley is trustee.
- F7Units held by the Nancy Wesley Revocable Trust U/A dated 03/28/2006, which Nancy Wesley is trustee.
- F8Units held by the Charles Wesley 2016 Retained Annuity Trust, which Jeffrey Burns is trustee.
- F9Units held by the Nancy Wesley 2016 Retained Annuity Trust, which Jeffrey Burns is trustee.