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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 | |
WARREN KELCY L 3738 OAK LAWN AVENUE DALLAS, TX 75219 |
X |
Sonia Aube, Attorney-in-Fact | 09/18/2014 | |
**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) | On January 27, 2014, the common units of ETE split 2-for-1 resulting in a 100% increase in the amount of the reporting person's securities beneficially owned. |
(2) | The reported units are held by Kelcy Warren Partners, L.P., 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. |
(3) | The reported units are held by LE GP, LLC. The reported units represent the estimated pro rata interest of Mr. Warren in LE GP, LLC. Mr. Warren disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein. |
(4) | The reported units are owned directly by ETC Holdings LP (ETC). The reported units represent the estimated pro rata interest of Mr. Warren in ETC, including his interest in other partners of ETC. Mr. Warren disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein. |
(5) | The price reported is a weighted average price. These common units were purchased in multiple transactions at prices ranging from $60.12 to $60.60 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. |
(6) | The reported units are held by Kelcy Warren Partners II, L.P., 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. |
(7) | The amount of securities beneficially owned include additional units held by reporting person's spouse at the time of their marriage as her seperate property. |
(8) | The reported units are held by reporting person's spouse as her seperate property. Mr. Warren disclaims beneficial ownership of the reported units. |