UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1)
ALLIANCE HOLDINGS GP, L.P.
(Name of Issuer)
Common Units
(Title of Class of Securities)
0 1861G10 0
(CUSIP Number)
1717 South Boulder Avenue, Suite 400
Tulsa, Oklahoma 74119
(918) 295-7600
with a copy to:
R. Eberley Davis
Senior Vice President,
General Counsel and Secretary
of Alliance GP, LLC
(the general partner of Alliance Holdings GP, L.P.)
1717 South Boulder Avenue, Suite 400
Tulsa, Oklahoma 74119
(918) 295-7600
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
June 13, 2006
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box.
Note: Schedules filed in paper format shall include a signed original and five copies of this schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent.
* | The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. |
The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP NO. 01861G10 0 |
13D | Page 2 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Joseph W. Craft III |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) x (b) ¨ |
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3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
30,846,506 Common Units1 | |
8 SHARED VOTING POWER
15,0002 | ||
9 SOLE DISPOSITIVE POWER
30,846,506 Common Units1 | ||
10 SHARED DISPOSITIVE POWER
17,031,494 Common Units2,3 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
47,878,000 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
80.0% |
|||
14 | TYPE OF REPORTING PERSON*
IN |
* SEE INSTRUCTIONS
1 |
Comprised of (i) 9,605,338 Common Units held by Joseph W. Craft III (Craft) individually and through a Craft grantor retained annuity trust; (ii) 20,641,168 Common Units held by Alliance Resource GP, LLC (of which Craft is the indirect sole owner and President, Chief Executive Officer and sole Director); and (ii) 600,000 Common Units held by Alliance Management Holdings III, LLC (of which Craft is President and Director). |
2 |
Craft may be deemed to share dispositive and voting power with respect to 15,000 Common Units held by the Joseph W. Craft III Foundation, a charitable foundation of which Craft is co-trustee. The filing of this statement shall not be deemed an admission that Craft beneficially owns such shares. |
3 |
Craft may be deemed to share dispositive power with the Non-Craft Controlled Reporting Persons (as defined in Item 2 of this Statement on Schedule 13D) with respect to an aggregate of 17,016,494 Common Units held by such Non-Craft Controlled Reporting Persons as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). The filing of this statement shall not be deemed an admission that Craft beneficially owns such shares. |
CUSIP NO. 01861G10 0 |
13D | Page 3 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Joseph W. Craft III Foundation |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) x (b) ¨ |
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3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Oklahoma |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
-0- | |
8 SHARED VOTING POWER
15,000 Common Units4 | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
15,000 Common Units4 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
15,000 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.03% |
|||
14 | TYPE OF REPORTING PERSON*
OO |
* SEE INSTRUCTIONS
4 |
Voting and dispositive power of the 15,000 Common Units held by the Joseph W. Craft III Foundation may be deemed to be shared with Joseph W. Craft III, a co-trustee of the foundation. |
CUSIP NO. 01861G10 0 |
13D | Page 4 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Alliance Resource Holdings II, Inc. |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) x (b) ¨ |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
20,641,168 Common Units5 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
20,641,168 Common Units5 | ||
10 SHARED DISPOSITIVE POWER
-0- |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
20,641,168 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
34.5% |
|||
14 | TYPE OF REPORTING PERSON*
CO |
* SEE INSTRUCTIONS
5 |
Voting and dispositive power with respect to such Common Units is exercised by Joseph W. Craft III. Alliance Resource Holdings II, Inc., which is wholly-owned by Joseph W. Craft III, is the sole shareholder of Alliance Resource Holdings, Inc. Alliance Resource Holdings, Inc. is the sole member of Alliance Resource GP, LLC, the holder of the reported 20,641,168 Common Units. |
CUSIP NO. 01861G10 0 |
13D | Page 5 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Alliance Resource Holdings, Inc. |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) x (b) ¨ |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
20,641,168 Common Units6 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
20,641,168 Common Units6 | ||
10 SHARED DISPOSITIVE POWER
-0- |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
20,641,168 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
34.5% |
|||
14 | TYPE OF REPORTING PERSON*
HC, CO |
* SEE INSTRUCTIONS
6 |
Voting and dispositive power with respect to such Common Units is exercised by Joseph W. Craft III. Alliance Resource Holdings II, Inc., which is wholly-owned by Joseph W. Craft III, is the sole shareholder of Alliance Resource Holdings, Inc, Alliance Resource Holdings, Inc. is the sole member of Alliance Resource GP, LLC, the holder of the reported 20,641,168 Common Units. |
CUSIP NO. 01861G10 0 |
13D | Page 6 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Alliance Resource GP, LLC |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) x (b) ¨ |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
20,641,168 Common Units7 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
20,641,168 Common Unit7 | ||
10 SHARED DISPOSITIVE POWER
-0- |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
20,641,168 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
34.5% |
|||
14 | TYPE OF REPORTING PERSON*
OO |
* SEE INSTRUCTIONS
7 |
Voting and dispositive power with respect to such Common Units is exercised by Joseph W. Craft III. Alliance Resource Holdings II, Inc., which is wholly-owned by Joseph W. Craft III, is the sole shareholder of Alliance Resource Holdings, Inc. Alliance Resource Holdings, Inc. is the sole member of Alliance Resource GP, LLC, the holder of the reported 20,641,168 Common Units. |
CUSIP NO. 01861G10 0 |
13D | Page 7 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Alliance Management Holdings, LLC |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) x (b) ¨ |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
-0-8 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0-8 | ||
10 SHARED DISPOSITIVE POWER
-0- |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0% |
|||
14 | TYPE OF REPORTING PERSON*
HC, OO |
* SEE INSTRUCTIONS
8 |
Effective upon the AMH Liquidation (as defined in Item 3 of this Statement on Schedule 13D), Alliance Management Holdings, LLC ceased to hold any Common Units. |
CUSIP NO. 01861G10 0 |
13D | Page 8 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
AMH II, LLC |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) x (b) ¨ |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
-0-9 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0-9 | ||
10 SHARED DISPOSITIVE POWER
-0- |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0% |
|||
14 | TYPE OF REPORTING PERSON*
HC, OO |
* SEE INSTRUCTIONS
9 |
Effective upon the AMH II Liquidation (as defined in Item 3 of this Statement on Schedule 13D), AMH II, LLC ceased to hold any Common Units. |
CUSIP NO. 01861G10 0 |
13D | Page 9 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
ALLIANCE MANAGEMENT HOLDINGS III, LLC |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) x (b) ¨ |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
600,000 Common Units10 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
600,000 Common Units | ||
10 SHARED DISPOSITIVE POWER10
-0- |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
600,000 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.0% |
|||
14 | TYPE OF REPORTING PERSON*
OO |
* SEE INSTRUCTIONS
10 |
Voting and dispositive power with respect to such Common Units is exercised by Joseph W. Craft III, as sole director of Alliance Management Holdings III, LLC. |
CUSIP NO. 01861G10 0 |
13D | Page 10 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
A. Wellford Tabor (as Trustee under (i) the Joseph W. Craft III 2006
Irrevocable Trust FBO |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
2,211,888 Common Units11 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
2,211,888 Common Units11, 12 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,211,888 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.7% |
|||
14 | TYPE OF REPORTING PERSON*
IN |
* SEE INSTRUCTIONS
11 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the aggregate of 2,211,888 Common Units held by the four trusts identified in Row 1 of this cover page is exercised by A. Wellford Tabor, as trustee of such trusts. |
12 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 11 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006 |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
552,972 Common Units13 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
552,972 Common Units13, 14 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
552,972 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.9% |
|||
14 | TYPE OF REPORTING PERSON*
OO |
* SEE INSTRUCTIONS
13 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by A. Wellford Tabor, as Trustee of the Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006. |
14 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 12 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006 |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
552,972 Common Units15 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
552,972 Common Units15, 16 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
552,972 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.9% |
|||
14 | TYPE OF REPORTING PERSON*
OO |
* SEE INSTRUCTIONS
15 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by A. Wellford Tabor, as Trustee of the Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006. |
16 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 13 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006 |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
552,972 Common Units17 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
