-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, PbBn42dtThYk9Bqkd63CfGDJO/6SDq9gxEKcv2jzMtpeLHyjX97kasdKO3xdZ6dq lLD5CGmaGwth12j4XSRntw== 0001193125-08-257874.txt : 20081222 0001193125-08-257874.hdr.sgml : 20081222 20081222122022 ACCESSION NUMBER: 0001193125-08-257874 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20081222 DATE AS OF CHANGE: 20081222 GROUP MEMBERS: ALAN B. SMITH GROUP MEMBERS: ALAN K. BOSWELL (AS TRUSTEE UNDER THE ALAN KENT BOSWELL TRUS GROUP MEMBERS: ALLIANCE MANAGEMENT HOLDINGS III, LLC GROUP MEMBERS: ALLIANCE RESOURCE GP, LLC GROUP MEMBERS: ALLIANCE RESOURCE HOLDINGS II, INC. GROUP MEMBERS: ALLIANCE RESOURCE HOLDINGS, INC. GROUP MEMBERS: ANITA RATHBURN GROUP MEMBERS: BRET A. HARDWICK GROUP MEMBERS: CARY P. MARSHALL GROUP MEMBERS: CHARLES R. WESLEY GROUP MEMBERS: CINDY J. WYNNE (AS TRUSTEE UNDER THE THOMAS M. WYNNE FAMILY GROUP MEMBERS: DALE G. WILKERSON GROUP MEMBERS: DAVID A. GILBERT GROUP MEMBERS: ELAINE R. GUILFOYLE (AS (A) A CO-TRUSTEE UNDER (I) THE JOSEP GROUP MEMBERS: GARY J. RATHBURN GROUP MEMBERS: GEORGE C. TICHNELL GROUP MEMBERS: JOHN W. TANNER GROUP MEMBERS: JOSEPH W. CRAFT III 2006 IRREVOCABLE TRUST FBO CAROLINE B. F GROUP MEMBERS: JOSEPH W. CRAFT III 2006 IRREVOCABLE TRUST FBO JOSEPH W. CRA GROUP MEMBERS: JOSEPH W. CRAFT III 2006 IRREVOCABLE TRUST FBO KYLE O. CRAFT GROUP MEMBERS: JOSEPH W. CRAFT III 2006 IRREVOCABLE TRUST FBO RYAN E. CRAFT GROUP MEMBERS: JOSEPH W. CRAFT III FOUNDATION GROUP MEMBERS: JOSEPH W. CRAFT III GRANTOR RETAINED ANNUITY TRUST FBO CAROL GROUP MEMBERS: JOSEPH W. CRAFT III GRANTOR RETAINED ANNUITY TRUST FBO JOSEP GROUP MEMBERS: JOSEPH W. CRAFT III GRANTOR RETAINED ANNUITY TRUST FBO KYLE GROUP MEMBERS: JOSEPH W. CRAFT III GRANTOR RETAINED ANNUITY TRUST FBO RYAN GROUP MEMBERS: KENDALL BARRET GROUP MEMBERS: LINDA K. BOSWELL (AS TRUSTEE UNDER THE LINDA KNIGHT BOSWELL GROUP MEMBERS: MARY CATHERINE HUIGENS (AS (A) A CO-TRUSTEE UNDER (I) THE JO GROUP MEMBERS: MICHAEL R. RIECK GROUP MEMBERS: NANCY WESLEY (AS TRUSTEE UNDER THE CHARLES R. WESLEY FAMILY GROUP MEMBERS: RAFT LLC GROUP MEMBERS: S. PAUL MACKEY GROUP MEMBERS: THE ALAN KENT BOSWELL TRUST GROUP MEMBERS: THE CHARLES R. WESLEY FAMILY TRUST IRREVOCABLE TRUST AGREEME GROUP MEMBERS: THE LINDA KNIGHT BOSWELL TRUST GROUP MEMBERS: THE THOMAS M. WYNNE FAMILY TRUST IRREVOCABLE TRUST AGREEMENT GROUP MEMBERS: THOMAS L. PEARSON GROUP MEMBERS: THOMAS M. WYNNE FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CRAFT JOSEPH W III CENTRAL INDEX KEY: 0001173893 FILING VALUES: FORM TYPE: SC 13D/A MAIL ADDRESS: STREET 1: PO BOX 22027 CITY: TULSA STATE: OK ZIP: 74121-2027 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Alliance Holdings GP, L.P. CENTRAL INDEX KEY: 0001344980 STANDARD INDUSTRIAL CLASSIFICATION: BITUMINOUS COAL & LIGNITE SURFACE MINING [1221] IRS NUMBER: 030573898 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-81827 FILM NUMBER: 081263096 BUSINESS ADDRESS: STREET 1: P.O. BOX 22027 CITY: TULSA STATE: OK ZIP: 74121 BUSINESS PHONE: 918-295-7600 MAIL ADDRESS: STREET 1: P.O. BOX 22027 CITY: TULSA STATE: OK ZIP: 74121 SC 13D/A 1 dsc13da.htm SCHEDULE 13D AMENDMENT NO. 3 Schedule 13D Amendment No. 3

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13D

 

Under the Securities Exchange Act of 1934

(Amendment No. 3)

 

 

 

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)

 

 

February 27, 2008

(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 person’s 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 58

 

  1  

NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS

 

            Joseph W. Craft III

   
  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

 

            USA

   

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

 

  7    SOLE VOTING POWER

 

                26,358,049 Common Units1

 

