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As Of Filer Filing For·On·As Docs:Size Issuer Agent 3/30/11 AIM Oxford Holdings, LLC SC 13G 1:113K Westmoreland Resource Partners LP Donnelley … Solutions/FA AIM Coal Management, LLC Aim Oxford Holdings, LLC George E. McCown Matthew P. Carbone Robert B. Hellman, Jr. |
Document/Exhibit Description Pages Size 1: SC 13G Statement of Beneficial Ownership HTML 91K
Schedule 13G |
SECURITIES AND EXCHANGE COMMISSION
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o Rule 13d-1(b)
o Rule 13d-1(c)
þ Rule 13d-1(d)
* 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 the disclosures provided in a prior cover page.
The information required in 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. |
1 | NAMES OF REPORTING PERSONS AIM OXFORD HOLDINGS, LLC |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
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(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
DELAWARE | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 7,743,509 (1) (3) | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | |||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 7,743,509 (1) (3) | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
7,743,509 (1) (3) | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
37.6% (2) (3) | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO (LIMITED LIABILITY COMPANY) |
Page 2 of 12 Pages
CUSIP No. |
1 | NAMES OF REPORTING PERSONS AIM COAL MANAGEMENT, LLC |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
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(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
DELAWARE | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | |||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 7,743,509 (1) (2) (4) | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | |||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
7,743,509 (1) (2) (4) | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
7,743,509(1) (2) (4) | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
37.6% (3) (4) | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO (LIMITED LIABILITY COMPANY) |
Page 3 of 12 Pages
CUSIP No. |
1 | NAMES OF REPORTING PERSONS MATTHEW P. CARBONE |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
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(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
U.S. CITIZEN | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | |||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 7,743,509 (1) (2) (4) | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | |||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
7,743,509 (1) (2) (4) | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
7,743,509 (1) (2) (4) | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
37.6% (3) (4) | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
IN |
Page 4 of 12 Pages
CUSIP No. |
1 | NAMES OF REPORTING PERSONS ROBERT B. HELLMAN, JR. |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
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(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
U.S. CITIZEN | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | |||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 7,743,509 (1) (2) (4) | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | |||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
7,743,509 (1) (2) (4) | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
7,743,509 (1) (2) (4) | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
37.6% (3) (4) | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
IN |
Page 5 of 12 Pages
CUSIP No. |
1 | NAMES OF REPORTING PERSONS GEORGE E. MCCOWN |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
U.S. CITIZEN | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | |||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 7,743,509 (1) (2) (4) | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | |||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
7,743,509 (1) (2) (4) | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
7,743,509 (1) (2) (4) | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
37.6% (3) (4) | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
IN |
Page 6 of 12 Pages
CUSIP No. |
Item 1(a). | Name of Issuer: Oxford Resource Partners, LP |
|
Item 1(b). | Address of Issuer’s Principal Executive Offices: |
|
Item 2(a). | Name of Person(s) Filing: |
|
AIM Oxford Holdings, LLC AIM Coal Management, LLC Matthew P. Carbone Robert B. Hellman, Jr. George E. McCown |
||
Item 2(b). | Address of Principal Business Office or, if none, Residence: |
|
Item 2(c). | Citizenship: |
AIM Oxford Holdings, LLC: | Delaware | |||
AIM Coal Management, LLC: | Delaware | |||
Matthew P. Carbone: | U.S. Citizen | |||
Robert B. Hellman, Jr.: | U.S. Citizen | |||
George E. McCown: | U.S. Citizen |
Item 2(d). | Title of Class of Securities: |
|
Common Units representing Limited Partner Interests |
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Item 2(e). | CUSIP Number: 691807101 |
Page 7 of 12 Pages
CUSIP No. |
Item 3. | If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check
whether the person filing is a: |
(a) | o Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o). |
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(b) | o Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). |
