Statement of Changes in Beneficial Ownership (4)
March 17 2020 - 6:00PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Mason Thomas P |
2. Issuer Name and Ticker or Trading Symbol
Energy Transfer LP
[
ET
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP and General Counsel |
(Last)
(First)
(Middle)
8111 WESTCHESTER DRIVE, SUITE 600 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/13/2020 |
(Street)
DALLAS, TX 75225
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Units | 3/13/2020 | | S | | 128000 (1) | D | $6.2311 | 961197 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Phantom Units | (2) | | | | | | | (2) | (2) | Common Units | 135300 | | 135300 | D | |
Explanation of Responses: |
(1) | Forced sale by brokerage firm to satisfy a margin call. The proceeds from the sale extinguished all outstanding margin debt. |
(2) | Phantom units previously granted under the Amended and Restated Energy Transfer LP Long-Term Incentive Plan scheduled to vest 60% on December 5, 2020 and 40% on December 5, 2022 and may vest in Partnership units, cash or other securities, generally contingent upon the reporting person's continued employment with the issuer or one of its affiliates on each applicable vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Mason Thomas P 8111 WESTCHESTER DRIVE, SUITE 600 DALLAS, TX 75225 |
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| EVP and General Counsel |
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Signatures
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Peggy J. Harrison, Attorney-in-fact for Mr. Mason | | 3/17/2020 |
**Signature of Reporting Person | Date |
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