  8    SHARED VOTING POWER

 

                18,0002

 

  9    SOLE DISPOSITIVE POWER

 

                26,358,049 Common Units1

 

10    SHARED DISPOSITIVE POWER

 

                16,784,495 Common Units2,3

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            43,142,544 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)

 

            72.1%

   
14  

TYPE OF REPORTING PERSON*

 

            IN

   
* SEE INSTRUCTIONS

 

1

Comprised of (i) 5,193,759 Common Units held indirectly by Joseph W. Craft III (“Craft”) through the JWC III Rev Trust of which Craft is trustee; (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 (iii) 523,122 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 18,000 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 that certain Amendment No. 1 to Schedule 13D filed on March 8, 2007 (SEC File Number 005-81827; Film Number 07680565) (“Schedule 13D Amendment No. 1”)) with respect to an aggregate of 16,766,495 Common Units held by such Non-Craft Controlled Reporting Persons as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). 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 58

 

  1  

NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS

 

            Joseph W. Craft III Foundation

   
  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

 

            Oklahoma

   

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

 

  7    SOLE VOTING POWER

 

                -0-

 

  8    SHARED VOTING POWER

 

                18,000 Common Units4

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                18,000 Common Units4

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            18,000 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 18,000 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 58

 

  1  

NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS

 

            Alliance Resource Holdings II, 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 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 58

 

  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 58

 

  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 Units7

 

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 58

 

  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

 

                523,122 Common Units8

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                523,122 Common Units

 

10    SHARED DISPOSITIVE POWER8

 

                -0-

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            523,122 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

 

8

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 8 of 58
  1  

NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS

 

            Elaine R. Guilfoyle (as (a) a Co-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) (collectively, the “Craft Children’s Irrevocable Trusts”); and (b) a Co-Trustee under (i) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Joseph W. Craft IV U/A Dated February 27, 2006, (ii) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Caroline B. Fiddes U/A Dated February 27, 2006, (iii) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Ryan E. Craft U/A Dated February 27, 2006, and (iv) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Kyle O. Craft U/A Dated February 27, 2006 (collectively, the “Craft Children’s GRATs”))

   
  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

 

                6,623,467 Common Units9

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                6,623,467 Common Units9, 10

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            6,623,467 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)

 

            11.1%

   
14  

TYPE OF REPORTING PERSON *

 

            IN

   

* SEE INSTRUCTIONS

 

9

Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to (i) the aggregate of 2,211,888 Common Units held by the (4) four trusts identified as Craft Children’s Irrevocable Trusts in Row 1 of this cover page, and (ii) the aggregate of 4,411,579 Common Units held by the (4) four trusts identified as Craft Children’s GRATs in Row 1 of this cover page, is shared by Elaine R. Guilfoyle and Mary Catherine Huigens, as co-trustees of all such trusts. Ms. Guilfoyle and Ms. Huigens became co-trustees of the Craft Children’s Irrevocable Trusts and the Craft Children’s GRATs on March 20, 2008.

10

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0

 

  13D   Page 9 of 58
  1  

NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS

 

            Mary Catherine Huigens (as (a) a Co-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) (collectively, the “Craft Children’s Irrevocable Trusts”); and (b) a Co-Trustee under (i) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Joseph W. Craft IV U/A Dated February 27, 2006, (ii) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Caroline B. Fiddes U/A Dated February 27, 2006, (iii) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Ryan E. Craft U/A Dated February 27, 2006, and (iv) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Kyle O. Craft U/A Dated February 27, 2006 (collectively, the “Craft Children’s GRATs”))

   
  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

 

                1,80711

 

  8    SHARED VOTING POWER

 

                6,623,467 Common Units12

 

  9    SOLE DISPOSITIVE POWER

 

                1,80712

 

10    SHARED DISPOSITIVE POWER

 

                6,623,467 Common Units12, 13

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            6,625,274 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)

 

            11.1%

   
14  

TYPE OF REPORTING PERSON *

 

            IN

   

* SEE INSTRUCTIONS

 

11

Ms. Huigens, apart from her capacity as co-trustee as described in the immediately following footnote, individually beneficially owns 1,807 Common Units.

12

Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to (i) the aggregate of 2,211,888 Common Units held by the (4) four trusts identified as Craft Children’s Irrevocable Trusts in Row 1 of this cover page, and (ii) the aggregate of 4,411,579 Common Units held by the (4) four trusts identified as Craft Children’s GRATs in Row 1 of this cover page, is shared by Mary Catherine Huigens and Elaine R. Guilfoyle, as co-trustees of all such trusts. Ms. Huigens and Ms. Guilfoyle became co-trustees of the Craft Children’s Irrevocable Trusts and the Craft Children’s GRATs on March 20, 2008.

13

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0

 

  13D   Page 10 of 58
  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 Units14

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                552,972 Common Units14, 15

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

 

14

Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by Elaine R. Guilfoyle and Mary Catherine Huigen, as Co-Trustees of the Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006.

15

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0

 

  13D   Page 11 of 58
  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 Units16

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                552,972 Common Units16, 17

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

 

16

Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by Elaine R. Guilfoyle and Mary Catherine Huigen, as Co-Trustees of the Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006.

17

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0

 

  13D   Page 12 of 58
  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 Units18

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                552,972 Common Units18, 19

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

 

18

Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by Elaine R. Guilfoyle and Mary Catherine Huigen, as Co-Trustees of the Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006.

