UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Craft Kathleen S. 4401 OAK ROAD TULSA, OK 74105 |
 |  X |  |  |
/s/ Kathleen S. Craft by Mindy Kerber, pursuant to power of attorney dated November 11, 2011 | 07/02/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | This amendment to the Initial Statement of Beneficial Ownership of Securities on Form 3, filed with the Securities and Exchange Commission on June 5, 2018, is being filed to correct the original Form 3 by correcting the number of common units held directly through the Kathleen S. Craft Revocable Trust, of which Kathleen S. Craft is trustee, and the number of common units held indirectly through Alliance Resource GP, LLC ("SGP"). |
(2) | Held through the Kathleen S. Craft Revocable Trust, of which Kathleen S. Craft is trustee. |
(3) | Held by SGP, which is jointly owned by Ms. Craft and Joseph W. Craft III. Ms. Craft disclaims beneficial ownership of the common units of ARLP held by SGP except to the extent of her pecuniary interest therein. |