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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2016-02-24 14:57:01
Reporting Period:
Filing Date:
Accepted Time:
2016-02-24 14:57:01
Original Submission Date:
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
1086600 Alliance Resource Partners Lp ARLP Bituminous Coal & Lignite Surface Mining (1221) 731564280
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1173893 Iii W Joseph Craft 1717 S. Boulder Avenue
Suite 400
Tulsa OK 74119
President And Chief Executive Yes Yes Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Unit Disposition 2011-11-10 357,450 $36.90 357,452 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Unit Phantom unit Acquisiton 2011-11-14 1,616 $0.00 1,616 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
126,728 No 4 A Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Unit 2,000 Indirect By son
Common Unit 31,088,338 Indirect By Alliance Holdings GP, L.P.
  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.