552,972 Common Units17, 18 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
552,972 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.9% |
|||
14 | TYPE OF REPORTING PERSON*
OO |
* SEE INSTRUCTIONS
17 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by A. Wellford Tabor, as Trustee of the Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006. |
18 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 14 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006 |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
552,972 Common Units19 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
552,972 Common Units19, 20 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
552,972 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.9% |
|||
14 | TYPE OF REPORTING PERSON*
OO |
* SEE INSTRUCTIONS
19 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by A. Wellford Tabor, as Trustee of the Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006. |
20 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 15 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Charles R. Wesley |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
3,559,625 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
3,559,625 Common Units21 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,559,625 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.9% |
|||
14 | TYPE OF REPORTING PERSON*
IN |
* SEE INSTRUCTIONS
21 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 16 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Nancy Wesley (as Trustee under The Charles R. Wesley Family Trust Irrevocable Trust Agreement, dated March 28, 2006) |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
139,455 Common Units22 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
139,455 Common Units22, 23 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
139,455 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2% |
|||
14 | TYPE OF REPORTING PERSON*
IN |
* SEE INSTRUCTIONS
22 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units held by the trust identified in Row 1 of this cover page is exercised by Nancy Wesley, as trustee of such trust. |
23 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 17 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
The Charles R. Wesley Family Trust Irrevocable Trust Agreement, dated March 28, 2006 |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
139,455 Common Units24 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
139,455 Common Units24, 25 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
139,455 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2% |
|||
14 | TYPE OF REPORTING PERSON*
OO |
* SEE INSTRUCTIONS
24 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by Nancy Wesley, as Trustee under The Charles R. Wesley Family Trust Irrevocable Trust Agreement, dated March 28, 2006. |
25 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 18 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Thomas M. Wynne |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
1,236,894 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
1,236,894 Common Units 26 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,236,894 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.1% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
26 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 19 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Cindy J. Wynne (as Trustee under The Thomas M. Wynne Family Trust Irrevocable Trust Agreement, dated March 28, 2006) |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
67,478 Common Units27 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
67,478 Common Units 27, 28 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
67,478 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
27 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units held by the trust identified in Row 1 of this cover page is exercised by Cindy J. Wynne, as trustee of such trust. |
28 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 20 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
The Thomas M. Wynne Family Trust Irrevocable Trust Agreement, dated March 28, 2006 |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
67,478 Common Units29 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
67,478 Common Units 29, 30 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
67,478 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1% |
|||
14 | TYPE OF REPORTING PERSON *
OO |
* SEE INSTRUCTIONS
29 |
Voting, other than as set forth in the immediately following footnote, and dispositive power with respect to the Common Units is exercised by Cindy J. Wynne, as Trustee under The Thomas M. Wynne Family Trust Irrevocable Trust Agreement, dated March 28, 2006. |
30 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 21 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Thomas L. Pearson |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS*
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
3,574,271 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
3,574,271 Common Units31 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,574,271 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.0% |
|||
14 | TYPE OF REPORTING PERSON*
IN |
* SEE INSTRUCTIONS
31 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 22 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Gary J. Rathburn |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS*
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
793,571 Common Units | |
8 SHARED VOTING POWER
1,800,00032 | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
2,593,571 Common Units33, 34 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,593,571 Common Units34 |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.3% |
|||
14 | TYPE OF REPORTING PERSON*
IN |
* SEE INSTRUCTIONS
32 |
Comprised of Common Units held by RaFT LLC, a limited liability company in which Mr. Rathburn and his wife, Anita Rathburn, each hold a 50% membership interest. |
33 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
34 |
Comprised of (i) 793,571 Common Units held by Gary J. Rathburn individually, and (ii) 1,800,000 Common Units held by RaFT LLC, a limited liability company in which Mr. Rathburn and his wife, Anita Rathburn, each hold a 50% membership interest. |
CUSIP NO. 01861G10 0 |
13D | Page 23 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Anita Rathburn |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS*
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
-0- | |
8 SHARED VOTING POWER
1,800,000 Common Units35 | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
1,800,000 Common Units36 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,800,000 Common Units35 |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.0% |
|||
14 | TYPE OF REPORTING PERSON*
IN |
* SEE INSTRUCTIONS
35 |
Comprised of Common Units held by RaFT LLC, a limited liability company in which Mrs. Rathburn and her husband, Gary J. Rathburn, each hold a 50% membership interest. |
36 |
Dispositive power of the Common Units may also be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 24 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
RaFT LLC |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS*
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Oklahoma |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
-0- | |
8 SHARED VOTING POWER
1,800,000 Common Units37 | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
1,800,000 Common Units37, 38 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,800,000 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.0% |
|||
14 | TYPE OF REPORTING PERSON*
OO |
* SEE INSTRUCTIONS
37 |
Voting and dispositive power may be deemed to be shared with RaFT LLCs manager, as well as with Gary J. Rathburn and Anita Rathburn, both of whom own a 50% membership interest in RaFT LLC. |
38 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 25 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Cary P. Marshall |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS*
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
955,925 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
955,925 Common Units39 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
955,925 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.6% |
|||
14 | TYPE OF REPORTING PERSON*
IN |
* SEE INSTRUCTIONS
39 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 26 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
David A. Gilbert |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS*
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
740,841 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
740,841 Common Units40 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
740,841 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.2% |
|||
14 | TYPE OF REPORTING PERSON*
IN |
* SEE INSTRUCTIONS
40 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 27 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
George C. Tichnell |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS*
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
653,357 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
653,357 Common Units41 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
653,357 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.1% |
|||
14 | TYPE OF REPORTING PERSON*
IN |
* SEE INSTRUCTIONS
41 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 28 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Dale G. Wilkerson |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS*
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
465,221 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
465,221 Common Units42 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
465,221 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.8% |
|||
14 | TYPE OF REPORTING PERSON*
IN |
* SEE INSTRUCTIONS
42 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 29 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Bret A. Hardwick |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
202,837 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
202,837 Common Units43 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
202,837 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.3% |
|||
14 | TYPE OF REPORTING PERSON*
IN |
* SEE INSTRUCTIONS
43 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 30 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Michael R. Rieck |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS*