19

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0

 

  13D   Page 13 of 58
  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 Units20

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                552,972 Common Units20, 21

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

 

20

Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by Elaine R. Guilfoyle and Mary Catherine Huigen, as Co-Trustees of the Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006.

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0

 

  13D   Page 14 of 58
  1  

NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS

 

            Joseph W. Craft III Grantor Retained Annuity Trust FBO Joseph W. Craft IV U/A 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

 

                1,102,895 Common Units22

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                1,102,895 Common Unit22, 23

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            1,102,895 Common Units24

   
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *

 

  ¨
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

            1.8%

   
14  

TYPE OF REPORTING PERSON *

 

            OO

   

* SEE INSTRUCTIONS

 

22

Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by Elaine R. Guilfoyle and Mary Catherine Huigen, as Co-Trustees of the Joseph W. Craft III Grantor Retained Annuity Trust FBO Joseph W. Craft IV U/A Dated February 27, 2006.

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 Schedule 13D Amendment No. 1).

24

On February 27, 2008, these Common Units, which were previously held by the Joseph W. Craft III Grantor Retained Annuity Trust Dated February 27, 2006 of which Joseph W. Craft III served as trustee, were allocated to the Joseph W. Craft III Grantor Retained Annuity Trust FBO Joseph W. Craft IV U/A Dated February 27, 2006.


CUSIP NO. 01861G10 0   13D   Page 15 of 58

 

  1  

NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS

 

            Joseph W. Craft III Grantor Retained Annuity Trust FBO Caroline B. Fiddes U/A 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

 

                1,102,895 Common Units25

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                1,102,895 Common Units25, 26

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            1,102,895 Common Units27

   
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*

 

  ¨
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

            1.8%

   
14  

TYPE OF REPORTING PERSON*

 

            OO

   

* SEE INSTRUCTIONS

 

25

Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by Elaine R. Guilfoyle and Mary Catherine Huigen, as Co-Trustees of the Joseph W. Craft III Grantor Retained Annuity Trust FBO Caroline B. Fiddes U/A Dated February 27, 2006.

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 Schedule 13D Amendment No. 1).

27

On February 27, 2008, these Common Units, which were previously held by the Joseph W. Craft III Grantor Retained Annuity Trust Dated February 27, 2006 of which Joseph W. Craft III served as trustee, were allocated to the Joseph W. Craft III Grantor Retained Annuity Trust FBO Caroline B. Fiddes U/A Dated February 27, 2006.


CUSIP NO. 01861G10 0   13D   Page 16 of 58

 

  1  

NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS

 

            Joseph W. Craft III Grantor Retained Annuity Trust FBO Ryan E. Craft U/A 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

 

                1,102,895 Common Units28

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                1,102,895 Common Units28, 29

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            1,102,895 Common Units30

   
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*

 

  ¨
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

            1.8%

   
14  

TYPE OF REPORTING PERSON*

 

            OO

   

* SEE INSTRUCTIONS

 

28

Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by Elaine R. Guilfoyle and Mary Catherine Huigen, as Co-Trustees of the Joseph W. Craft III Grantor Retained Annuity Trust FBO Ryan E. Craft U/A Dated February 27, 2006.

29

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 Schedule 13D Amendment No. 1).

30

On February 27, 2008, these Common Units, which were previously held by the Joseph W. Craft III Grantor Retained Annuity Trust Dated February 27, 2006 of which Joseph W. Craft III served as trustee, were allocated to the Joseph W. Craft III Grantor Retained Annuity Trust FBO Ryan E. Craft Dated February 27, 2006.


CUSIP NO. 01861G10 0   13D   Page 17 of 58

 

  1  

NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS

 

            Joseph W. Craft III Grantor Retained Annuity Trust FBO Kyle O. Craft U/A 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

 

                1,102,894 Common Units31

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                1,102,894 Common Units31, 32

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            1,102,894 Common Units33

   
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*

 

  ¨
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

            1.8%

   
14  

TYPE OF REPORTING PERSON*

 

            OO

   

* SEE INSTRUCTIONS

 

31

Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by Elaine R. Guilfoyle and Mary Catherine Huigen, as Co-Trustees of the Joseph W. Craft III Grantor Retained Annuity Trust FBO Kyle O. Craft U/A Dated February 27, 2006.

32

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 Schedule 13D Amendment No. 1).

33

On February 27, 2008, these Common Units, which were previously held by the Joseph W. Craft III Grantor Retained Annuity Trust Dated February 27, 2006 of which Joseph W. Craft III served as trustee, were allocated to the Joseph W. Craft III Grantor Retained Annuity Trust FBO Kyle O. Craft Dated February 27, 2006.


CUSIP NO. 01861G10 0   13D   Page 18 of 58

 

  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 Units34

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

 

34

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0   13D   Page 19 of 58

 

  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 Units35

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                139,455 Common Units35, 36

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

 

35

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.

36

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0   13D   Page 20 of 58

 

  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 Units37

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                139,455 Common Units37, 38

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

 

37

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.

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0   13D   Page 21 of 58

 

  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 Units39

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

 

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0   13D   Page 22 of 58

 

  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 Units40

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                67,478 Common Units40,41

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

 

40

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.

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0   13D   Page 23 of 58

 

  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 Units42

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                67,478 Common Units42,43

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

 

42

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.

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0   13D   Page 24 of 58

 

  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 Units44

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

 

44

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0   13D   Page 25 of 58

 

  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

 

                1,653,56845

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                2,447,139 Common Units46,47

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            2,447,139 Common Units47

   
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*

 

  ¨
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

            4.1%

   
14  

TYPE OF REPORTING PERSON*

 

            IN

   

* SEE INSTRUCTIONS

 

45

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.

