SEC Form 3
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
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1. Name and Address of Reporting Person*
Whelan Timothy J

(Last) (First) (Middle)
1717 SOUTH BOULDER AVENUE
SUITE 400

(Street)
TULSA OK 74119

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
02/08/2018
3. Issuer Name and Ticker or Trading Symbol
ALLIANCE RESOURCE PARTNERS LP [ ARLP ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Senior Vice President Sales
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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 unit 20,223 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
Restricted unit (2) (2) Common unit 39,256 (1) D
Restricted unit (3) (3) Common unit 21,822 (1) D
Restricted unit (4) (4) Common unit 25,100 (1) D
Phantom unit (5) (5) Common unit 5,378 (1) D
Explanation of Responses:
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.
/s/ Timothy Whelan, by Kenneth Hemm, pursuant to power of attorney dated February 6, 2018 02/12/2018
** 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.