UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 1)
Alliance Resource Partners, L.P.
(Name of Issuer)
Common Units
(Title and Class of Securities)
01877R 10 8
(CUSIP Number)
Thomas L. Pearson
Senior Vice President - Law and Administration,
General Counsel and Secretary
Alliance Resource Management GP, LLC
1717 South Boulder Avenue, Suite 600
Tulsa, Oklahoma 74119
(918) 295-7600
(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
February 14, 2003
(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 that 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. [ ]
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.
Page 1
-------------------------------------------------------------------------------
CUSIP NO. 01877R 10 8 13D/A Page 2 of 10 Pages
-------------------------------------------------------------------------------
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 OT ITEM 2(D) OR 2(E)
-------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
-------------------------------------------------------------------------------
7 SOLE VOTING POWER
1,446,343 Common Units of Alliance Resource Partners, L.P.
------------------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY -0-
OWNED BY ------------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON WITH 1,446,343 Common Units of Alliance Resource Partners, L.P.
------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
-------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,446,343 Common Units of Alliance Resource Partners, L.P.
-------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) [ ]
EXCLUDES CERTAIN SHARES*
-------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
12.60%
-------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON *
IN
-------------------------------------------------------------------------------
* SEE INSTRUCTIONS
-------------------------------------------------------------------------------
Page 2
-------------------------------------------------------------------------------
CUSIP NO. 01877R 10 8 13D/A Page 3 of 10 Pages
-------------------------------------------------------------------------------
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 OT ITEM 2(D) OR 2(E)
-------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
-------------------------------------------------------------------------------
7 SOLE VOTING POWER
1,232,780 Common Units of Alliance Resource Partners, L.P.
------------------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY -0-
OWNED BY ------------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON WITH 1,232,780 Common Units of Alliance Resource Partners, L.P.
------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
-------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,232,780 Common Units of Alliance Resource Partners, L.P.
-------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) [ ]
EXCLUDES CERTAIN SHARES *
-------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.74%
-------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON *
CO
-------------------------------------------------------------------------------
* SEE INSTRUCTIONS
-------------------------------------------------------------------------------
Page 3
-------------------------------------------------------------------------------
CUSIP NO. 01877R 10 8 13D/A Page 4 of 10 Pages
-------------------------------------------------------------------------------
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 OT ITEM 2(D) OR 2(E)
-------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
-------------------------------------------------------------------------------
7 SOLE VOTING POWER
1,232,780 Common Units of Alliance Resource Partners, L.P.
------------------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY -0-
OWNED BY ------------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON WITH 1,232,780 Common Units of Alliance Resource Partners, L.P.
------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
-------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,232,780 Common Units of Alliance Resource Partners, L.P.
-------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) [ ]
EXCLUDES CERTAIN SHARES *
-------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.74%
-------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON *
HC, CO
-------------------------------------------------------------------------------
* SEE INSTRUCTIONS
-------------------------------------------------------------------------------
Page 4
-------------------------------------------------------------------------------
CUSIP NO. 01877R 10 8 13D/A Page 5 of 10 Pages
-------------------------------------------------------------------------------
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 OT ITEM 2(D) OR 2(E)
-------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
-------------------------------------------------------------------------------
7 SOLE VOTING POWER
1,232,780 Common Units of Alliance Resource Partners, L.P.
------------------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY -0-
OWNED BY ------------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON WITH 1,232,780 Common Units of Alliance Resource Partners, L.P.
------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
-------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,232,780 Common Units of Alliance Resource Partners, L.P.
-------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) [ ]
EXCLUDES CERTAIN SHARES*
-------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.74%
-------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
OO
-------------------------------------------------------------------------------
* SEE INSTRUCTIONS
-------------------------------------------------------------------------------
Page 5
-------------------------------------------------------------------------------
CUSIP NO. 01877R 10 8 13D/A Page 6 of 10 Pages
-------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Alliance Management Holdings, 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 OT ITEM 2(D) OR 2(E)
-------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
-------------------------------------------------------------------------------
7 SOLE VOTING POWER
10,921 Common Units of Alliance Resource Partners, L.P.
