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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 | (8) | (9) | (10) | Common unit | 106,949 | 106,949 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WESLEY CHARLES R 1717 S. BOULDER AVENUE SUITE 400 TULSA, OK 74119 |
X | Executive Vice President |
/s/ Charles R. Wesley III by Kenneth Hemm, pursuant to power of attorney dated April 11, 2013 | 06/04/2018 | |
**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 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. |
(2) | Units held by the Charles Wesley Revocable Trust U/A dated 3/28/2006, which Charles R. Wesley III is trustee. |
(3) | Units held by the Wesley Family LP, which Charles R. Wesley III is trustee. |
(4) | Units held by the Charles R. Wesley Family Trust Irrevocable Trust Agreement, which Nancy Wesley is trustee. |
(5) | Units held by the Nancy Wesley Revocable Trust U/A dated 03/28/2006, which Nancy Wesley is trustee. |
(6) | Units held by the Charles Wesley 2016 Retained Annuity Trust, which Jeffrey Burns is trustee |
(7) | Units held by the Nancy Wesley 2016 Retained Annuity Trust, which Jeffrey Burns is trustee. |
(8) | 1 for 1 |
(9) | The Phantom Units are to be settled in ARLP common units upon the reporting person's death or termination |
(10) | Not applicable |