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(c) | o Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). |
||
(d) | o Investment company registered under section 8 of the Investment Company Act of
1940 (15 U.S.C. 78c). |
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(e) | o An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
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(f) | o An employee benefit plan or endowment fund in accordance with §
240.13d-1(b)(1)(ii)(F); |
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(g) | o A parent holding company or control person in accordance with §
240.13d-1(b)(1)(ii)(G); |
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(h) | o A savings association as defined in Section 3(b) of the Federal Deposit
Insurance Act (12 U.S.C. 1813); |
||
(i) |
o A church plan that is excluded from the definition of an investment company
under section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3); |
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(j) | o A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
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(k) | o Group, in accordance with § 13d-1(b)(1)(ii)(K). |
Page 8 of 12 Pages
CUSIP No. |
Item 4. | Ownership: |
AIM Oxford | AIM Coal | Matthew P. | Robert B. | George E. | ||||||||||||||||
Holdings, LLC | Management, LLC | Carbone | Hellman, Jr. | McCown | ||||||||||||||||
(a) Amount beneficially
owned: |
7,743,509 | (1) (3) | 7,743,509 | (1) (3) | 7,743,509 | (1) (3) | 7,743,509 | (1) (3) | 7,743,509 | (1) (3) | ||||||||||
(b) Percent of class: |
37.7 | %(3) | 37.6 | %(3) | 37.6 | %(3) | 37.6 | %(3) | 37.6 | %(3) | ||||||||||
(c) Number of shares as
to which such
person has: |
||||||||||||||||||||
(i) Sole power to
vote or to direct
the vote: |
7,743,509 | (1) (3) | ||||||||||||||||||
(ii) Shared power
to vote or to
direct the vote: |
7,743,509 | (1) (2) | 7,743,509 | (1) (2) | 7,743,509 | (1) (2) | 7,743,509 | (1) (2) | ||||||||||||
(iii) Sole power to
dispose or to
direct the
disposition of: |
7,743,509 | (1) (3) | ||||||||||||||||||
(iv) Shared power
to dispose or to
direct the
disposition of: |
7,743,509 | (1) (2) | 7,743,509 | (1) (2) | 7,743,509 | (1) (2) | 7,743,509 | (1) (2) |
(1) | Consists of (i) 930,349 common units (“Common Units”) and (ii) 6,813,160 subordinated units
(“Subordinated Units”). Each Subordinated Unit converts into one Common Unit at the end of
the subordination period (as defined in the Issuer’s Third Amended and Restated Agreement of
Limited Partnership, filed as Appendix A to the Issuer’s Registration Statement on form S-1,
as amended (No. 333-165662)). |
|
(2) | AIM Oxford Holdings, LLC (“AIM Oxford Holdings”), based on the outstanding membership
interests as of December 31, 2010, owns a 66.0% membership interest in Oxford Resources GP,
LLC, the general partner of the Issuer. AIM Coal Management, LLC (“AIM Coal Management”) is
the manager of AIM Oxford Holdings. The members of AIM Coal Management,
comprised of Matthew P. Carbone and George E. McCown, directors of the Issuer, and Robert B.
Hellman Jr., have shared voting and investment power over the units held by AIM Oxford
Holdings. AIM Coal Management and Messrs. Carbone, Hellman and McCown may be deemed to
indirectly own the units held by AIM Oxford Holdings, but disclaim beneficial ownership of all
such units. |
|
(3) | Based on 10,330,603 Common Units and 10,280,380 Subordinated Units outstanding as of December
31, 2010, which outstanding unit amounts were provided to the Reporting Persons by the Issuer,
AIM Oxford Holdings, LLC owns 9.0% of the Common Units and 66.3% of the Subordinated Units
(37.6% of the total as-converted units) of the Issuer. |
Page 9 of 12 Pages
CUSIP No. |
Item 5. | Ownership of Five Percent or Less of a Class: |
Item 6. | Ownership of More than Five Percent on Behalf of Another Person: N/A |
|
Item 7. | Identification and Classification of the Subsidiary which Acquired the Security Being
Reported on by the Parent Holding Company or Control Person: N/A |
|
Item 8. | Identification and Classification of Members of the Group: N/A |
|
Item 9. | Notice of Dissolution of Group: N/A |
|
Item 10. | Certification: N/A |
Page 10 of 12 Pages
CUSIP No. |
AIM OXFORD HOLDINGS, LLC |
||||
By: | AIM Coal Management, LLC, | |||
Its Manager | ||||
By: | /s/ Robert B. Hellman, Jr. | |||
Robert B. Hellman, Jr. | ||||
Member | ||||
AIM COAL MANAGEMENT, LLC |
||||
By: | /s/Robert B. Hellman, Jr. | |||
Robert B. Hellman, Jr. | ||||
Member | ||||
/s/ Matthew P. Carbone | ||||
Matthew P. Carbone | ||||
/s/ Robert B. Hellman, Jr. | ||||
Robert B. Hellman, Jr. | ||||
/s/ George E. McCown | ||||
George E. McCown | ||||
Page 11 of 12 Pages
CUSIP No. |
AIM OXFORD HOLDINGS, LLC |
||||
By: | AIM Coal Management, LLC, | |||
Its Manager | ||||
By: | /s/ Robert B. Hellman, Jr. | |||
Robert B. Hellman, Jr. | ||||
Member | ||||
AIM COAL MANAGEMENT, LLC |
||||
By: | /s/ Robert B. Hellman, Jr. | |||
Robert B. Hellman, Jr. | ||||
Member | ||||
/s/ Matthew P. Carbone | ||||
Matthew P. Carbone | ||||
/s/ Robert B. Hellman, Jr. | ||||
Robert B. Hellman, Jr. | ||||
/s/ George E. McCown | ||||
George E. McCown | ||||
Page 12 of 12 Pages
This ‘SC 13G’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 3/30/11 | SC 13G | ||
2/28/11 | 4 | |||
1/1/11 | 4 | |||
12/31/10 | 10-K | |||
List all Filings |