Statement of Changes in Beneficial Ownership (4)
December 21 2020 - 10:25AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
WYNNE THOMAS M |
2. Issuer Name and Ticker or Trading Symbol
ALLIANCE RESOURCE PARTNERS LP
[
ARLP
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Senior Vice President and COO |
(Last)
(First)
(Middle)
1717 S. BOULDER AVENUE, SUITE 400 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/17/2020 |
(Street)
TULSA, OK 74119
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common units | | | | | | | | 774894.9292 | D (4) | |
Common units | | | | | | | | 99745 | I | By Trust (5) |
Common units | | | | | | | | 251291 | I | By Wynne Family LP (6) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted unit | (1) | 12/18/2020 | | J | | | 34890 | (2) | (3) | Common unit | 34890 | (3) | 0 | D | |
Restricted unit | (1) | 12/17/2020 | | A | | 38849 | | (7) | (3) | Common unit | 38849 | (3) | 101629 | D | |
Explanation of Responses: |
(1) | 1 for 1 |
(2) | All non-vested restricted units originally due to vest on January 1, 2021 under ARLP's Long-Term Incentive Plan were settled in cash on December 18, 2020 rather than common units as originally contemplated. |
(3) | Not applicable |
(4) | Units held by the Thomas M. Wynne Revocable Trust, which Mr. Wynne is trustee. |
(5) | Units held by the Thomas M. Wynne Family Trust. Thomas P. Wynne is the trustee of the trust. |
(6) | Units held by Wynne Family LP. |
(7) | The restricted units will vest on January 1, 2023 provided that the issuer meets certain financial tests. Once vested, the restricted units are expected to be settled in ARLP units. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
WYNNE THOMAS M 1717 S. BOULDER AVENUE SUITE 400 TULSA, OK 74119 |
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| Senior Vice President and COO |
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Signatures
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/s/ Thomas M. Wynne by Kenneth Hemm, pursuant to power of attorney dated April 11, 2013 | | 12/21/2020 |
**Signature of Reporting Person | Date |
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