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
208,015 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
208,015 Common Units44 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
208,015 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.3% |
|||
14 | TYPE OF REPORTING PERSON*
IN |
* SEE INSTRUCTIONS
43 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 31 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Alan K. Boswell (as Trustee under the Alan Kent Boswell Trust) |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS*
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
65,962 Common Units45 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
65,962 Common Units45, 46 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
65,962 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1% |
|||
14 | TYPE OF REPORTING PERSON*
IN |
* SEE INSTRUCTIONS
45 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units held by the trust identified in Row 1 of this cover page is exercised by Alan K. Boswell, as trustee of such trust. |
46 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 32 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
The Alan Kent Boswell Trust |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS*
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Kentucky |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
65,962 Common Units47 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
65,962 Common Units47, 48 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
65,962 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1% |
|||
14 | TYPE OF REPORTING PERSON*
OO |
* SEE INSTRUCTIONS
47 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by Alan K. Boswell, as Trustee under the Alan Kent Boswell Trust. |
48 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 33 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Linda K. Boswell (as Trustee under the Linda Knight Boswell Trust) |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS*
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
65,961 Common Units49 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
65,961 Common Units49, 50 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
65,961 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1% |
|||
14 | TYPE OF REPORTING PERSON*
IN |
* SEE INSTRUCTIONS
49 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units held by the trust identified in Row 1 of this cover page is exercised by Linda K. Boswell, as trustee of such trust. |
50 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 34 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
The Linda Knight Boswell Trust |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS*
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Kentucky |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
65,961 Common Units51 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
65,961 Common Units51, 52 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
65,961 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1% |
|||
14 | TYPE OF REPORTING PERSON*
OO |
* SEE INSTRUCTIONS
51 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by Linda K. Boswell, as Trustee under the Linda Knight Boswell Trust. |
52 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 35 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Alan B. Smith |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS*
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
121,972 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
121,972 Common Units53 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
121,972 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2% |
|||
14 | TYPE OF REPORTING PERSON*
IN |
* SEE INSTRUCTIONS
53 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 36 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Kendall Barret |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS*
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
76,611 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
76,611 Common Units54 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
76,611 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1% |
|||
14 | TYPE OF REPORTING PERSON*
IN |
* SEE INSTRUCTIONS
54 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 37 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
John W. Tanner |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS*
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
51,058 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
51,058 Common Units55 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
51,058 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1% |
|||
14 | TYPE OF REPORTING PERSON*
IN |
* SEE INSTRUCTIONS
55 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
CUSIP NO. 01861G10 0 |
13D | Page 38 of 60 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
S. Paul Mackey |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS*
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
27,352 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
1,800 Common Units | ||
10 SHARED DISPOSITIVE POWER
25,552 Common Units56 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
27,352 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.04% |
|||
14 | TYPE OF REPORTING PERSON*
IN |
* SEE INSTRUCTIONS
56 |
Dispositive power 25,552 of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of this Statement on Schedule 13D). |
Page 39 of 60
Item 1. | Security and Issuer. |
This statement relates to the common limited partnership interests (the Common Units) of Alliance Holdings GP, L.P. (the Partnership), which has its principal executive offices at 1717 South Boulder Avenue, Suite 400, Tulsa, Oklahoma 74119.
Item 2. | Identity and Background. |
This statement is being filed as (i) Amendment No. 1 to that certain Statement on Schedule 13D (SEC File No. 005-81827; Film No. 06863947) filed on May 24, 2006 to report events occurring on May 15, 2006 (the Original Schedule 13D) by Joseph W. Craft III (Craft), Alliance Resource Holdings, Inc., Alliance Resource Holdings II, Inc., Alliance Resource GP, LLC, Alliance Management Holdings, LLC and AMH II, LLC (the Original Craft Control Group); and (ii) an initial Statement on Schedule 13D with respect to the Joseph W. Craft III Foundation, Alliance Management Holdings III, LLC and the following individuals and entities that are parties to that certain Transfer Restrictions Agreement, dated as of June 13, 2006, and more fully described in Item 6 of this Statement on Schedule 13D (the Transfer Restrictions Agreement)(such following individuals and entities are collectively referred to herein as the Non-Craft Controlled Reporting Persons):
A. Wellford Tabor, as trustee under:
(i) Joseph W. Craft III 2006 Irrevocable trust FBO Joseph W. Craft IV dated February 27, 2006;
(ii) Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006;
(iii) Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006; and
(iv) Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006
Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006
Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006
Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006
Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006
Charles R. Wesley
Nancy Wesley, as trustee under The Charles R. Wesley Family Trust Irrevocable Trust Agreement, dated March 28, 2006
The Charles R. Wesley Family Trust Irrevocable Trust Agreement, dated March 28, 2006
Thomas M. Wynne
Cindy J. Wynne, as trustee under The Thomas M. Wynne Family Trust Irrevocable Trust Agreement, dated March 28, 2006
The Thomas M. Wynne Family Trust Irrevocable Trust Agreement, dated March 28, 2006
Thomas L. Pearson
Gary J. Rathburn
Anita Rathburn
RaFT LLC
Cary P. Marshall
David A. Gilbert
George C. Tichnell
Dale G. Wilkerson
Bret A. Hardwick
Michael R. Rieck
Alan K. Boswell, as trustee under the Alan Kent Boswell Trust
The Alan Kent Boswell Trust
Linda K. Boswell, as trustee under the Linda Knight Boswell Trust
The Linda Knight Boswell Trust
Alan B. Smith
Kendall Barret
John W. Tanner
S. Paul Mackey
The individuals and entities comprising the Original Craft Control Group, the Joseph W. Craft III Foundation and Alliance Management Holdings III, LLC are collectively referred to herein as the Craft Controlled Reporting Persons; and the Craft Controlled Reporting Persons, together with the Non-Craft Controlled Reporting Persons are collectively referred to herein as the Reporting Persons.
Page 40 of 60
The Craft Controlled Reporting Persons (other than Alliance Management Holdings, LLC and AMH II, LLC, neither of which currently hold any Common Units) may be deemed to comprise a group under Rule 13d-5(b) of the Securities Exchange Act of 1934, as amended (the Exchange Act)(such group shall be referred to herein as the Craft Control Group). The Non-Craft Controlled Reporting Persons may be deemed to comprise a separate group under Rule 13d-5(b) of the Exchange Act, with one another as well as with the Craft Controlled Reporting Persons (other than Alliance Management Holdings, LLC and AMH II, LLC, neither of which currently hold any Common Units), by virtue of the Transfer Restrictions Agreement to which Craft, Alliance Resource GP, LLC and the Non-Craft Controlled Reporting Persons, among others, are parties (such individuals and entities shall be referred to herein as the Transfer Restrictions Agreement Parties). The Reporting Persons do not affirm the existence of the group described in the immediately preceding sentence.
(a) and (b) The information required to be filed in response to paragraphs (a) and (b) of Item 2 with respect to the Reporting Persons is set forth on Schedule I.
(c) The information required to be filed in response to paragraph (c) of Item 2 with respect to the Reporting Persons is set forth on Schedule II.
(d) and (e) During the last five years, none of the Reporting Persons, nor to the best knowledge of such persons, none of the individuals named in Appendix A to this Schedule 13D, (i) have been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (ii) have been a party to any civil proceeding of a judicial or administrative body of competent jurisdiction, and is or was, as a result of such proceeding, subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws, or finding any violation with respect to such law.
(f) The information required to be filed in response to paragraph (f) of Item 2 with respect to the Reporting Persons is set forth on Schedule I.
