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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom unit | (2) | 11/14/2011 | A | 1,616 (7) | (1) | (3) | Common unit | 1,616 (7) | (3) | 126,728 (7) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CRAFT JOSEPH W III 1717 S. BOULDER AVENUE SUITE 400 TULSA, OK 74119 |
X | X | President and Chief Executive |
Joseph W. Craft by Kenneth Hemm, pursuant to power of attorney dated April 10, 2013 | 02/24/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The Phantom units are to be settled in cash upon the reporting person's death or termination. |
(2) | 1 for 1 |
(3) | Not applicable |
(4) | The 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. |
(5) | Represents 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. |
(6) | The 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. |
(7) | The units have been adjusted to reflect a unit split that occurred on June 16, 2014. |
(8) | This price has been adjusted to reflect a unit split that occurred on June 16, 2014. |