SEC Form 4 · accession 0001209191-17-031019
Atlas Energy Group, LLC · ATLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan Z Cohen
Officer — Executive Chairman · Director
Period of report
May 5, 2017
Accepted (ET)
May 9, 2017 · 5:10 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001623595
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common UnitsF1,F2 | May 5, 2017 | C | 812,803 | — | A | 1,350,995 | D | |
| Common UnitsF1,F3 | May 5, 2017 | C | 812,803 | — | A | 1,372,366 | I | By Foundation |
| Common UnitsF4 | holding | — | — | — | 33,636 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Preferred UnitsF1 | — | May 5, 2017 | C | 260,097 | D | — | — | Common Units | 812,803 | 0 | D |
| Series A Preferred UnitsF3,F1 | — | May 5, 2017 | C | 260,097 | D | — | — | Common Units | 812,803 | 0 | I |
Explanation of responses
- F1The Series A preferred units were convertible into common units of the Issuer for no additional consideration at the option of the Reporting Person on a 3.125 to 1 basis, and had no expiration date.
- F2This amount includes 450,000 common units underlying the equivalent number of phantom units.
- F3The Reporting Person is a co-trustee of Arete Foundation, a charitable foundation. The Reporting Person disclaims beneficial ownership of these units.
- F4The Reporting Person is a co-trustee and co-beneficiary of the trust.