Item 3. | Source and Amount of Funds of Other Consideration. |
Transfer Restrictions Agreement Parties
Prior to June 13, 2006, each of the Transfer Restrictions Agreement Parties (other than (a) Anita Rathburn, RaFT LLC, the Alan Kent Boswell Trust, Linda K. Boswell and the Linda Knight Boswell Trust (each of whom or which subsequently acquired Common Units pursuant to family transfers permitted under the Transfer Restrictions Agreement and who are hereinafter collectively referred to as the Subsequent Family Transferees) and (b) Alliance Resource GP, LLC) were holders of one or more of the following types of securities: (i) membership interests of Alliance Management Holdings, LLC (AMH), (ii) membership interests of AMH II, LLC (AMH II) or (iii) shares of common stock of Alliance Resource Holdings II, Inc. (ARH II). On June 13, 2006, the following transactions occurred:
(a) AMH dissolved and liquidated (the AMH Liquidation), and in connection with such dissolution and liquidation, distributed to each of its members all of the assets of AMH, including all of the Common Units held by AMH.
(b) AMH II dissolved and liquidated (the AMH II Liquidation), and in connection with such dissolution and liquidation, distributed to each of its members all of the assets of AMH II, including all of the Common Units held by AMH II.
(c) Each stockholder of ARH II, other than Craft, conveyed all of such stockholders shares of ARH II common stock in a transaction whereby (i) a portion of such stockholders shares were conveyed to Craft in exchange for Common Units obtained by Craft in connection with the AMH Liquidation and the AMH II Liquidation, and (ii) the balance of the stockholders shares were redeemed by ARH II for cash (the ARH II Redemption and Exchange).
Page 41 of 60
As a result of the AMH Liquidation, the AMH II Liquidation and the ARH II Redemption and Exchange, (i) each of the Reporting Persons that is a Transfer Restrictions Agreement Party (other than Craft, the Subsequent Family Transferees and Alliance Resource GP, LLC) received the aggregate number of Common Units set forth in row 11 of the cover page completed for such Reporting Person in this Statement on Schedule 13D, (ii) Craft received (individually and through the Joseph W. Craft III Grantor Retained Annuity Trust (the GRAT)) an aggregate of 9,105,338 Common Units (which, together with 500,000 Common Units purchased by Craft in connection with the Partnerships May 15, 2006 initial public offering of Common Units, comprise the aggregate of 9,605,338 Common Units reflected as owned individually by Craft or the GRAT in clause (i) of footnote 1 of the cover page completed for Craft in this Statement on Schedule 13D), (iii) Gary J. Rathburn received an aggregate of 2,593,571 Common Units, 1,800,000 of which he subsequently transferred to RaFT LLC, a limited liability company in which Mr. Rathburn and his wife, Anita Rathburn, each hold a 50% membership interest, and (iv) Alan K. Boswell received an aggregate of 131,923 Common Units, 65,962 of which he subsequently transferred to the Alan Kent Boswell Trust, of which he is trustee, and 65,961 of which he subsequently transferred to the Linda Knight Boswell Trust, of which his wife, Linda K. Boswell, is trustee. Alliance Resource GP, LLC acquired the 20,641,168 Common Units set forth in row 11 of the cover page completed for Alliance Resource GP, LLC in this Statement on Schedule 13D in accordance with the terms of the Contribution Agreement described in the Original Schedule 13D.
Craft Control Group
The cover page for each member of the Original Craft Control Group contained in the Original Schedule 13D has been amended on the relevant cover pages herein, as necessary, to reflect the transactions contemplated by the AMH Liquidation, the AMH II Liquidation and the ARH II Redemption and Exchange. Additionally, Alliance Management Holdings III, LLC (AMH III) and the Joseph W. Craft III Foundation have been added as Reporting Persons to reflect the fact that, due to Crafts control of such entities, they may be deemed to be members of the Craft Control Group. As a result of the transactions contemplated by the AMH Liquidation, the AMH II Liquidation and the ARH II Redemption and Exchange, AMH III acquired 600,000 Common Units. The Joseph W. Craft III Foundation, of which Craft is co-trustee, acquired its 15,000 Common Units in open market purchases.
Item 4. | Purpose of Transaction. |
The Reporting Persons acquired their beneficial ownership of the Common Units of the Partnership for investment purposes.
(a) Subject to the terms and conditions of the Partnerships limited partnership agreement (the Partnership Agreement), Alliance GP, LLC, the general partner of the Partnership, and its affiliates have the right to cause the Partnership to register for resale under the Securities Act of 1933, as amended, and applicable state securities laws any Common Units that they hold. Pursuant to a certain Amended and Restated Registration Rights Agreement, dated as of June 13, 2006, by and among the Partnership, Alliance GP, LLC, AMH, AMH II, and Alliance Resource GP, LLC (the A&R Registration Rights Agreement), each of (i) Alliance Resource GP, LLC, (ii) the members of AMH at the time of its dissolution holding at least 70% of the outstanding limited liability company interests of AMH calculated as of June 13, 2006, and (iii) the members of AMH II at the time of its dissolution holding at least 70% of the outstanding limited liability company interests of AMH II calculated as of June 13, 2006, has one demand registration right to cause the Partnership to register for resale under the Securities Act of 1933, as amended, and applicable state securities laws any Common Units that they hold, and each has unlimited piggyback registration rights. Under any registration effected pursuant to the Partnership Agreement and the A&R Registration Rights Agreement, the Partnership is obligated to pay all expenses incidental to the registration, excluding underwriting discounts and commission.
Notwithstanding the foregoing, the right of the Transfer Restrictions Agreement Parties to dispose of their Common Units was restricted pursuant to the terms of the Transfer Restrictions Agreement and certain underwriter lock-up agreements entered into in connection with the Partnerships initial public offering (the Lock-Up Agreements). The Transfer Restrictions Agreement and the Lock-Up Agreements (which have expired) are more fully described in Item 6 of this Statement on Schedule 13D.
The Reporting Persons may sell Common Units from time to time in the future. The timing and amount of such resales of Common Units will be subject to the provisions of the Transfer Restrictions Agreement, the
Page 42 of 60
provisions of the Partnerships limited partnership agreement, market conditions, compliance with applicable legal requirements and such other factors as the selling Reporting Person may deem relevant. Such resales were, while the Lock-Up Agreements were in effect, also subject to the provisions thereof.
None of the Reporting Persons have any plans or proposals which relate or would result in:
(b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the issuer or any of its subsidiaries;
(c) A sale or transfer of a material amount of assets of the Partnership or of any of its subsidiaries;
(d) Any change in the present board of directors or management of the Partnership, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board;
(e) Any material change in the present capitalization or dividend policy of the Partnership;
(f) Any other material change in the Partnerships business or corporate structure;
(g) Changes in the Partnerships Charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Partnership by any person;
(h) Causing a class of securities of the Partnership to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;
(i) A class of equity securities of the Partnership becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or
(j) Any action similar to those enumerated above.
Notwithstanding the foregoing, Craft, as well as certain other Reporting Persons identified on Schedule II hereto as officers or employees of the Partnership or its affiliates, will be involved in management considerations and other issues affecting the Partnership, which could include from time to time matters set forth in subsections (b) through (j) of this Item 4 of Schedule 13D.
The Reporting Persons may determine to acquire additional Common Units of the Partnership in open market purchases in the future.
Item 5. | Interest in Securities of the Issuer. |
(a) There were 59,863,000 Common Units outstanding as of March 1, 2007. The number of Common Units beneficially owned by each Reporting Person and the percentage of the total number of Common Units outstanding represented by such beneficial ownership is set forth on rows 11 and 13, respectively, of the cover page of this Statement on Schedule 13D prepared for such Reporting Person, and such information is incorporated herein by reference.
