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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DAVIS RAY C 5950 SHERRY LANE, SUITE 550 DALLAS, TX 75225 |
X |
Ray C. Davis | 02/08/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | An initial award of restricted Common Units granted under the terms of the Energy Transfer Partners, L.P. 2008 Second Amended and Restated Long-Term Incentive Plan to new Directors upon their appointment to the Board. The restricted Common Units will vest 60% on the third anniversary of the award and 40% on the fifth anniversary of the award generally contingent upon the reporting person's continued service on the Board on each applicable vesting date. |
(2) | The reported units are owned directly by RCD Stock Holdings, LLC, a limited liability company owned by Mr. Davis. Mr. Davis disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein. |
(3) | The reported units are owned directly by Avatar BW, Ltd., a limited partnership that Mr. Davis holds an indirect interest in. Mr. Davis disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein, if any. |