------------------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY -0-
OWNED BY ------------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON WITH 10,921 Common Units of Alliance Resource Partners, L.P.
------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
-------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,921 Common Units of Alliance Resource Partners, L.P.
-------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) [ ]
EXCLUDES CERTAIN SHARES*
-------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.10%
-------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
HC, OO
-------------------------------------------------------------------------------
* SEE INSTRUCTIONS
-------------------------------------------------------------------------------
Page 6
-------------------------------------------------------------------------------
CUSIP NO. 01877R 10 8 13D/A Page 7 of 10 Pages
-------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
AMH II, LLC
-------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ X ]
(b) [ ]
-------------------------------------------------------------------------------
3 SEC USE ONLY
-------------------------------------------------------------------------------
4 SOURCE OF FUNDS *
OO
-------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS [ ]
REQUIRED PURSUANT OT ITEM 2(D) OR 2(E)
-------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
-------------------------------------------------------------------------------
7 SOLE VOTING POWER
113,561 Common Units of Alliance Resource Partners, L.P.
------------------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY -0-
OWNED BY ------------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON WITH 113,561 Common Units of Alliance Resource Partners, L.P.
------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
-------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
113,561 Common Units of Alliance Resource Partners, L.P.
-------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) [ ]
EXCLUDES CERTAIN SHARES*
-------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.99%
-------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
HC, OO
-------------------------------------------------------------------------------
* SEE INSTRUCTIONS
-------------------------------------------------------------------------------
Page 7
AMENDMENT NO. 1 TO SCHEDULE 13D
This Amendment No. 1 to Schedule 13D (the "Amendment") amends and
supplements the Schedule 13D filed with the Securities and Exchange Commission
on May 21, 2002 (the "Schedule 13D"), which relates to the beneficial ownership
by the Reporting Persons (as defined below) of the common units (the "Common
Units") of Alliance Resource Partners, L.P., a Delaware limited partnership
(the "Partnership"). Unless set forth below, all previous Items of the Schedule
13D are unchanged. Capitalized terms used herein which are not defined herein
have the meanings set forth in the Schedule 13D.
This Amendment is being filed by Joseph W. Craft III ("Craft"),
Alliance Resource Holdings, Inc. ("Holdings"), Alliance Resource Holdings II,
Inc. ("ARH-II"), Alliance Resource GP, LLC (the "SGP"), Alliance Management
Holdings, LLC ("AMH"), and AMH II, LLC ("AMH-II") (collectively, the "Reporting
Persons") pursuant to their Joint Filing Agreement (incorporated herein by
reference to Exhibit D to the Schedule 13D). This Amendment is being filed to
disclose the decrease in the percentage of beneficial ownership of Common Units
by the Reporting Persons resulting from the public offering of Common Units by
the Partnership on February 14, 2003. Consequently, the Schedule 13D is amended
and supplemented as follows:
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
Item 5 of the Schedule 13D is hereby amended and restated in its entirety as
follows:
(a) There were 11,481,262 Common Units outstanding as of April 7,
2003. Craft is deemed to be the beneficial owner of 1,446,343 Common Units,
which constitute approximately 12.60% of the total issued and outstanding
Common Units issued and outstanding as of April 7, 2003. As indicated in Item 3
of the Schedule 13D, Craft expressly disclaims beneficial ownership of 13,500
Common Units of the Partnership held by a private foundation for which he
serves as trustee. Holdings is deemed to be the beneficial owner of 1,232,780
Common Units, which constitute approximately 10.74% of the total issued and
outstanding Common Units issued and outstanding as of April 7, 2003. ARH-II is
deemed to be the beneficial owner of 1,232,780 Common Units, which constitute
approximately 10.74% of the total issued and outstanding Common Units issued
and outstanding as of April 7, 2003. The SGP is deemed to be the beneficial
owner of 1,232,780 Common Units, which constitute approximately 10.74% of the
total issued and outstanding Common Units issued and outstanding as of April 7,
2003. AMH is deemed to be the beneficial owner of 10,921 Common Units, which
constitute approximately 0.10% of the total issued and outstanding Common Units
issued and outstanding as of April 7, 2003. AMH-II is deemed to be the
beneficial owner of 113,561 Common Units, which constitute approximately 0.99%
of the total issued and outstanding Common Units issued and outstanding as of
April 7, 2003. The SGP also holds 6,422,531 subordinated limited partnership
interests in the Partnership, which may be converted into an equal number of
Common Units upon satisfaction of the conditions as described in the
Registration Statement on Form S-1 (333-78845), incorporated herein by
reference.
