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 |
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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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
See footnote (1) | Â (1) | Â (1) | Class A Shares | 153,212,255 | $ (1) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Oxy Holding Co (Pipeline), Inc. 10889 WILSHIRE BOULEVARD LOS ANGELES, CA 90024 |
 |  |  | See remarks |
Occidental Transportation Holding Corp 10889 WILSHIRE BOULEVARD LOS ANGELES, CA 90024 |
 |  |  | See remarks |
OCCIDENTAL PETROLEUM INVESTMENT CORP 10889 WILSHIRE BOULEVARD LOS ANGELES, CA 90024 |
 |  |  | See remarks |
OCCIDENTAL PETROLEUM CORP /DE/ 10889 WILSHIRE BOULEVARD LOS ANGELES, CA 90024 |
 |  |  | See remarks |
/s/ LINDA S. PETERSON, Vice President and Secretary | 10/28/2013 | |
**Signature of Reporting Person | Date | |
/s/ LINDA S. PETERSON, Vice President and Secretary | 10/28/2013 | |
**Signature of Reporting Person | Date | |
/s/ LINDA S. PETERSON, Vice President and Secretary | 10/28/2013 | |
**Signature of Reporting Person | Date | |
/s/ ROY PINECI, Vice President, Controller and Principcal Accounting Officer | 10/28/2013 | |
**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) | Oxy Holding Company (Pipeline), Inc. ("OHC") owns directly 153,212,255 Class B shares representing limited partner interests of the Issuer (the "Class B Shares"), 153,212,255 units representing limited liability company interests of the Issuer's general partner (the "GP Units") and 153,212,255 Class A units representing limited partner interests ("AAP Class A Units") in Plains AAP, L.P. ("AAP"). The limited partnership agreement of AAP provides, among other things, that each limited partner of AAP, including OHC, will have the right, at any time and from time to time, to immediately exchange its AAP Class A Units, together with a like number of Class B Shares and GP Units, for Class A shares of the Issuer (the "Class A Shares") on a one-for-one basis or, at the election of AAP, the cash value thereof. |
 Remarks: Vicky Sutil is a director of the general partner of the Issuer. Based on the relationship of Ms. Sutil and the Reporting Persons, the Reporting Persons may be deemed directors by deputization of the Issuer. Oxy Holding Company (Pipeline), Inc. ("OHC"), Occidental Transportation Holding Corporation ("OTHC") and Occidental Petroleum Investment Co. ("OPIC") are wholly owned subsidiaries of Occidental Petroleum Corporation ("Occidental" and, together with OHC, OTHC, and OPIC, the "Reporting Persons").  The filing of this Statement shall not be construed as an admission that any Reporting Person is, for purposes of Section 13(d) of the Exchange Act, as amended, the beneficial owner of any security. |