SEC Form 4/A · accession 0001650549-16-000054
ALLIANCE RESOURCE PARTNERS LP · ARLP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Joseph W Craft III
Officer — President and Chief Executive · Director · 10% Owner
Period of report
Nov 10, 2011
Accepted (ET)
Feb 24, 2016 · 2:57 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 UnitF6,F5,F7,F8 | Nov 10, 2011 | S | 357,450 | $36.895 | D | 357,452 | D | |
| Common UnitF7 | holding | — | — | — | 2,000 | I | By son | |
| Common UnitF7,F4 | holding | — | — | — | 31,088,338 | I | By Alliance Holdings GP, L.P. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom unitF7,F3,F2,F1 | — | Nov 14, 2011 | A | 1,616 | A | — | — | Common unit | 1,616 | 126,728 | D |
Explanation of responses
- F1The Phantom units are to be settled in cash upon the reporting person's death or termination.
- F21 for 1
- F3Not applicable
- F4The reporting person indirectly holds 31,088,338 Common Units of ARLP though Alliance Holdings GP, L.P. ("AHGP"). Mr. Craft is a director, and through his ownership of C-Holdings, LLC, the sole owner of Alliance GP, LLC, the general partner of AHGP., and holds, directly or indirectly, a majority of the outstanding AHGP Common Units. Mr. Craft disclaims beneficial ownership of the Common Units of ARLP held by AHGP except to the extent of his pecuniary interest therein.
- F5Represents units transferred to Mr. Craft's ex-spouse pursuant to a divorce decree. The securities owned by the ex-spouse are not beneficially owned by Mr. Craft.
- F6The disposition of these units were omitted from Mr. Craft's Form 4 filed on November 14, 2011, and also were omitted from 22 Forms 4 filed by Mr. Craft after his November 14, 2011 Form 4 was filed.
- F7The units have been adjusted to reflect a unit split that occurred on June 16, 2014.
- F8This price has been adjusted to reflect a unit split that occurred on June 16, 2014.