UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Huigens Mary Catherine BOK PLACE @ SOUTHERN HILLS 5727 S. LEWIS STREET TULSA, OK 74105 |
 |  |  | Member of 13d group (over 10%) |
Guilfoyle Elaine R BOK PLACE @ SOUTHERN HILLS 5727 S. LEWIS STREET TULSA, OK 74105 |
 |  |  | Member of 13d group (over 10%) |
Joseph W. Craft III 2006 Irrevocable Trust FBO Josheph W. Craft IV dated February 27, 2006 BOK PLACE @ SOUTHERN HILLS 5727 S. LEWIS STREET TULSA, OK 74105 |
 |  |  | Member of 13d group (over 10%) |
Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006 BOK PLACE @ SOUTHERN HILLS 5727 S. LEWIS STREET TULSA, OK 74105 |
 |  |  | Member of 13d group (over 10%) |
Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006 BOK PLACE @ SOUTHERN HILLS 5727 S. LEWIS STREET TULSA, OK 74105 |
 |  |  | Member of 13d group (over 10%) |
Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006 BOK PLACE @ SOUTHERN HILLS 5727 S. LEWIS STREET TULSA, OK 74105 |
 |  |  | Member of 13d group (over 10%) |
The Joseph W. Craft III Grantor Retained Annuity Trust FBO Joseph W. Craft IV U/A Dated February 27, 2006 BOK PLACE @ SOUTHERN HILLS 5727 S. LEWIS STREET TULSA, OK 74105 |
 |  |  | Member of 13d group (over 10%) |
The Joseph W. Craft III Grantor Retained Annuity Trust FBO Caroline B. Fiddes U/A Dated February 27, 2006 BOK PLACE @ SOUTHERN HILLS 5727 S. LEWIS STREET TULSA, OK 74105 |
 |  |  | Member of 13d group (over 10%) |
The Joseph W. Craft III Grantor Retained Annuity Trust FBO Ryan E. Craft U/A Dated February 27, 2006 BOK PLACE @ SOUTHERN HILLS 5727 S. LEWIS STREET TULSA, OK 74105 |
 |  |  | Member of 13d group (over 10%) |
The Joseph W. Craft III Grantor Retained Annuity Trust FBO Kyle O. Craft U/A Dated February 27, 2006 BOK PLACE @ SOUTHERN HILLS 5727 S. LEWIS STREET TULSA, OK 74105 |
 |  |  | Member of 13d group (over 10%) |
/s/ Mary Catherine Huigens by Megan Cordle, pursuant to power of attorney dated August 11, 2008 | 12/22/2008 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This Form 3 is being filed by Mary Catherine Huigens, along with Elaine R. Guilfoyle and the eight (8) trust entities listed on the Joint Filer Information Statement attached as Exhibit 24.1 hereto (collectively, the "Reporting Persons"). On March 20, 2008, Ms. Huigens and Ms. Guilfoyle became co-trustees of each of the eight trusts that are Reporting Persons hereunder, but neither Ms. Huigens nor Ms. Guilfoyle have any pecuniary interest in the securities of Alliance Holdings GP, L.P. held by such trusts. Each Reporting Person may be deemed to be part of a 13(d) group owning more than 10% of the securities of Alliance Holdings GP, L.P. (continue footnote 2) |
(2) | For purposes of Section 16 of the Securities Exchange Act of 1934, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of her or its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
(3) | Prior to the appointment of Ms. Huigens and Ms. Guilfoyle as co-trustees on March 20, 2008, A. Wellford Tabor served as the sole trustee of the Trust. |
(4) | These shares are owned directly by the Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006. |
(5) | These shares are owned directly by the Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006. |
(6) | These shares are owned directly by the Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006. |
(7) | These shares are owned directly by the Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006. |
(8) | The shares held in this trust were originally held by the Joseph W. Craft III Grantor Retained Annuity Trust, of which Joseph W. Craft III served as trustee (the "Parent GRAT"). On February 27, 2008, the term of the Parent GRAT expired and the shares held thereby were equally allocated among the four trusts named in footnotes (8) through (11) below (the "Children's Trusts"). For the period between February 27, 2008 and March 20, 2008, A. Wellford Tabor served as the sole trustee of the Children's Trusts. On March 20, 2008, Ms. Huigens and Ms. Guilfoyle were named as co-trustees of the Children's Trusts in place of Mr. Tabor. |
(9) | These shares are owned directly by the Joseph W. Craft III Grantor Retained Annuity Trust FBO Joseph W. Craft IV U/A Dated February 27, 2006. |
(10) | These shares are owned directly by the Joseph W. Craft III Grantor Retained Annuity Trust FBO Caroline B. Fiddes Dated February 27, 2006. |
(11) | These shares are owned directly by the Joseph W. Craft III Grantor Retained Annuity Trust FBO Ryan E. Craft U/A Dated February 27, 2006. |
(12) | These shares are owned directly by the Joseph W. Craft III Grantor Retained Annuity Trust FBO Kyle O. Craft IV U/A Dated February 27, 2006. |
 Remarks: Exhibit List Exhibit 24.1 ? Joint Filer Information Statement Exhibit 24.2 ? Power of Attorney (Mary Catherine Huigens, individually) Exhibit 24.3 ? Power of Attorney (Elaine R. Guilfoyle, individually) Exhibit 24.4 ? Powers of Attorney (the Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006, executed by (i) Mary Catherine Huigens, as co-trustee, and (ii) Elaine R. Guilfoyle, as co-trustee) Exhibit 24.5 ? Powers of Attorney (the Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006, executed by (i) Mary Catherine Huigens, as co-trustee, and (ii) Elaine R. Guilfoyle, as co-trustee) Exhibit 24.6 ? Powers of Attorney (the Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006, executed by (i) Mary Catherine Huigens, as co-trustee, and (ii) Elaine R. Guilfoyle, as co-trustee) Exhibit 24.7 ? Powers of Attorney (the Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft  dated February 27, 2006, executed by (i) Mary Catherine Huigens, as co-trustee, and (ii) Elaine R. Guilfoyle, as co-trustee) Exhibit 24.8 ? Powers of Attorney (the Joseph W. Craft III Grantor Retained Annuity Trust FBO Joseph W. Craft IV U/A Dated February 27, 2006, executed by (i) Mary Catherine Huigens, as co-trustee, and (ii) Elaine R. Guilfoyle, as co-trustee) Exhibit 24.9 ? Powers of Attorney (the Joseph W. Craft III Grantor Retained Annuity Trust FBO Caroline B. Fiddes U/A Dated February 27, 2006, executed by (i) Mary Catherine Huigens, as co-trustee, and (ii) Elaine R. Guilfoyle, as co-trustee) Exhibit 24.10 ? Powers of Attorney (the Joseph W. Craft III Grantor Retained Annuity Trust FBO Ryan E. Craft U/A Dated February 27, 2006, executed by (i) Mary Catherine Huigens, as co-trustee, and (ii) Elaine R. Guilfoyle, as co-trustee) Exhibit 24.11 ? Powers of Attorney (the Joseph W. Craft III Grantor Retained Annuity Trust FBO Kyle O. Craft U/A Dated February 27, 2006 |