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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom unit | (2) | 02/14/2013 | A | 128 | (1) | (3) | Common unit | 128 | (3) | 7,434 | D | ||||
Restricted units | (4) | 02/15/2013 | M | 3,121 | 02/15/2013 | (3) | Common units | 3,121 | (4) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MARSHALL CARY P 1717 S. BOULDER AVENUE SUITE 400 TULSA, OK 74119 |
VP Corporate Finance |
/s/ Cary P. Marshall by Mindy Kerber, pursuant to power of attorney dated February 2, 2007 | 02/19/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The Phantom units are to be settled in ARLP common units upon the reporting person's death or termination. |
(2) | 1 for 1 |
(3) | Not applicable |
(4) | On January 23, 2013, our Compensation Committee determined that the vesting requirements for the 2010 Long-Term Incentive Plan grants had been satisfied. As a result restricted units were determined to be vested effective January 1, 2013 and subsequently issued on February 15, 2013 based upon an ARLP unit price of $63.20. |
(5) | Upon vesting, restricted units are withheld by the Partnership for the payment of tax liability at the vesting price of $63.20. |