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 Schedule 13D Amendment No. 1).

47

Comprised of (i) 793,571 Common Units held by Gary J. Rathburn individually, and (ii) 1,653,568 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 26 of 58

 

  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

 

                1,653,568 Common Units48

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                1,653,568 Common Units49

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            1,653,568 Common Units37

   
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*

 

  ¨
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

            2.8%

   
14  

TYPE OF REPORTING PERSON*

 

            IN

   

* SEE INSTRUCTIONS

 

48

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.

49

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0   13D   Page 27 of 58

 

  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

 

                1,653,568 Common Units50

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                1,653,568 Common Units50,51

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            1,653,568 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)

 

            2.8%

   
14  

TYPE OF REPORTING PERSON*

 

            OO

   

* SEE INSTRUCTIONS

 

50

Voting and dispositive power may be deemed to be shared with RaFT LLC’s manager, as well as with Gary J. Rathburn and Anita Rathburn, both of whom own a 50% membership interest in RaFT LLC.

51

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0   13D   Page 28 of 58

 

  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 Units52

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

 

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0    13D    Page 29 of 58

 

  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 Units53

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

 

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0    13D    Page 30 of 58

 

  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

 

                616,469 Common Units

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                616,469 Common Units54

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            616,469 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*

 

            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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0    13D    Page 31 of 58

 

  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

 

                438,955 Common Units

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                438,955 Common Units55

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            438,955 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)

 

            0.7%

   
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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0    13D    Page 32 of 58

 

  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

 

                191,385 Common Units

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                191,385 Common Units56

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            191,385 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

 

56

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0    13D    Page 33 of 58

 

  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

 

                196,271 Common Units

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                196,271 Common Units57

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            196,271 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)

 

            0.3%

   
14  

TYPE OF REPORTING PERSON*

 

            IN

   

* SEE INSTRUCTIONS

 

57

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0    13D    Page 34 of 58

 

  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

 

                62,238 Common Units58

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                62,238 Common Units58,59

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            62,238 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

 

58

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.

59

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0    13D    Page 35 of 58

 

  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

 

                62,238 Common Units60

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                62,238 Common Units60,61

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            62,238 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

 

60

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.

61

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0    13D    Page 36 of 58

 

  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

 

                62,237 Common Units62

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                62,237 Common Units62,63

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            62,237 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

 

62

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.

63

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0    13D    Page 37 of 58

 

  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

 

                62,237 Common Units64

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                62,237 Common Units64,65

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            62,237 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

 

64

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.

65

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0    13D    Page 38 of 58

 

  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

 

                115,086 Common Units

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                115,086 Common Units66

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            115,086 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

 

66

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0    13D    Page 39 of 58

 

  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 Units67

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

 

67

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0    13D    Page 40 of 58

 

  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

 

                48,175 Common Units

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                -0-

 

10    SHARED DISPOSITIVE POWER

 

                48,175 Common Units68

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            48,175 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

 

68

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 Schedule 13D Amendment No. 1).


CUSIP NO. 01861G10 0   13D   Page 41 of 58

 

  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

 

                27,852 Common Units

 

  8    SHARED VOTING POWER

 

                -0-

 

  9    SOLE DISPOSITIVE POWER

 

                2,300 Common Units

 

10    SHARED DISPOSITIVE POWER

 

                25,552 Common Units69

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            27,852 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)

 

            0.05%

   
14  

TYPE OF REPORTING PERSON*

 

            IN

   
  * SEE INSTRUCTIONS  

 

69

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 Schedule 13D Amendment No. 1).


Page 42 of 58

 

EXPLANATORY NOTE: This Amendment No. 3 to Schedule 13D (this “Amendment No. 3”) is filed to amend that certain Statement on Schedule 13D (SEC File No. 005-81827; Film No. 06863947)(the “Original Schedule 13D”), as amended by that certain Amendment No. 1 to Schedule 13D filed on March 8, 2007 (SEC File Number 005-81827; Film Number 07680565)(“Schedule 13D Amendment No. 1”), and as further amended by that certain Amendment No. 2 to Schedule 13D filed on August 14, 2008 (SEC File Number 005-81827; Film Number 081016647)(“Schedule 13D Amendment No. 2”, and the Original Schedule 13D, as amended by Schedule 13D Amendment No. 1 and Schedule 13D Amendment No. 2, the “Amended Schedule 13D”). Capitalized terms herein which are not otherwise defined herein shall have the meanings ascribed to such terms in Schedule 13D Amendment No. 1.

 

Item 2. Identity and Background.

Item 2 is hereby amended as follows:

(a) The cover page for A. Wellford Tabor has been removed. As reported in Schedule 13D Amendment No. 2, effective as of March 20, 2008, Mr. Tabor was replaced as Trustee of each of (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 (collectively, the “Craft Children’s Irrevocable Trusts”) and is no longer deemed to be a member of the filing group reported under this Amended Schedule 13D.

