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ALLIANCE RESOURCE PARTNERS LP — Director's Dealing 2018
Jun 4, 2018
31325_dirs_2018-06-04_3c7975f7-17bb-4159-a7c2-a6fdd7c9ea53.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ALLIANCE RESOURCE PARTNERS LP (ARLP)
CIK: 0001086600
Period of Report: 2018-05-31
Reporting Person: WESLEY CHARLES R (Director, Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-05-31 | Common Unit | A | 1035728 | — | Acquired | 1035728 | Direct |
| 2018-05-31 | Common Unit | A | 635618 | — | Acquired | 635618 | Indirect |
| 2018-05-31 | Common Unit | A | 167116 | — | Acquired | 167116 | Indirect |
| 2018-05-31 | Common Unit | A | 1035729 | — | Acquired | 1035729 | Indirect |
| 2018-05-31 | Common Unit | A | 715506 | — | Acquired | 715506 | Indirect |
| 2018-05-31 | Common Unit | A | 715506 | — | Acquired | 715506 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom unit | $ | Common unit (106949) | 106949 | Direct |
Footnotes
F1: The common units were acquired as consideration for the AHGP common units held by the reporting person immediately prior to the effectiveness of the transactions contemplated by the Simplification Agreement dated February 22, 2018 (the "Simplification Agreement"). Pursuant to the Simplification Agreement, all AHGP common units were canceled and converted into the right to receive all of the ARLP common units held by AHGP and its subsidiaries on May 31, 2018. Based on a formula calculated pursuant to the Simplification Agreement, the exchange ratio was 1.478181161 ARLP common units for each AHGP common unit.
F2: Units held by the Charles Wesley Revocable Trust U/A dated 3/28/2006, which Charles R. Wesley III is trustee.
F3: Units held by the Wesley Family LP, which Charles R. Wesley III is trustee.
F4: Units held by the Charles R. Wesley Family Trust Irrevocable Trust Agreement, which Nancy Wesley is trustee.
F5: Units held by the Nancy Wesley Revocable Trust U/A dated 03/28/2006, which Nancy Wesley is trustee.
F6: Units held by the Charles Wesley 2016 Retained Annuity Trust, which Jeffrey Burns is trustee
F7: Units held by the Nancy Wesley 2016 Retained Annuity Trust, which Jeffrey Burns is trustee.
F8: 1 for 1
F9: The Phantom Units are to be settled in ARLP common units upon the reporting person's death or termination
F10: Not applicable