ALLIANCE RESOURCE PARTNERS LP 10-Q

ITEM 5. OTHER INFORMATION ​ During the three months ended September 30, 2023, no director or officer adopted or terminated (i) any contract, instructions or written plan for the purchase or sale of securities of the Partnership intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) and/or (ii) any written arrangement for the purchase or sale of securities of the Partnership that meets the definition of a non-Rule 10b5-1 trading arrangement as defined in Item 408(c). ​ ITEM 6. EXHIBITS ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ Incorporated by Reference Exhibit Number ​ Exhibit Description ​ Form ​ SEC File No. and Film No. ​ Exhibit ​ Filing Date ​ Filed Herewith* ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 3.1 ​ Fourth Amended and Restated Agreement of Limited Partnership of Alliance Resource Partners, L.P. ​ 8-K ​ 000-26823 17990766 ​ 3.2 ​ 07/28/2017 ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 3.2 ​ Amendment No. 1 to Fourth Amended and Restated Agreement of Limited Partnership of Alliance Resource Partners, L.P. ​ 10-K ​ 000-26823 18634634 ​ 3.9 ​ 02/23/2018 ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 3.3 ​ Amendment No. 2 to Fourth Amended and Restated Agreement of Limited Partnership of Alliance Resource Partners, L.P. ​ 8-K ​ 000-26823 18883834 ​ 3.3 ​ 06/06/2018 ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 3.4 ​ Amendment No. 3 to Fourth Amended and Restated Agreement of Limited Partnership of Alliance Resource Partners, L.P. ​ 8-K ​ 000-26823 18883834 ​ 3.4 ​ 06/06/2018 ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 3.5 ​ Amended and Restated Agreement of Limited Partnership of Alliance Resource Operating Partners, L.P. ​ 10-K ​ 000-26823 583595 ​ 3.2 ​ 03/29/2000 ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 3.6 ​ Amendment No. 1 to Amended and Restated Agreement of Limited Partnership of Alliance Resource Operating Partners, L.P. ​ 8-K ​ 000-26823 18883834 ​ 3.5 ​ 06/06/2018 ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 3.7 ​ Amended and Restated Certificate of Limited Partnership of Alliance Resource Partners, L.P. ​ 8-K ​ 000-26823 17990766 ​ 3.6 ​ 07/28/2017 ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 3.8 ​ Certificate of Limited Partnership of Alliance Resource Operating Partners, L.P. ​ S-1/A ​ 333-78845 99669102 ​ 3.8 ​ 07/23/1999 ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 3.9 ​ Certificate of Formation of Alliance Resource Management GP, LLC ​ S-1/A ​ 333-78845 99669102 ​ 3.7 ​ 07/23/1999 ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 43 Table of Contents ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ Incorporated by Reference Exhibit Number ​ Exhibit Description ​ Form ​ SEC File No. and Film No. ​ Exhibit ​ Filing Date ​ Filed Herewith* ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 3.10 ​ Third Amended and Restated Operating Agreement of Alliance Resource Management GP, LLC ​ 8-K ​ 000-26823 18883834 ​ 3.7 ​ 06/06/2018 ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 3.11 ​ Certificate of Formation of MGP II, LLC ​ 8-K ​ 000-26823 17990766 ​ 3.5 ​ 07/28/2017 ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 3.12 ​ Amended and Restated Operating Agreement of MGP II, LLC ​ 8-K ​ 000-26823 17990766 ​ 3.4 ​ 07/28/2017 ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 10.1 ​ Eleventh Amendment to the Receivables Financing Agreement, dated as of January 13, 2023. ​ ​ ​ 10-K ​ 000-26823 23666549 ​ 10.54 ​ 02/24/2023 ​ ​ 10.2 ​ Credit Agreement, dated as of January 13, 2023, among Alliance Coal, LLC, as borrower, Alliance Resource Operating Partners, L.P., Alliance Resource Partners, L.P., UC Coal, LLC, UC Mining, LLC, UC Processing, LLC and MGP II, LLC as additional Alliance entities and the initial lenders, initial issuing banks and swingline bank named therein, PNC Bank, National Association as administrative agent and collateral agent and PNC Capital Markets LLC, BOKF, NA DBA Bank of Oklahoma, Fifth Third Bank, National Association, Old National Bank and Trust Securities, Inc. as joint lead arrangers and joint bookrunners and the other institutions named therein as documentation agents. ​ 8-K ​ 000-26823 23540292 ​ 10.1 ​ 01/20/2023 ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 31.1 ​ Certification of Joseph W. Craft III, President and Chief Executive Officer of Alliance Resource Management GP, LLC, the general partner of Alliance Resource Partners, L.P., dated November 8, 2023, pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 31.2 ​ Certification of Cary P. Marshall, Senior Vice President and Chief Financial Officer of Alliance Resource Management GP, LLC, the general partner of Alliance Resource Partners, L.P., dated November 8, 2023, pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 44 Table of Contents ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ Incorporated by Reference Exhibit Number ​ Exhibit Description ​ Form ​ SEC File No. and Film No. ​ Exhibit ​ Filing Date ​ Filed Herewith* ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 32.1 ​ Certification of Joseph W. Craft III, President and Chief Executive Officer of Alliance Resource Management GP, LLC, the general partner of Alliance Resource Partners, L.P., dated November 8, 2023, pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 32.2 ​ Certification of Cary P. Marshall, Senior Vice President and Chief Financial Officer of Alliance Resource Management GP, LLC, the general partner of Alliance Resource Partners, L.P., dated November 8, 2023, pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 95.1 ​ Federal Mine Safety and Health Act Information ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 101 ​ Interactive Data File (Form 10-Q for the quarter ended September 30, 2023 filed in Inline XBRL). ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ 104 ​ Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101). ​ ​ ​ ​ ​ ​ ​ ​ ​ * Or furnished, in the case of Exhibits 32.1 and 32.2. 45 Table of Contents SIGNATURES ​ Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized, in Tulsa, Oklahoma, on November 8, 2023. ​ ​ ​ ​ ​ ALLIANCE RESOURCE PARTNERS, L.P. ​ ​ ​ By: Alliance Resource Management GP, LLC ​ ​ its general partner ​ ​ ​ ​ ​ /s/ Joseph W. Craft, III ​ ​ ​ Joseph W. Craft, III ​ ​ Chairman, President and Chief Executive ​ ​ Officer, duly authorized to sign on behalf of the registrant. ​ ​ ​ ​ ​ ​ ​ ​ /s/ Megan J. Cordle ​ ​ ​ Megan J. Cordle ​ ​ Vice President, Controller and ​ ​ Chief Accounting Officer ​ ​ ​ ​ ​ 46