(b) Cover pages have been added for each of (i) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Joseph W. Craft IV U/A Dated February 27, 2006; (ii) Joseph W. Craft III Grantor Retained Annuity Trust FBO Caroline B. Fiddes U/A Dated February 27, 2006; (iii) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Ryan E. Craft U/A Dated February 27, 2006; and (iv) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Kyle O. Craft U/A Dated February 27, 2006 (collectively, the “Craft Children’s GRATs”). Beneficial ownership of the aggregate 4,411,579 Common Units held in the Craft Children’s GRATs was attributed to Joseph W. Craft III, individually, in Schedule 13D Amendment No. 1 and Schedule 13D Amendment No. 2 because those Common Units were held in the Joseph W. Craft III Grantor Retained Annuity Trust Dated February 27, 2006, of which Joseph W. Craft III served as trustee until February 27, 2008. Effective as of February 27, 2008, Joseph W. Craft III ceased to beneficially own those Common Units as they were allocated to the Craft Children’s GRATs for which A. Wellford Tabor initially served as trustee until he was replaced on March 20, 2008 by new co-trustees, Elaine R. Guilfoyle and Mary Catherine Huigens. The cover pages for Ms. Guilfoyle and Ms. Huigens, which were added in Schedule 13D Amendment No. 2 to reflect their positions as co-trustees of the Craft Children’s Irrevocable Trusts, have been revised to reflect that they also serve as co-trustees of the Craft Children’s GRATs.

(c) Schedule I to Schedule 13D Amendment No. 1 is hereby supplemented by adding the follow line items to provide required information regarding the Craft Children’s GRATs and the co-trustees thereof:

 

Name

  

Citizenship or State

of Formation, as

Applicable

  

Business Address or Residence

Elaine R. Guilfoyle, as Co-Trustee of (i) the Craft Children’s Irrevocable Trusts and (ii) the Craft Children’s GRATs.    USA   

Elaine R. Guilfoyle

c/o Alliance Resource GP, LLC

1717 South Boulder Avenue

Tulsa, OK 74119

Mary Catherine Huigens, as Co-Trustee of (i) the Craft Children’s Irrevocable Trusts and (ii) the Craft Children’s GRATs.    USA   

Mary Catherine Huigens, Co-Trustee

Sr. Vice President and Trust Officer

Bank of Oklahoma

BOK Place @ Southern Hills

5727 S. Lewis

Suite 800

Tulsa, OK 74105

Joseph W. Craft III Grantor Retained Annuity Trust FBO Joseph W. Craft IV U/A Dated February 27, 2006    Oklahoma   

c/o Mary Catherine Huigens, Co-Trustee

Sr. Vice President and Trust Officer

Bank of Oklahoma

BOK Place @ Southern Hills

5727 S. Lewis

Suite 800

Tulsa, OK 74105


Page 43 of 58

 

Joseph W. Craft III Grantor Retained Annuity Trust FBO Caroline B. Fiddes U/A Dated February 27, 2006    Oklahoma   

c/o Mary Catherine Huigens, Co-Trustee

Sr. Vice President and Trust Officer

Bank of Oklahoma

BOK Place @ Southern Hills

5727 S. Lewis

Suite 800

Tulsa, OK 74105

Joseph W. Craft III Grantor Retained Annuity Trust FBO Ryan E. Craft U/A Dated February 27, 2006    Oklahoma   

c/o Mary Catherine Huigens, Co-Trustee

Sr. Vice President and Trust Officer

Bank of Oklahoma

BOK Place @ Southern Hills

5727 S. Lewis

Suite 800

Tulsa, OK 74105

Joseph W. Craft III Grantor Retained Annuity Trust FBO Kyle O. Craft U/A Dated February 27, 2006    Oklahoma   

c/o Mary Catherine Huigens, Co-Trustee

Sr. Vice President and Trust Officer

Bank of Oklahoma

BOK Place @ Southern Hills

5727 S. Lewis

Suite 800

Tulsa, OK 74105

(d) Schedule II to Schedule 13D Amendment No. 1 is hereby supplemented by adding the follow line items to provide required information regarding the Craft Children’s GRATs and the co-trustees thereof:

 

Name

  

Principal Occupation or Employment; Name of

Organization in which such Employment is Conducted

Elaine R. Guilfoyle, as Co-Trustee of (i) the Craft Children’s Irrevocable Trusts and (ii) the Craft Children’s GRATs.    Elaine R. Guilfoyle serves as the co-trustee for eight trusts that hold AHGP Common Units and is a homemaker.
Mary Catherine Huigens, as Co-Trustee of (i) the Craft Children’s Irrevocable Trusts and (ii) the Craft Children’s GRATs.    Mary Catherine Huigens is a Sr. Vice President and Trust Officer of Bank of Oklahoma and she serves as the co-trustee for eight trusts that hold AHGP Common Units. Her employer, Bank of Oklahoma, is located at BOK Place @ Southern Hills, 5727 S. Lewis, Suite 800, Tulsa, OK 74105.
Joseph W. Craft III Grantor Retained Annuity Trust FBO Joseph W. Craft IV U/A Dated February 27, 2006    The Joseph W. Craft III Grantor Retained Annuity Trust FBO Joseph W. Craft IV U/A Dated February 27, 2006 is a trust.
Joseph W. Craft III Grantor Retained Annuity Trust FBO Caroline B. Fiddes U/A Dated February 27, 2006    The Joseph W. Craft III Grantor Retained Annuity Trust FBO Caroline B. Fiddes U/A Dated February 27, 2006 is a trust.
Joseph W. Craft III Grantor Retained Annuity Trust FBO Ryan E. Craft U/A Dated February 27, 2006    The Joseph W. Craft III Grantor Retained Annuity Trust FBO Ryan E. Craft U/A Dated February 27, 2006 is a trust.
Joseph W. Craft III Grantor Retained Annuity Trust FBO Kyle O. Craft U/A Dated February 27, 2006    The Joseph W. Craft III Grantor Retained Annuity Trust FBO Kyle O. Craft U/A Dated February 27, 2006 is a trust.

