FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 07/12/2010 |
3. Issuer Name and Ticker or Trading Symbol
Oxford Resource Partners LP [ OXF ] |
|||||||||||||
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Units (limited partner interests)(1) | 17,446(2) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
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: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Phantom Units | 03/31/2011 | (3) | Common Units(1) | 7,423(4) | (3) | D | |
Phantom Units | (5) | (3) | Common Units(1) | 11,238(6) | (3) | D |
Explanation of Responses: |
1. Prior to the initial public offering of the Issuer's common units, the common units were designated as Class A Common Units. |
2. Does not give effect to the split of one common unit for approximately 1.82 common units that will occur in connection with the initial public offering of the common units, which will result in the Reporting Person holding 31,769 common units. |
3. The phantom units do not expire. The phantom units are settled upon vesting in common units (on a one for one basis) or cash, at the discretion of the Issuer. |
4. Does not give effect to the split of one common unit for approximately 1.82 common units that will occur in connection with the initial public offering of the common units, which will result in the Reporting Person holding 13,517 phantom units. |
5. One-third of the phantom units will vest on each of 1/1/2011, 1/1/2012 and 1/1/2013. |
6. Does not give effect to the split of one common unit for approximately 1.82 common units that will occur in connection with the initial public offering of the common units, which will result in the Reporting Person holding 20,464 phantom units. |
Remarks: |
Mr. Gutman is Senior Vice President, Chief Financial Officer and Treasurer of Oxford Resources GP, LLC, the general partner of the Issuer. |
/s/ Jeffrey M. Gutman | 07/12/2010 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |