SEC Form 4 · accession 0001650549-16-000069
Alliance Holdings GP, L.P. · AHGP
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
May 19, 2016
Accepted (ET)
May 23, 2016 · 5:13 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001344980
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common UnitF5,F3 | May 19, 2016 | J | 41,414 | $0.00 | D | 17,606,536 | I | Through members of 13d group |
| Common UnitF6 | Apr 29, 2016 | J | 114,061 | $0.00 | A | 114,061 | I | Through spouse |
| Common UnitF1 | holding | — | — | — | 20,641,168 | I | By Alliance Resource GP, LLC | |
| Common UnitF2 | holding | — | — | — | 2,463,449 | D | ||
| Common UnitF4 | holding | — | — | — | 315,941 | I | Alliance Management Holdings III, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Joseph W. Craft III ("Craft") indirectly jointly owns 20,641,168 Common Units of AHGP through his joint ownership of Alliance Resource GP, LLC with Kathleen S. Craft.
- F2Held through the JWC III Rev Trust, of which Mr. Craft is trustee.
- F3These AHGP common units are held by certain entities and individuals (some of whom are current or former members of management of ARLP) other than Mr. Craft with whom he may be deemed to comprise a group under Rule 13d-5(b) of the Exchange Act. Mr. Craft disclaims beneficial ownership of the reported securities.
- F4These AHGP common units are held through Alliance Management Holdings III, LLC ("AMH III"), which acquired 600,000 Common Units of AHGP in connection with the AMH Liquidation and the AMH II Liquidation. Mr. Craft is the sole director of AMH III and owns 42.43% of the membership interests in AMH III. Mr. Craft disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interests therein.
- F5The units involved are subject to a Transfer Restrictions Agreement that may cause the holders to comprise a group under Exchange Act Rule 13d-5(b). A special committee of the board of directors of Alliance GP, LLC, the general partner of AHGP, authorized the release from the restrictions of the Transfer Restrictions Agreement of certain units of each holder that is subject to the agreement. The units "disposed of" reflected in column 4 are units so released. Mr. Craft is not selling these or any other AHGP units.
- F6Mr. Craft acquired beneficial ownership of these units upon his marriage to the owner of the units on April 29, 2016.