 

Item 5. Interest in Securities of the Issuer.

Paragraphs (a) and (b) of Item 5 are hereby amended and restated as follows:

(a) There were 59,863,000 Common Units outstanding as of December 22, 2008. 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.


Page 44 of 58

 

(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.

 

Item 6. Contracts, Arrangements, Understandings, or Relationships with Respect to Securities of the Issuer.

Item 6 is hereby amended to add the following:

(a) On September 16, 2008, Alliance Management Holdings III, LLC (“AMH III”) entered into option agreements with numerous employees of Alliance Coal, LLC and its affiliates pursuant to which AMH III sold to such employees the right to acquire an aggregate of 266,505 Common Units held by AMH III (the “September 16th Options”). On September 25, 2008, AMH III entered into additional option agreements with employees of Alliance Coal, LLC and its affiliates pursuant to which AMH III sold to such employees the right to acquire an aggregate of 47,500 additional Common Units held by AMH III (the “September 25th Options”, and together with the September 16th Options, the “Employee Options”). AMH received consideration of $3.36 per Common Unit for each Employee Option. All of the Employee Options are exercisable from July 1, 2011 through July 1, 2013 and have an exercise price of $30.00 per Common Unit. None of the recipients of the Employee Options are Reporting Persons hereunder. The agreement for each Employee Option (the “AMH III Option Agreement”) is in substantially the form attached hereto as Exhibit F.

(b) As reported in Item 6 of Schedule 13D Amendment No. 2, eight of the Reporting Persons under the Amended Schedule 13D granted options to purchase Common Units held by such Reporting Persons to Alliance Holdings GP, L.P. (the “Partnership”). The exercise period for those options became effective between July 31, 2008 and August 6, 2008 and the exercise period for all such options expired on October 28, 2008. None of the options were exercised by the Partnership during the exercise period and neither the Reporting Persons nor the Partnership have any remaining obligations under those option agreements.

 

Item 7. Material to be Filed as Exhibits.

Item 7 is hereby amended and restated as follows:

 

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 December 22, 2008; filed herewith.
Exhibit E:   Form of the Option Agreement entered into by and among each Grantor and the Partnership (as defined in Schedule 13D Amendment No. 2); filed as Exhibit E to Schedule 13D Amendment No. 2 (File No. 005-81827; Film No. 081016647); incorporated herein by reference.
Exhibit F:   Form of AMH III Option Agreement entered into by and among Alliance Management Holdings III, LLC and numerous employees of Alliance Coal, LLC and its affiliates; filed herewith.


Page 45 of 58

 

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: December 22, 2008

 

/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 5/08/06

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


Page 46 of 58

 

 

/s/ Elaine R. Guilfoyle by Megan Cordle pursuant to Powers of Attorney dated 8/8/08 and December 11, 2008

  Elaine R. Guilfoyle, individually, and as Co-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;
  (iv) the Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006;
  (v) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Joseph W. Craft IV U/A Dated February 27, 2006;
  (vi) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Caroline B. Fiddes U/A Dated February 27, 2006;
  (vii) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Ryan E. Craft U/A Dated February 27, 2006; and
  (viii) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Kyle O. Craft U/A Dated February 27, 2006
 

/s/ Mary Catherine Huigens by Megan Cordle pursuant to Powers of Attorney dated 8/11/08 and December 11, 2008

  Mary Catherine Huigens, individually, and as Co-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;
  (iv) the Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006;
  (v) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Joseph W. Craft IV U/A Dated February 27, 2006;
  (vi) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Caroline B. Fiddes U/A Dated February 27, 2006;
  (vii) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Ryan E. Craft U/A Dated February 27, 2006; and
  (viii) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Kyle O. Craft U/A Dated February 27, 2006
 

/s/ Charles R. Wesley by Megan Cordle pursuant to Power of Attorney dated 2/2/07

  Charles R. Wesley


Page 47 of 58

 

/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

/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


Page 48 of 58

 

/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

/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


Page 49 of 58

 

/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


Page 50 of 58

 

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 December 22, 2008; filed herewith.
Exhibit E:   Form of the Option Agreement entered into by and among each Grantor and the Partnership (as defined in Schedule 13D Amendment No. 2); filed as Exhibit E to Schedule 13D Amendment No. 2 (File No. 005-81827; Film No. 081016647); incorporated herein by reference.
Exhibit F:   Form of the AMH III Option Agreement entered into by and among Alliance Management Holdings III, LLC and numerous employees of Alliance Coal, LLC and its affiliates; filed herewith.
EX-99.D 2 dex99d.htm JOINT FILING AGREEMENT Joint Filing Agreement

Page 51 of 58

 

Exhibit D

JOINT FILING AGREEMENT

In accordance with Rule 13d-1(f) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13D referred to below) on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to the Common Units of beneficial interest of Alliance Holdings GP, L.P., a Delaware limited partnership, and that this Joint Filing Agreement may be included as an Exhibit to such joint filing. This Joint Filing Agreement may be executed in any number of counterparts, all of which taken together shall constitute one and the same instrument.

IN WITNESS WHEREOF, the undersigned hereby execute this Joint Filing Agreement as of the 22nd day of December, 2008.

