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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 | ||||||||
Phantom Units | (11) | 01/02/2019 | A | 7,547 | (11) | (11) | Common Units | 7,547 | $ 0 | 10,047 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DAVIS RAY C 5950 SHERRY LANE, SUITE 550 DALLAS, TX 75225 |
X |
Peggy J. Harrison, Attorney-in-fact for Mr. Davis | 01/04/2019 | |
**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) | The reported units are owned directly by RCD Stock Holdings, LLC, a limited liability company owned by Mr. Davis. |
(2) | The reported units are owned directly by Avatar BW, Ltd. a limited partnership, of which Mr. Davis is the owner of the general partner. |
(3) | The reported units are owned directly by ET Company, Ltd. The reported units represent the estimated pro rata interest of Mr. Davis in ET Company, Ltd. Mr. Davis disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein. |
(4) | The reported units are owned directly by Avatar Holdings LLC, a limited liability company owned by Mr. Davis. |
(5) | The reported units are owned directly by the Linda Davis 2008 Family Trust for the benefit of Mr. Davis' family. Mr. Davis' spouse is trustee of the trust. Mr. Davis disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein if any. |
(6) | The reported units are owned directly by Avatar Stock Holdings, LP, a limited partnership of which Mr. Davis is the owner of the general partner. |
(7) | The reported units are owned directly by Avatar ETC Stock Holdings LLC, a limited liability company owned by Mr. Davis. |
(8) | The reported units are owned directly by Avatar Investments, LP, a limited partnership, of which Mr. Davis is the owner of the general partner. |
(9) | The reported units are owned directly by the Ray Davis 2008 Grandchildren's Trust for the benefit of Mr. Davis' grandchildren. Mr. Davis is the trustee of the trust. Mr. Davis disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein if any. |
(10) | The reported units are owned directly by the Linda Davis 2008 Grandchildren's Trust for the benefit of Mr. Davis' grandchildren. Mr. Davis' spouse is the trustee of the trust. Mr. Davis disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein if any. |
(11) | An award of phantom units granted under the Amended and Restated Energy Transfer LP Long-Term Incentive Plan that will vest 60% on January 2, 2022 and and 40% on January 2, 2024 that may vest in Partnership units, cash or other securities and is generally contingent upon the reporting person's continued services on the Board of the general partner of the Partnership on each applicable vesting date. |