SEC Form 4 · accession 0001179110-19-002069
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
Feb 14, 2019
Accepted (ET)
Feb 19, 2019 · 3:07 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 unitsF4 | holding | — | — | — | 774,895 | D | ||
| Common unitsF5 | holding | — | — | — | 99,745 | I | By Trust | |
| Common unitsF6 | holding | — | — | — | 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 unitF3,F1,F2 | — | Feb 14, 2019 | A | 901 | A | — | — | Common unit | 901 | 33,668 | 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 Thomas M. Wynne Revocable Trust, which Mr. Wynne is trustee.
- F5Units held by the Thomas M. Wynne Family Trust. Thomas P. Wynne is the trustee of the trust.
- F6Units held by Wynne Family LP.