(b) The number of Common Units as to which there is sole power to vote or to direct the vote, sole power to dispose or direct the disposition, or shared power to dispose or direct the disposition for the Reporting Persons is set forth on the cover pages of this Statement on Schedule 13D, and such information is incorporated herein by reference.
(c) The Reporting Persons have not acquired any Common Units of the Partnership during the past sixty days, other than the acquisitions reported herein.
(d) The Reporting Persons have the right to receive distributions from, and the proceeds of sale of, the Common Units reported by such persons on the cover pages of this Statement on Schedule 13D, except that (i) the Non-Craft Controlled Reporting Persons have such rights with respect to Common Units that are subject to the Craft Drag-Along (and for which Craft may be deemed to share dispositive power), (ii) beneficiaries of the various trusts
Page 43 of 60
reported herein have such rights with respect to Common Units held in such trusts, and (iii) entities controlled by Craft have such rights with respect to Common Units held by such entity.
(e) As more particularly described in Item 3 of this Statement on Schedule 13D, on June 13, 2006, Alliance Management Holdings, LLC and AMH II, LLC dissolved and liquidated and distributed to their respective members all of their assets, including the Common Units held by them. Accordingly, upon such dissolution, liquidation and distribution, Alliance Management Holdings, LLC and AMH II, LLC ceased to be beneficial owner of any Common Units.
Item 6. | Contracts, Arrangements, Understandings, or Relationships with Respect to Securities of the Issuer. |
Certain transfer restrictions, voting rights and registration rights in respect of the Common Units beneficially owned by the Reporting Persons are set forth in (i) the Partnerships Amended and Restated Agreement of Limited Partnership (the Partnership Agreement), the form of which is included as Appendix A to the Partnerships Form 424B-4 Prospectus filed on May 10, 2006 which has been incorporated by reference to this Schedule 13D, (ii) lock-up agreements (which have expired) in the form included as Exhibit A to the Underwriting Agreement (the Lock-Up Agreements), a copy of which Underwriting Agreement was attached as Exhibit 1.1 to Partnerships Current Report of Form 8-K filed on May 10, 2006 which has been incorporated by reference to this Schedule 13D; (iii) the Transfer Restrictions Agreement, a copy of which was attached as Exhibit 4.1 to the Partnerships Current Report of Form 8-K filed on June 16, 2006 which has been incorporated by reference to this Schedule 13D, and (iv) the Amended and Restated Registration Rights Agreement (the A&R Registration Rights Agreement), a copy of which was attached as Exhibit 4.2 to the Partnerships Current Report of Form 8-K filed on June 16, 2006 which has been incorporated by reference to this Schedule 13D.
Certain terms of the Partnership Agreement and the A&R Registration Rights Agreement are more fully described in subsection (a) of Item 4 of this Statement on this Schedule 13D. Certain terms of the Lock-Up Agreements and the Transfer Restrictions Agreement are summarized in the immediately following paragraphs of this Item 6. The terms of such agreements, each of which is included as an exhibit hereto, are incorporated into this Item 6 by reference.
Lock-Up Agreements Summary. In connection with the Partnerships May 15, 2006 initial public offering of Common Units, and at the request of the underwriters of such offering, each Transfer Restrictions Agreement Party executed (or subsequently agreed to be bound by) a Lock-Up Agreement. All Lock-Up Agreements have since expired. The Lock-Up Agreements provided, in pertinent part, that for a period of 180 days following the Partnerships initial public offering, the Reporting Persons would not, without the prior consent of the representative of the underwriters, sell, offer for sale, swap, or otherwise dispose of, or exercise any registration rights with respect to, any Common Units or other securities of the Partnership, except for limited permitted transfers (such as transfers to family members or affiliates of such Reporting Person).
Transfer Restrictions Agreement Summary.
Generally. The Common Units that are subject to the provisions of the Transfer Restrictions Agreement are referred to herein as the Restricted Securities. Except for certain limited permitted transfers (such as transfers by the holders to certain family members and the pledge of its Restricted Securities by Alliance Resource GP, LLC to a group of lenders to collateralize a credit facility), all of the Transfer Restrictions Agreement Parties have agreed to not dispose of their Restricted Securities except (i) with the approval of the disinterested Board of the Partnerships general partner, Alliance GP, LLC (a GP Board Approved Transfer), or (ii) in connection with tag along and drag-along rights in the event that Craft or an affiliate of Craft (a Craft Holder) elects to sell Restricted Securities to an unrelated purchaser (a Craft Transaction). There is no time period limitation governing the Transfer Restrictions Agreement, and such agreement will remain in effect until, in general, the Restricted Securities shall have been sold in a transaction or a series of transactions in which the transferees thereof are not required to be bound by the Transfer Restrictions Agreement.
GP Board Approved Transfer. All Transfer Restrictions Agreement Parties must wait until at least one year from the Partnerships May 15, 2006 initial public offering before they can seek the disinterested Boards authorization to transfer any Restricted Securities. If a Transfer Restrictions Agreement Party desires to transfer Restricted Securities, such party must ultimately obtain the approval of the disinterested Board of Alliance GP, LLC
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pursuant to procedures set out in the Transfer Restrictions Agreement. Once the disinterested Board of Alliance GP, LLC approves the transfer requested (or another method of transfer deemed appropriate by the Board in its discretion), then all other Transfer Restrictions Agreement Parties have the right to participate in the GP Board Approved Transfer, pro rata, based on the respective number of Restricted Securities held by such parties. Unless a transfer is effected pursuant to a GP Board Approved Transfer, and except for certain family member or other limited transfers, the Transfer Restrictions Agreement Parties cannot dispose of their Restricted Securities unless a Craft Holder elects to enter into a Craft Transaction.
Craft Transaction. In the event a Craft Holder has elected to enter into a Craft Transaction, such Craft Holder is required to give all other Transfer Restrictions Agreement Parties the right to sell their Restricted Securities (i.e., tag-along) in such Craft Transaction, pro rata, based on the same terms and conditions offered to such Craft Holder. If any Transfer Restrictions Agreement Party has decided not to tag-along, then the Craft Holder has the right to cause such Transfer Restrictions Agreement Party to sell its Restricted Securities in such Craft Transaction (such right, a Craft Drag-Along), pro rata, based on the same terms and conditions. If necessary to effect a merger, among other transactions, all Transfer Restrictions Agreement Parties have agreed to vote their Restricted Securities in the same manner that the Craft Holder votes its Restricted Securities for the purpose of effecting the Craft Transaction.
Item 7. | Material to be Filed as Exhibits. |
Exhibit A: | Appendix A (form of Partnership Agreement) to Form 424B-4 Prospectus filed by Alliance Holdings GP, L.P. on May 10, 2006 (File No. 333-129883; Film No. 06824227); incorporated herein by reference. | |
Exhibit B: | Exhibit A (form of Lock-Up Agreement) to the Underwriting Agreement filed on May 10, 2006 by Alliance Holdings GP, L.P. as Exhibit 1.1 to the Current Report on Form 8-K (File No. 000-51952; Film No. 06824756); incorporated herein by reference. | |
Exhibit C: | Exhibit 4.1 (Transfer Restrictions Agreement) and Exhibit 4.2 (A&R Registration Rights Agreement) to Current Report on Form 8-K filed by Alliance Holdings GP, L.P. on June 16, 2006 (File No. 000-51952; Film No. 06909836); incorporated herein by reference. | |
Exhibit D: | Joint Filing Agreement, dated March 8, 2007. |
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.
Dated: March 8, 2007
/s/ Joseph W. Craft III by Megan Cordle pursuant to Power of Attorney dated 2/13/07 |
Joseph W. Craft III |
JOSEPH W. CRAFT III FOUNDATION | ||||
By: | /s/ Megan Cordle pursuant to Power of Attorney dated 2/14/07 | |||
Name: | Megan Cordle | |||
Title: | Attorney-in-Fact |
ALLIANCE RESOURCE HOLDINGS, INC. | ||||
By: | /s/ Megan Cordle pursuant to Power of Attorney dated 3/5/07 | |||
Name: | Megan Cordle | |||
Title: | Attorney-in-Fact |
ALLIANCE RESOURCE HOLDINGS II, INC. | ||||
By: | /s/ Megan Cordle pursuant to Power of Attorney dated 3/5/07 | |||
Name: | Megan Cordle | |||
Title: | Attorney-in-Fact |
ALLIANCE RESOURCE GP, LLC | ||||
By: | /s/ Megan Cordle pursuant to Power of Attorney dated 5/8/06 | |||
Name: | Megan Cordle | |||
Title: | Attorney-in-Fact |
ALLIANCE MANAGEMENT HOLDINGS, LLC | ||||
By: | /s/ Megan Cordle pursuant to Power of Attorney dated 5/8/06 | |||
Name: | Megan Cordle | |||
Title: | Attorney-in-Fact |
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AMH II, LLC | ||||
By: | /s/ Megan Cordle pursuant to Power of Attorney dated 5/8/06 | |||
Name: | Megan Cordle | |||
Title: | Attorney-in-Fact |
ALLIANCE MANAGEMENT HOLDINGS III, LLC | ||||
By: | /s/ Megan Cordle pursuant to Power of Attorney dated 3/5/07 | |||
Name: | Megan Cordle | |||
Title: | Attorney-in-Fact |
/s/ A. Wellford Tabor by Megan Cordle pursuant to Powers of Attorney dated 2/1/07 |
A. Wellford Tabor, individually, and as Trustee under: (i) the Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006; (ii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006; (iii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006; and (iv) the Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006 |
/s/ Charles R. Wesley by Megan Cordle pursuant to Power of Attorney dated 2/2/07 |
Charles R. Wesley |
/s/ Nancy Wesley by Megan Cordle pursuant to Powers of Attorney dated 2/3/07 and 2/5/07 |
Nancy Wesley, individually, and as Trustee under The Charles R. Wesley Family Trust Irrevocable Trust Agreement, dated March 28, 2006 |
/s/ Thomas M. Wynne by Megan Cordle pursuant to Power of Attorney dated 2/2/07 |
Thomas M. Wynne |
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/s/ Cindy J. Wynne by Megan Cordle pursuant to Powers of Attorney dated 2/2/07 |
Cindy J. Wynne, individually, and as Trustee under The Thomas M. Wynne Family Trust Irrevocable Trust Agreement, dated March 28, 2006 |
/s/ Thomas L. Pearson by Megan Cordle pursuant to Power of Attorney dated 2/22/07 |
Thomas L. Pearson |
/s/ Gary J. Rathburn by Megan Cordle pursuant to Power of Attorney dated 2/13/07 |
Gary J. Rathburn |
/s/ Anita Rathburn by Megan Cordle pursuant to Power of Attorney dated 2/13/07 |
Anita Rathburn |
RaFT LLC | ||||
By: | /s/ Megan Cordle pursuant to Power of Attorney dated 2/13/07 | |||
Name: | Megan Cordle | |||
Title: | Attorney-in-Fact |
/s/ Cary P. Marshall by Megan Cordle pursuant to Power of Attorney dated 2/2/07 |
Cary P. Marshall |
/s/ David A. Gilbert by Megan Cordle pursuant to Power of Attorney dated 2/2/07 |
David A. Gilbert |
/s/ George C. Tichnell by Megan Cordle pursuant to Power of Attorney dated 2/3/07 |
George C. Tichnell |
/s/ Dale G. Wilkerson by Megan Cordle pursuant to Power of Attorney dated 2/1/07 |
Dale G. Wilkerson |
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/s/ Bret A. Hardwick by Megan Cordle pursuant to Power of Attorney dated 2/1/07 |
Bret A. Hardwick |
/s/ Michael R. Rieck by Megan Cordle pursuant to Power of Attorney dated 2/1/07 |
Michael R. Rieck |
/s/ Alan K. Boswell by Megan Cordle pursuant to Powers of Attorney dated 2/9/07 |
Alan K. Boswell, individually, and as Trustee under the Alan Kent Boswell Trust |
/s/ Linda K. Boswell by Megan Cordle pursuant to Powers of Attorney dated 2/9/07 |
Linda K. Boswell, individually, and as Trustee under the Linda Knight Boswell Trust |
/s/ Alan B. Smith by Megan Cordle pursuant to Power of Attorney dated 2/1/07 |
Alan B. Smith |
/s/ Kendall Barret by Megan Cordle pursuant to Power of Attorney dated 2/4/07 |
Kendall Barret |
/s/ John W. Tanner by Megan Cordle pursuant to Power of Attorney dated 2/20/07 |
John W. Tanner |
/s/ S. Paul Mackey by Megan Cordle pursuant to Power of Attorney dated 2/7/07 |
S. Paul Mackey |
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SCHEDULE I
Name |
Citizenship or State |
Business Address or Residence | ||
Joseph W. Craft III | USA | c/o C-Holdings, LLC, 1717 South Boulder Avenue Tulsa, OK 74119 | ||
Joseph W. Craft III Foundation | Oklahoma | c/o C-Holdings, LLC, 1717 South Boulder Avenue Tulsa, OK 74119 | ||
Alliance Resource Holdings, Inc. | Delaware | 1717 South Boulder Avenue Tulsa, OK 74119 | ||
Alliance Resource Holdings II, Inc. | Delaware | 1717 South Boulder Avenue Tulsa, OK 74119 | ||
Alliance Resource GP, LLC | Delaware | 1717 South Boulder Avenue Tulsa, OK 74119 | ||
Alliance Management Holdings, LLC | Delaware | 1717 South Boulder Avenue Tulsa, OK 74119 | ||
AMH II, LLC | Delaware | 1717 South Boulder Avenue Tulsa, OK 74119 | ||
Alliance Management Holdings III, LLC | Delaware | 1717 South Boulder Avenue Tulsa, OK 74119 | ||
A. Wellford Tabor, as Trustee under (i) the Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006, (ii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006, (iii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006, and (iv) the Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006. | USA | A. Wellford Tabor, Trustee Wachovia Capital Partners 301 South College Street, 12th Floor Charlotte, NC 28288-0732 | ||
Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006 | Oklahoma | c/o A. Wellford Tabor, Trustee Wachovia Capital Partners 301 South College Street, 12th Floor Charlotte, NC 28288-0732 | ||
Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006 | Oklahoma | c/o A. Wellford Tabor, Trustee Wachovia Capital Partners 301 South College Street, 12th Floor Charlotte, NC 28288-0732 | ||
Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006 | Oklahoma | c/o A. Wellford Tabor, Trustee Wachovia Capital Partners 301 South College Street, 12th Floor Charlotte, NC 28288-0732 | ||
Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006 | Oklahoma | c/o A. Wellford Tabor, Trustee Wachovia Capital Partners 301 South College Street, 12th Floor Charlotte, NC 28288-0732 | ||
Charles R. Wesley | USA | c/o Alliance Coal LLC 771 Corporate Drive Suite 1000 Lexington, KY 40503 |
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Name |
Citizenship or State |
Business Address or Residence | ||
Nancy Wesley, as Trustee under The Charles R. Wesley Family Trust Irrevocable Trust Agreement, dated March 28, 2006 | USA | Nancy Wesley, Trustee 825 Glen Abbey Circle Lexington, KY 40509 | ||
