SEC Form 4 · accession 0001576369-15-000018
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 11, 2015
Accepted (ET)
Feb 13, 2015 · 3:29 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 | Feb 11, 2015 | M | 13,138 | — | A | 40,167 | D | |
| Common unitsF5 | Feb 11, 2015 | F | 4,605 | $36.44 | D | 35,562 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phanton unitF3,F2,F1 | — | Feb 13, 2015 | A | 242 | A | — | — | Common unit | 242 | 14,212 | D |
| Restricted unitsF4,F3 | — | Feb 11, 2015 | M | 13,138 | D | Feb 11, 2015 | — | Common units | 13,138 | 0 | D |
Explanation of responses
- F1The Phantom Units are to be settled in ARLP common units upon the reporting person's death or termination
- F21 for 1
- F3Not applicable
- F4On January 26, 2015, our Compensation Committee determined that the vesting requirements for the 2012 Long-Term Incentive Plan grants had been satisfied. As a result restricted units were determined to be vested effective January 1, 2015 and subsequently issued on February 11, 2015 based upon an ARLP unit price of $36.44.
- F5Upon vesting, restricted units are withheld by the Partnership for the payment of tax liability at the vesting price of $36.44.