(b) The number of Common Units as to which there is sole power to vote
or to direct the vote, sole power to dispose or direct the disposition, or
shared power to dispose or direct the disposition for the Reporting Persons is
set forth on the cover pages of this Amendment, and such information is
incorporated herein by reference.
Page 8
(c) The Reporting Persons have not acquired any Common Units of the
Partnership during the past sixty days, other than the purchases reported
herein.
(d) The Reporting Persons have the right to receive distributions
from, and the proceeds of sale of, the Common Units reported by such persons on
the cover pages of this Amendment.
(e) Not applicable.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
Item 7 of the Schedule 13D is hereby amended and restated in its entirety as
follows:
Exhibit A Registration Statement on Form S-1 filed May 20, 1999 for
Alliance Resource Partners, L.P. (333-78845) incorporated herein by
reference.
Exhibit B Security and Pledge Agreement, dated as of May 8, 2002 by and
among AMH-II, the MGP, ARH-II, Holdings, the Management Investors
as identified therein, The Beacon Group Energy Investment Fund,
L.P., MPC Partners, LP and three individuals as "Sellers"
identified therein, and JPMorgan Chase Bank, as collateral agent,
incorporated herein by reference to exhibit 99.2 of Alliance
Resource Partners, L.P.'s Current Report on Form 8-K, dated May 9,
2002.
Exhibit C Form of Promissory Note made by Holdings, dated as of May 8, 2002
incorporated herein by reference to exhibit 99.3 of Alliance
Resource Partners, L.P.'s Current Report on Form 8-K dated May 9,
2002.
Exhibit D Joint Filing Agreement, dated May 20, 2002 incorporated herein by
reference to Exhibit D of the Schedule 13D.
Exhibit E Promissory Note made by AMH and Security and Pledge Agreement,
dated May 8, 2002 by and between AMH and Holdings incorporated
herein by reference to Exhibit E of the Schedule 13D.
Exhibit F Promissory Note made by AMH-II and Security and Pledge Agreement,
dated May 8, 2002 by and between AMH-II and Holdings incorporated
herein by reference to Exhibit F of the Schedule 13D.
Page 9
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: April 7, 2003
By: /s/ Joseph W. Craft III
-----------------------------------------
Name: Joseph W. Craft III
ALLIANCE RESOURCE HOLDINGS, INC.
By: /s/ Thomas L. Pearson
---------------------------------------
Name: Thomas L. Pearson
Title: Senior Vice President - Law and Administration,
General Counsel and Secretary
ALLIANCE RESOURCE HOLDINGS II, INC.
By: /s/ Thomas L. Pearson
---------------------------------------
Name: Thomas L. Pearson
Title: Secretary
ALLIANCE RESOURCE GP, LLC
By: /s/ Thomas L. Pearson
---------------------------------------
Name: Thomas L. Pearson
Title: Senior Vice President - Law and Administration,
General Counsel and Secretary
ALLIANCE MANAGEMENT HOLDINGS, LLC
By: /s/ Thomas L. Pearson
---------------------------------------
Name: Thomas L. Pearson
Title: Secretary
AMH II, LLC
By: /s/ Thomas L. Pearson
---------------------------------------
Name: Thomas L. Pearson
Title: Secretary
Page 10