 

/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 5/08/06

Name:   Megan Cordle
Title:   Attorney-in-Fact


Page 52 of 58

 

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/ Elaine R. Guilfoyle by Megan Cordle pursuant to Powers of Attorney dated 8/8/08 and December 11, 2008

Elaine R. Guilfoyle, individually, and as Co-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;
(iv) the Joseph W. Craft III 2006 Irrevocable Trust
FBO Kyle O. Craft dated February 27, 2006;
(v) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Joseph W. Craft IV U/A Dated February 27, 2006;
(vi) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Caroline B. Fiddes U/A Dated February 27, 2006;
(vii) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Ryan E. Craft U/A Dated February 27, 2006; and
(viii) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Kyle O. Craft U/A Dated February 27, 2006

/s/ Mary Catherine Huigens by Megan Cordle pursuant to Powers of Attorney dated 8/11/08 and December 11, 2008

Mary Catherine Huigens, individually, and as Co-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;
(iv) the Joseph W. Craft III 2006 Irrevocable Trust
FBO Kyle O. Craft dated February 27, 2006;
(v) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Joseph W. Craft IV U/A Dated February 27, 2006;
(vi) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Caroline B. Fiddes U/A Dated February 27, 2006;
(vii) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Ryan E. Craft U/A Dated February 27, 2006; and
(viii) the Joseph W. Craft III Grantor Retained Annuity Trust FBO Kyle O. Craft U/A Dated February 27, 2006

/s/ Charles R. Wesley by Megan Cordle pursuant to Power of Attorney dated 2/2/07

Charles R. Wesley


Page 53 of 58

 

/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

/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


Page 54 of 58

 

/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

/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
EX-99.F 3 dex99f.htm FORM OF THE AMH III OPTION AGREEMENT Form of the AMH III Option Agreement

Page 55 of 58

 

Exhibit F

FORM OF AMH III OPTION AGREEMENT

 

Date of Option Sale:

  

 

  

Name of Optionee:

  

 

  

Purchase Price per Option:

   $3.36            

Option Exercise Price per Common Unit:

   $30.00            

Number of Options

              

(One Option Equals the Right to Purchase One Common Unit):

  

 

        

Total Purchase Price:

  

 

        

Option Number:

   08-                                                    

Alliance Management Holdings III, LLC (“AMH III”) hereby sells to you the above number of options (the “Options”) to purchase common units representing limited partner interests (“Common Units”) of Alliance Holdings GP, L.P. (the “Partnership”) as follows:

1. Each such Option has the option exercise price set forth above.

2. Subject to Section 5, the Options shall become exercisable on July 1, 2011 and may be exercised (in whole or in part or in two or more successive parts) only within the period beginning on July 1, 2011 and ending on July 1, 2013. The ability to exercise the Options is not contingent upon the Optionee continuing to be employed by the Partnership, Alliance Resource Partners, L.P., Alliance Coal, LLC or any of their affiliates.

3. To the extent exercisable, the Options may be exercised from time to time pursuant to the procedures set forth in Addendum No. 1 and the date of exercise shall be as provided therein.

4. An election to exercise one or more of the Options shall be accompanied by the tender of the full exercise price of the Options (rounded to the nearest whole cent) for which the election is made. Payment of the exercise price may be made in cash or a check acceptable to AMH III or, with the consent of AMH III, a net exercise procedure approved by AMH III in accordance with the procedures set forth in Addendum No. 1 hereto.

5. In the event of a Change in Control (as defined below), then notwithstanding Section 2 to the contrary, you may exercise the Options, but only during the period beginning on the Change of Control and ending on the earlier of (A) the date which is 90 days after the date of such Change of Control or (B) July 1, 2013. “Change in Control” means the occurrence of any of the following: (i) Alliance GP, LLC shall at any time for any reason cease to be the sole or managing general partner of Alliance Holdings GP, L.P., (ii) the managing general partner of Alliance Resource Operating Partners, L.P. shall at any time for any reason cease to be the sole or managing general partner of Alliance Resource Partners, L.P. or (iii) Alliance Holdings GP, L.P. ceases to control, directly or indirectly, Alliance Resource Partners, L.P. “AHGP Management Investors” means any of (1) C-Holdings, LLC, (2) the management, officers and/or directors of Alliance GP, LLC and/or the sole or managing general partner of Alliance Resource Partners, L.P. who are also unit holders (or partners or shareholders) of Alliance Holdings GP, L.P. (all such persons of management, officers and directors, collectively, the “Management Persons”), (3) any corporation, limited liability company, partnership, trust or other legal entity owned, directly or indirectly, by such Management Person or by such Management Person and his or her spouse or direct lineal descendent or, in the case of a trust, as to which such Management Person is (either individually or together with such Management Person’s spouse) a trustee, and/or (4) any Person that is a party to the Transfer Restrictions Agreement (so long as such Transfer Restrictions Agreement remains in effect). “Transfer Restrictions Agreement” means that certain Transfer Restrictions Agreement, dated as of June 13, 2006, by and among Alliance Holdings GP, L.P., Alliance GP, LLC, C-Holdings, LLC, Joseph W. Craft III, Alliance Resource Holdings II, Inc., Alliance Resource Holdings, Inc., Alliance Resource GP, LLC and each other party named therein as a party thereto, as the same may be amended, modified or supplemented. In addition, if AHGP Management Investors shall at any time for any reason cease collectively to own, directly or indirectly, more than 33 1/3% percent of the outstanding limited partnership units of the Partnership but a Change in Control has not otherwise occurred, you may exercise the Options during the period beginning on the date on which the AHGP Management Investors cease collectively to own, directly or indirectly, more than 33 1/3 % of the outstanding limited partnership units of the Partnership and ending on July 1, 2013.


Page 56 of 58

 

6. Notwithstanding any other provision of this Agreement, the Options shall not be exercisable, and AMH III shall not be obligated to deliver to you any Common Units, if counsel to AMH III determines such exercise or delivery, as the case may be, would violate any law or regulation of any governmental authority or agreement between AMH III or the Partnership and any national securities exchange upon which the Common Units are listed or any policy of AMH III or the Partnership or any Affiliate of AMH III or the Partnership.

7. Notwithstanding any other provision of this Agreement, if you are an employee of the Partnership, Alliance Resource Partners, L.P., Alliance Coal, LLC or any of their Affiliates and you give notice of exercise outside of a Window Period (as defined by AHGP’s Company Policy on Securities Trading and Confidential Information, dated July 15, 2006), during the two trading days prior to the end of such Window Period or while another quiet period has been designated with respect to any significant pending transaction or similar development, the delivery of Common Units pursuant to your exercise will be deferred until the next Window Period. This restriction will apply regardless of whether you are in possession of material non-public information with respect to the particular quiet period. Further, AMH III shall have no liability to you for any loss you may suffer (whether by a decrease in the value of the Common Units, failure or inability to receive Partnership distributions or otherwise) from any delay by AMH III in delivering to you Common Units in connection with the whole or partial exercise by you of the Options.

8. You may not sell, assign or otherwise transfer the Options, this Agreement or any interest in the Options or this Agreement.

9. In connection with the purchase of the Options, you certify your understanding of, and intent to comply with, the procedures set forth in Addendum No. 1 hereto.

 

Alliance Management Holdings III, LLC
By:  

 

Name:   R. Eberley Davis
Title:  

Senior Vice President, General Counsel

and Secretary

 

Optionee:

 

[insert name]


Page 57 of 58

 

Addendum No. 1 to Option Agreement

Compliance Procedures for Exercising Options in AHGP Units

August 27, 2008

 

1. Options Exercise Costs

When you exercise options, you are responsible for paying the option price for the Common Units (the “Strike Price”) and all costs associated with the transaction (the “Costs”). Pursuant to the net exercise procedure described below, the Strike Price and Costs will be covered by netting of Common Units.

 

2. Mandatory Options Exercise Procedure

You must follow the procedure set forth below to exercise options in AHGP Common Units.

 

  a. An Options Transaction Clearance Request (a “Request Form”) (Attachment 1) must be submitted at least two business days in advance of the proposed date of exercise to AMH III at its corporate offices in Tulsa, Oklahoma as follows:

Alliance Management Holdings III, LLC

1717 South Boulder Avenue, Suite 400

Tulsa, Oklahoma 74119

Attention: General Counsel

 

  b. The Board of Directors of AMH III (the “AMH III Board”) will then determine whether the proposed exercise meets the following criteria (the “Approval Criteria”):

 

   

you are not in the possession of material non-public information,

 

   

if you are an employee of AHGP, ARLP, Alliance Coal, LLC or any of their affiliates:

 

   

it is during a Window Period (i.e., the trading window is open) and no other blackout period is in effect, and

 

   

the timing of the proposed transaction is not inappropriately close to a potential AHGP or ARLP securities offering or a potential AHGP or ARLP material transaction or event,

and

 

   

there is nothing about the proposed exercise that the AMH III Board reasonably believes could adversely impact AHGP.

 

  c. The AMH III Board will give you notice of approval or disapproval of the proposed exercise. If approved, the date of such notice shall be deemed to be the date of exercise and your election to exercise shall be irrevocable. Until such notice is given, the affected options shall not be, and shall not be deemed to be, exercised. You may withdraw such Request Form at any time prior to the date of the approval or disapproval notice from the AMH III Board.

 

3. Net Exercise Procedure

If the proposed exercise is approved by the AMH III Board, AMH III will deliver to you Common Units corresponding to the number of Options being exercised, net of the number of Common Units necessary to cover the Strike Price and Costs. If you do not wish to utilize this net exercise procedure but prefer to pay AMH III in cash for the Strike Price and Costs, you must have advance approval by the AMH III Board.

Be aware that you may be at risk for changes in the market value of Common Units for the time between delivery of a Request Form and the date of the completion of the transaction and delivery of the Common Units to you, as outlined above. The market price could go up or down in that period, and you will have no control over such fluctuations. This could work to your advantage or your disadvantage, depending on market conditions.

Attachment            1. OPTIONS TRANSACTION CLEARANCE REQUEST


Page 58 of 58

 

Attachment 1

OPTIONS TRANSACTION CLEARANCE REQUEST

 

TO: Alliance Management Holdings III, LLC

1717 South Boulder Avenue, Suite 400

Tulsa, Oklahoma 74119,

Attention: General Counsel

FROM:                                                       

DATE:                                             , 20    

 

RE: Request for Clearance to Exercise AHGP Options

I am requesting clearance of the following proposed exercise of options in Alliance Holdings GP, L.P. (“AHGP”) Common Units:

Number of options to be exercised:                         

Option Number                 

Strike Price $30.00 per Common Unit

Proposed date of exercise:                                                                      

By submitting this request, I represent that I am not in possession of any material non-public information about AHGP that would disqualify me under the federal securities laws from executing the proposed transaction.

 

 

    Date:                         , 20    
[signature required]    

 

¨ Transaction cleared.

 

¨ Transaction NOT cleared.

 

By:  

 

Date:                         , 20    .

cc: Option holder, [                        ]

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