Statement of Changes in Beneficial Ownership (4)
March 18 2020 - 5:01PM
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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3235-0287
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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
*
Brannon Richard D |
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)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O CH4 ENERGY SIX, LLC, 5128 APACHE PLUME ROAD, SUITE 300 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/16/2020 |
(Street)
FORT WORTH, TX 76109
(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 | 3/16/2020 | | P | | 2393 | A | $5.67 | 301991 | D | |
Common Units | 3/16/2020 | | P | | 7607 | A | $5.665 | 309598 | D | |
Common Units | 3/16/2020 | | P | | 10000 | A | $5.65 | 319598 | D | |
Common Units | 3/17/2020 | | P | | 5000 | A | $5.51 | 324598 | D | |
Common Units | 3/17/2020 | | P | | 5000 | A | $5.5162 | 329598 | D | |
Common Units | 3/17/2020 | | P | | 10000 | A | $5.50 | 339598 | D | |
Common Units | 3/17/2020 | | P | | 5000 | A | $5.48 | 344598 | D | |
Common Units | 3/17/2020 | | P | | 15000 | A | $5.27 | 359598 | D | |
Common Units | 3/17/2020 | | P | | 5000 | A | $5.23 | 364598 | D | |
Common Units | 3/18/2020 | | P | | 15000 | A | $4.05 | 379598 | D | |
Common Units | 3/18/2020 | | P | | 5000 | A | $4.00 | 384598 | D | |
Common Units | 3/18/2020 | | P | | 10000 | A | $3.89 | 394598 | D | |
Common Units | 3/18/2020 | | P | | 5000 | A | $3.83 | 399598 | 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 | (1) | | | | | | | (1) | (1) | Common Units | 16271 | | 16271 | D | |
Explanation of Responses: |
(1) | Phantom units granted under the Amended and Restated Energy Transfer LP Long-Term Incentive Plan that may vest in Partnership units, cash or other securities and is generally contingent upon the reporting person's continued services on the Board of the general partner of the Partnership on each applicable vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Brannon Richard D C/O CH4 ENERGY SIX, LLC 5128 APACHE PLUME ROAD, SUITE 300 FORT WORTH, TX 76109 | X |
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Signatures
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Peggy J. Harrison, Attorney-in-fact for Mr. Brannon | | 3/18/2020 |
**Signature of Reporting Person | Date |
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