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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 | |
SUMMIT MIDSTREAM PARTNERS, LLC 1790 HUGHES LANDING BLVD., SUITE 500 THE WOODLANDS, TX 77380 |
X | X | ||
SUMMIT MIDSTREAM PARTNERS HOLDINGS, LLC 1790 HUGHES LANDING BLVD., SUITE 500 THE WOODLANDS, TX 77380 |
X | X |
Summit Midstream Partners, LLC By: /s/ Brock M. Degeyter Title: Executive Vice President, General Counsel and Chief Compliance Officer | 03/26/2019 | |
**Signature of Reporting Person | Date | |
Summit Midstream Partners Holdings, LLC By: /s/ Brock M. Degeyter Title: Executive Vice President, General Counsel and Chief Compliance Officer | 03/26/2019 | |
**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) | On March 22, 2018, pursuant to that certain Equity Restructuring Agreement dated as of February 25, 2019, between Summit Midstream Partners, LP (the "Partnership"), Summit Midstream GP, LLC (the "General Partner") and Summit Midstream Partners Holdings, LLC ("SMPH"), the incentive distribution rights and the approximately 2% general partner interest in the Partnership were converted into 8,750,000 newly issued common units of the Partnership and a non-economic general partner interest in the Partnership. Immediately following the issuance of the 8,750,000 common units, the General Partner distributed the units to its sole member, SMPH. The sole member of SMPH is Summit Midstream Partners, LLC. |