UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SUMMIT MIDSTREAM PARTNERS, LLC 2100 MCKINNEY AVENUE, SUITE 1250 DALLAS, TX 75201 |
 X |  X |  |  |
SUMMIT MIDSTREAM GP, LLC C/O SUMMIT MIDSTREAM PARTNERS, LLC 2100 MCKINNEY AVENUE, SUITE 1250 DALLAS, TX 75201 |
 |  X |  |  |
ENERGY CAPITAL PARTNERS II, LLC 51 JOHN F. KENNEDY PARKWAY, SUITE 200 SHORT HILLS, NJ 07078 |
 |  X |  |  |
ENERGY CAPITAL PARTNERS II, LP 51 JOHN F. KENNEDY PARKWAY, SUITE 200 SHORT HILLS, NJ 07078 |
 |  X |  |  |
ENERGY CAPITAL PARTNERS II-A, LP 51 JOHN F. KENNEDY PARKWAY, SUITE 200 SHORT HILLS, NJ 07078 |
 |  X |  |  |
ENERGY CAPITAL PARTNERS II-B IP, LP 51 JOHN F. KENNEDY PARKWAY, SUITE 200 SHORT HILLS, NJ 07078 |
 |  X |  |  |
ENERGY CAPITAL PARTNERS II-C (SUMMIT IP), LP 51 JOHN F. KENNEDY PARKWAY, SUITE 200 SHORT HILLS, NJ 07078 |
 |  X |  |  |
Energy Capital Partners II (Summit Co-Invest), LP 51 JOHN F. KENNEDY PARKWAY, SUITE 200 SHORT HILLS, NJ 07078 |
 |  X |  |  |
/s/ Steven J. Newby, President and Chief Executive Officer, Summit Midstream Partners, LLC | 10/05/2012 | |
**Signature of Reporting Person | Date | |
/s/ Steven J. Newby, President and Chief Executive Officer, Summit Midstream GP, LLC | 10/05/2012 | |
**Signature of Reporting Person | Date | |
/s/ Christopher M. Leininger, Deputy General Counsel, Energy Capital Partners II, LLC | 10/05/2012 | |
**Signature of Reporting Person | Date | |
.Energy Capital Partners II, LP; By: Energy Capital Partners GP II, LP, its General Partner; By: Energy Capital Partners II, LLC, its General Partner; By: /s/ Christopher M. Leininger, Deputy General Counsel | 10/05/2012 | |
**Signature of Reporting Person | Date | |
Energy Capital Partners II-A, LP; By: Energy Capital Partners GP II, LP, its General Partner; By: Energy Capital Partners II, LLC, its General Partner; By: /s/ Christopher M. Leininger, Deputy General Counsel | 10/05/2012 | |
**Signature of Reporting Person | Date | |
Energy Capital Partners II-B IP, LP; By: Energy Capital Partners GP II, LP, its General Partner; By: Energy Capital Partners II, LLC, its General Partner; By: /s/ Christopher M. Leininger, Deputy General Counsel | 10/05/2012 | |
**Signature of Reporting Person | Date | |
Energy Capital Partners II-C (Summit IP), LP; By: Energy Capital Partners GP II, LP, its General Partner; By: Energy Capital Partners II, LLC, its General Partner; By: /s/ Christopher M. Leininger, Deputy General Counsel | 10/05/2012 | |
**Signature of Reporting Person | Date | |
Energy Capital Partners II (Summit Co-Invest), LP; By: Energy Capital Partners GP II Co-Investment (Summit), LLC, its General Partner; By: Energy Capital Partners II, LLC, its Managing Member; By: /s/ Christopher M. Leininger, Deputy General Counsel | 10/05/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | This Form 3 is filed jointly by Summit Midstream Partners, LLC ("Summit Investments"), Summit Midstream GP, LLC (the "General Partner"), Energy Capital Partners II, LLC ("ECP"), Energy Capital Partners II, LP ("ECP II"), Energy Capital Partners II-A, LP ("ECP II-A"), Energy Capital Partners II-B IP, LP ("ECP II-B"), Energy Capital Partners II-C (Summit IP), LP ("ECP II-C"), Energy Capital Partners II (Summit Co-Invest), LP ("ECP Summit Co-Invest" and together with ECP II, ECP II-A, ECP II-B and ECP II-C, the "ECP Funds") in connection with the effectiveness of the Issuer's Registration Statement on Form S-1 (Registration No. 333-183466) (the "Registration Statement"). ECP is the general partner of the general partner of each of the ECP Funds and has voting and investment control over the securities held thereby. |
(2) | As of the effectiveness of the Registration Statement, Summit Investments owns a 98% limited partnership interest in the Issuer. The General Partner owns a 2% general partnership interest in the Issuer and Summit Investments owns all of the membership interests in the General Partner. Accordingly, Summit Investments may be deemed to indirectly beneficially own the securities of the Issuer held by the General Partner, but disclaims beneficial ownership except to the extent of its pecuniary interest therein. |
(3) | ECP and the ECP Funds collectively hold 88.75% of the membership interest in Summit Investments and are entitled to elect four of the five directors of Summit Investments. Accordingly, ECP and the ECP Funds may be deemed to indirectly beneficially own the common units and subordinated units held by Summit Investments but disclaim beneficial ownership except to the extent of their pecuniary interest therein. |
(4) | As described in the Registration Statement, in connection with the closing of the initial public offering of the Issuer, Summit Investments contributes certain assets to the Issuer and receives (i) 10,029,850 common units, representing a 20.1% limited partner interest in Issuer and (ii) 24,409,850 subordinated units, representing a 49.0% limited partner interest in Issuer, for a combined 69.1% interest in the Issuer. The Issuer also redeems for nominal consideration the current 98% limited partner interest in the Issuer held by Summit Investments. The foregoing gives effect to the exercise by the underwriters of their option to purchase additional shares. |
(5) | In connection with the closing of the initial public offering of the Issuer, the General Partner will own approximately 996,320 general partner units, representing its 2.0% general partner interest in the Issuer. |