The Charles R. Wesley Family Trust Irrevocable Trust Agreement, dated March 28, 2006 | Kentucky | c/o Nancy Wesley, Trustee 825 Glen Abbey Circle Lexington, KY 40509 | ||
Thomas M. Wynne | USA | 10632 South Memorial Drive Suite 259 Tulsa, OK 74133 | ||
Cindy J. Wynne, as Trustee under The Thomas M. Wynne Family Trust Irrevocable Trust Agreement, dated March 28, 2006 | USA | Cindy J. Wynne, Trustee 10632 South Memorial Drive Suite 259 Tulsa, OK 74133 | ||
The Thomas M. Wynne Family Trust Irrevocable Trust Agreement, dated March 28, 2006 | Oklahoma | c/o Cindy J. Wynne, Trustee 10632 South Memorial Drive Suite 259 Tulsa, OK 74133 | ||
Thomas L. Pearson | USA | c/o Alliance Resource GP, LLC 1717 South Boulder Avenue Tulsa, OK 74119 | ||
Gary J. Rathburn | USA | 5405 East 119th Street Tulsa, OK 74137 | ||
Anita Rathburn | USA | 5405 East 119th Street Tulsa, OK 74137 | ||
RaFT LLC | Oklahoma | RaFT LLC 5405 East 119th Street Tulsa, OK 74137 | ||
Cary P. Marshall | USA | 4464 Oak Road, Tulsa, OK 74105 | ||
David A. Gilbert | USA | 7715 East 87th Street Tulsa, OK 74133 | ||
George C. Tichnell | USA | 4670 Links Village Drive Unit B101 Ponce Inlet, FL 32127 | ||
Dale G. Wilkerson | USA | 3837 E 51st Place Tulsa, OK 74135 | ||
Bret A. Hardwick | USA | 34 Dixon Drive Staffordsville, KY 41256 | ||
Michael R. Rieck | USA | 8928 S College Pl Tulsa, OK 74137 | ||
Alan K. Boswell, as trustee under the Alan Kent Boswell Trust | USA | 255 Pin Oak Lane Madisonville, KY 42431 | ||
The Alan Kent Boswell Trust | Kentucky | 255 Pin Oak Lane Madisonville, KY 42431 |
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Name |
Citizenship or State |
Business Address or Residence | ||
Linda K. Boswell, as trustee under the Linda Knight Boswell Trust | USA | 255 Pin Oak Lane Madisonville, KY 42431 | ||
The Linda Knight Boswell Trust | Kentucky | 255 Pin Oak Lane Madisonville, KY 42431 | ||
Alan B. Smith | USA | 610 Foy Road McHenry, MD 21541 | ||
Kendall Barret | USA | 761 Cooper Drive Lexington, KY 40502 | ||
John W. Tanner | USA | 5131 City Street Unit #618 Orlando, FL 32839 | ||
S. Paul Mackey | USA | c/o Alliance Coal, LLC P.O. Box 22027 Tulsa, OK 74121 |
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SCHEDULE II
Name |
Principal Occupation or Employment; Name of Organization | |
Joseph W. Craft III | Joseph W. Craft III is the President, Chief Executive Officer and a Director of Alliance GP, LLC, the general partner of the Partnership, which is located at 1717 South Boulder Avenue, Tulsa, OK 74119. | |
Joseph W. Craft III Foundation | Joseph W. Craft III Foundation is a charitable foundation of which Joseph W. Craft III is a co-trustee. The foundations address is 1717 South Boulder Avenue, Tulsa, OK 74119. | |
Alliance Resource Holdings, Inc. | Alliance Resource Holdings, Inc. (Holdings) is the sole member of Alliance Resource GP, LLC, which is principally engaged in producing and marketing coal. The executive officers and directors of Holdings are listed on Appendix A hereto and its address is 1717 South Boulder Avenue, Tulsa, OK 74119. | |
Alliance Resource Holdings II, Inc. | Alliance Resource Holdings II, Inc. (ARH-II) is the sole shareholder of Alliance Resource Holdings, Inc. and is a holding company formed to hold the shares of Alliance Resource Holdings, Inc. The executive officers and directors of ARH-II are listed on Appendix A hereto and its address is 1717 South Boulder Avenue, Tulsa, OK 74119. | |
Alliance Resource GP, LLC | Alliance Resource GP, LLC (the SGP) serves as the special general partner of Alliance Resource Partners, L.P. (ARLP) and is principally engaged in holding Common Units in the Partnership and certain interests in land and coal reserves, and serves as the special general partner of ARLP. The SGP holds 20,641,168 Common Units of the Partnership. The executive officers and directors of the SGP are listed on Appendix A hereto and its address is 1717 South Boulder Avenue, Tulsa, OK 74119. | |
Alliance Management Holdings, LLC | Alliance Management Holdings, LLC (AMH) was principally engaged in holding 6,863,470 Common Units of the Partnership; however, AMH liquidated and dissolved and distributed it assets (including all of the Common Units of the Partnership held by AMH) to its members on June 13, 2006. | |
AMH II, LLC | AMH II, LLC (AMH-II) was principally engaged in holding 19,858,362 Common Units of the Partnership; however, AMH II liquidated and dissolved and distributed it assets (including all of the Common Units of the Partnership held by AMH II) to its members on June 13, 2006. | |
Alliance Management Holdings III, LLC | Alliance Management Holdings, LLC (AMH III) is principally engaged in holding 600,000 Common Units of the Partnership contributed to AMH III by the former members of AMH II and cash contributed to AMH III by former members of AMH and AMH II. The Common Units of the Partnership and the cash will be used to fund awards under employee appreciation, retention and incentive plans to be adopted by AMH III for the benefit of certain employees of Alliance Coal, LLC and its affiliates. The executive officers and directors of AMH III are listed on Appendix A hereto and its address is 1717 South Boulder Avenue, Tulsa, OK 74119. | |
A. Wellford Tabor, as Trustee under (i) the Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006, (ii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006, (iii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006, and (iv) the Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006. | A. Wellford Tabor is a partner in an investment firm and he serves as the trustee for four trusts that hold AHGP Common Units. His employer, Wachovia Capital Partners, is located at 301 South College Street, 12th Floor, Charlotte, NC 28288-0732. | |
Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006 | The Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006 is a trust. |
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Name |
Principal Occupation or Employment; Name of Organization | |
Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006 | The Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006 is a trust. | |
Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006 | The Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006 is a trust. | |
Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006 | The Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006 is a trust. | |
Charles R. Wesley | Charles R. Wesley is the Senior Vice President Operations of Alliance Resource Management GP, LLC, the managing general partner of Alliance Resource Partners, L.P., which is located at 1717 South Boulder Avenue, Tulsa, OK 74119. | |
Nancy Wesley, as Trustee under The Charles R. Wesley Family Trust Irrevocable Trust Agreement, dated March 28, 2006 | Nancy Wesley, the wife of Charles R. Wesley, serves as trustee of The Charles R. Wesley Family Trust Irrevocable Trust Agreement, dated March 28, 2006, and is a homemaker. | |
The Charles R. Wesley Family Trust Irrevocable Trust Agreement, dated March 28, 2006 | The Charles R. Wesley Family Trust Irrevocable Trust Agreement, dated March 28, 2006 is a trust. | |
Thomas M. Wynne | Thomas W. Wynne is Vice President Operations of Alliance Resource Management GP, LLC, the managing general partner of Alliance Resource Partners, L.P., which is located at 1717 South Boulder Avenue, Tulsa, OK 74119. | |
Cindy J. Wynne, as Trustee under The Thomas M. Wynne Family Trust Irrevocable Trust Agreement, dated March 28, 2006 | Cindy J. Wynne, the wife of Thomas M. Wynne, serves as trustee of The Thomas M. Wynne Family Trust Irrevocable Trust Agreement, dated March 28, 2006, and is a homemaker. | |
The Thomas M. Wynne Family Trust Irrevocable Trust Agreement, dated March 28, 2006 | The Thomas M. Wynne Family Trust Irrevocable Trust Agreement, dated March 28, 2006 is a trust. | |
Thomas L. Pearson | Thomas L. Pearson recently retired from his positions as the Senior Vice President - Law and Administration, General Counsel and Secretary of Alliance GP, LLC, the general partner of the Partnership, which is located at 1717 South Boulder Avenue, Tulsa, OK 74119. | |
Gary J. Rathburn | Gary J. Rathburn recently retired from his position as the Senior Vice President Marketing of Alliance Resource Management GP, LLC, the general partner of Alliance Resource Partners, L.P., which is located at 1717 South Boulder Avenue, Tulsa, OK 74119. | |
Anita Rathburn | Anita Rathburn, the wife of Gary J. Rathburn, has a 50% membership interest in RaFT LLC, and is a homemaker. | |
RaFT LLC | RaFT LLC is an Oklahoma limited liability company formed for family asset management purposes. | |
Cary P. Marshall | Cary P. Marshall is Vice President and Treasurer of Alliance GP, LLC, the general partner of the Partnership, which is located at 1717 South Boulder Avenue, Tulsa, OK 74119. | |
David A. Gilbert | David A. Gilbert is Vice President of Information Technology Services for Alliance Resource Partners, L.P., which is located at 1717 South Boulder Avenue, Tulsa, OK 74119. | |
George C. Tichnell | George C. Tichnell serves as a consultant to Alliance Coal, LLC, an affiliate of the Partnership, which is located at 1717 South Boulder Avenue, Tulsa, OK 74119. | |
Dale G. Wilkerson | Dale G. Wilkerson was formerly Controller of Alliance GP, LLC, the general partner of the Partnership, and currently works as a consultant. |
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Name |
Principal Occupation or Employment; Name of Organization | |
Bret A. Hardwick | Bret A. Hardwick is a mine engineer at Excel Mining LLC, an affiliate of the Partnership, which is located at 4126 State Highway, 194 West, Pikesville, KY 41501. | |
Michael R. Rieck | Michael R. Rieck is General Manager of Market Planning of Alliance Coal, LLC, an affiliate of the Partnership, located at 1717 South Boulder Avenue, Tulsa, OK 74119. | |
Alan K. Boswell, as trustee under the Alan Kent Boswell Trust | Alan K. Boswell, a retired management employee of an affiliate of the Partnership, serves as trustee of the Alan Kent Boswell Trust. | |
The Alan Kent Boswell Trust | The Alan Kent Boswell Trust is a trust. | |
Linda K. Boswell, as trustee under the Linda Knight Boswell Trust | Linda K. Boswell, is the wife of Alan K. Boswell, serves as trustee of the Linda Knight Boswell Trust and is a teacher at an elementary school located at 1150 Hayes Avenue, Madisonville, KY 42431. | |
The Linda Knight Boswell Trust | The Linda Knight Boswell Trust is a trust. | |
Alan B. Smith | Alan B. Smith is the Manager of Underground Operations of Mettiki Coal LLC, an affiliate of the Partnership, which is located at 293 Table Rock Road, Oakland, MD 21550. | |
Kendall Barret | Kendall Barret is Vice President --Land Management and Corporate Counsel of Alliance Coal, LLC, an affiliate of the Partnership, which is located at 771 Corporate Drive, Suite 1000, Lexington, KY 40503. | |
John W. Tanner | John W. Tanner is a former employee of Alliance Coal, LLC, an affiliate of Alliance Resource Partners, L.P. | |
S. Paul Mackey | S. Paul Mackey is an officer in the Human Resource/Benefits Administration department of Alliance Coal, LLC, an affiliate of the Partnership, which is located at 1717 South Boulder Avenue, Tulsa, OK 74119. |
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APPENDIX A
Executive Officers and Directors of Alliance Resource Holdings II, Inc.
Joseph W. Craft III |
President, sole Director and sole stockholder | |
Cary P. Marshall |
Treasurer |
Executive Officers and Directors of Alliance Resource Holdings, Inc.
Joseph W. Craft III |
President, Chief Executive Officer and sole Director | |
Brian Cantrell |
Senior Vice President and Chief Financial Officer | |
Cary P. Marshall |
Treasurer | |
Alliance Resource Holdings II, Inc. |
Sole Stockholder |
Executive Officers and Directors of Alliance Resource GP, LLC
Joseph W. Craft III |
President, Chief Executive Officer and sole Director | |
Brian Cantrell |
Senior Vice President and Chief Financial Officer | |
Cary P. Marshall |
Vice President Corporate Finance and Treasurer | |
Alliance Resource Holdings, Inc. |
Sole Member |
Executive Officers and Directors of Alliance Management Holdings III, LLC
Joseph W. Craft III |
President and sole Director | |
Cary P. Marshall |
Treasurer |
Each of the foregoing persons is a United States citizen. The principal business address for each person is 1717 South Boulder Avenue, Tulsa, Oklahoma 74119.
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EXHIBIT INDEX
Exhibit A: | Appendix A (form of Partnership Agreement) to Form 424B-4 Prospectus filed by Alliance Holdings GP, L.P. on May 10, 2006 (File No. 333-129883; Film No. 06824227); incorporated herein by reference. | |
Exhibit B: | Exhibit A (form of Lock-Up Agreement) to the Underwriting Agreement filed on May 10, 2006 by Alliance Holdings GP, L.P. as Exhibit 1.1 to the Current Report on Form 8-K (File No. 000-51952; Film No. 06824756); incorporated herein by reference. | |
Exhibit C: | Exhibit 4.1 (Transfer Restrictions Agreement) and Exhibit 4.2 (A&R Registration Rights Agreement) to Current Report on Form 8-K filed by Alliance Holdings GP, L.P. on June 16, 2006 (File No. 000-51952; Film No. 06909836); incorporated herein by reference. | |
Exhibit D: | Joint Filing Agreement, dated March 8, 2007. |