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 | ||||
Restricted unit | Â (2) | Â (2) | Common unit | 39,256 | $ (1) | D | Â |
Restricted unit | Â (3) | Â (3) | Common unit | 21,822 | $ (1) | D | Â |
Restricted unit | Â (4) | Â (4) | Common unit | 25,100 | $ (1) | D | Â |
Phantom unit | Â (5) | Â (5) | Common unit | 5,378 | $ (1) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Whelan Timothy J 1717 SOUTH BOULDER AVENUE SUITE 400 TULSA, OK 74119 |
 |  |  Senior Vice President Sales |  |
/s/ Timothy Whelan, by Kenneth Hemm, pursuant to power of attorney dated February 6, 2018 | 02/12/2018 | |
**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) | 1 for 1 |
(2) | The restricted units will vest on January 1, 2019 provided that the issuer meets certain financial tests. Once vested, the restricted units are to be settled in ARLP units. |
(3) | The restricted units will vest on January 1, 2020 provided that the issuer meets certain financial tests. Once vested, the restricted units are to be settled in ARLP units. |
(4) | The restricted units will vest on January 1, 2021 provided that the issuer meets certain financial tests. Once vested, the restricted units are to be settled in ARLP units. |
(5) | The Phantom units are to be settled in ARLP common units upon the reporting person's death or termination. |