SEC Form 4 · accession 0001209191-15-083816
Energy Transfer LP · ET
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kelcy L Warren
Director · 10% Owner
Period of report
Dec 4, 2015
Accepted (ET)
Dec 7, 2015 · 6:10 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001276187
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common UnitsF1,F2 | Dec 4, 2015 | P | 485,000 | $18.89 | A | 8,244,900 | I | By: Kelcy Warren Partners II, LP |
| Common UnitsF3,F4 | Dec 9, 2015 | P | 1,181,777 | $15.85 | A | 25,029,997 | D | |
| Common UnitsF5 | Dec 9, 2015 | P | 818,223 | $16.38 | A | 25,848,220 | D | |
| Common UnitsF6,F7 | holding | — | — | — | 73,853,812 | I | By: Seven Bridges Holdings, LLC | |
| Common UnitsF8,F9 | holding | — | — | — | 79,102,200 | I | By: Kelcy Warren Partners, LP | |
| Common UnitsF10,F11 | holding | — | — | — | 601,076 | I | By: LE GP, LLC | |
| Common UnitsF12,F13 | holding | — | — | — | 5,012 | I | By: ET Company, Ltd. | |
| Common UnitsF14,F15 | holding | — | — | — | 84,000 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person's indirect ownership of an additional 3,879,950 Common Units is a result of a 2-for-1 split of Energy Transfer Equity, L.P. (ETE) that occurred on July 15, 2015.
- F10The reporting person's indirect ownership of an additional 300,538 Common Units is a result of a 2-for-1 split of Energy Transfer Equity, L.P. (ETE) that occurred on July 15, 2015.
- F11The reported units are owned directly by LE GP, LLC. The reported units represent his estimated pro rata interest in LE GP, LLC. Mr. Warren disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein.
- F12The reporting person's indirect ownership of an additional 2,506 Common Units is a result of a 2-for-1 split of Energy Transfer Equity, L.P. (ETE) that occurred on July 15, 2015.
- F13The reported units are owned directly by ET Company Ltd. The reported units represent the estimated pro rata interest of Mr. Warren in ET Company Ltd., including through his interest therein held through Three Dawaco, Inc. Mr. Warren disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein.
- F14The reporting person's indirect ownership of an additional 42,000 Common Units is a result of a 2-for-1 split of Energy Transfer Equity, L.P. (ETE) that occurred on July 15, 2015.
- F15The reported units are held by reporting person's spouse as her separate property. Mr. Warren disclaims beneficial ownership of the reported units.
- F2The reported units are owned directly by Kelcy Warren Partners II, LP, a limited partnership owned by Mr. Warren. Mr. Warren disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein.
- F3The price reported in Column 4 is a weighted average price. These common units were purchased in multiple transactions at prices ranging from $15.14 to $16.13, inclusive. The reporting person undertakes to provide to ETE, any security holder of ETE, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of units purchased at each separate price within this range.
- F4The reporting person's ownership of an additional 11,924,110 Common Units is a result of a 2-for-1 split of Energy Transfer Equity, L.P. (ETE) that occurred on July 15, 2015.
- F5The price reported in Column 4 is a weighted average price. These common units were purchased in multiple transactions at prices ranging from $16.14 to $16.70, inclusive. The reporting person undertakes to provide to ETE, any security holder of ETE, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of units purchased at each separate price within this range.
- F6The reporting person's indirect ownership of an additional 36,926,906 Common Units is a result of two 2-for-1 split of Energy Transfer Equity, L.P. (ETE) that occurred on July 15, 2015.
- F7The reported units are owned directly by Seven Bridges Holdings LLC a limited liability company owned by Mr. Warren which received such units in a pro rata distribution from ETC Holdings LP. Mr. Warren disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein.
- F8The reporting person's indirect ownership of an additional 39,551,100 Common Units is a result of a 2-for-1 split of Energy Transfer Equity, L.P. (ETE) that occurred on July 15, 2015.
- F9The reported units are owned directly by Kelcy Warren Partners, LP, a limited partnership owned by Mr. Warren. Mr. Warren disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein.