FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Energy Transfer Equity, L.P. [ ETE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 10/09/2014 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Units | 10/09/2014 | P | 221,108 | A | $53.21(1) | 38,572,208 | I | By: Kelcy Warren Partners, L.P.(2) | ||
Common Units | 10/09/2014 | P | 102,561 | A | $54.29(3) | 38,674,769 | I | By: Kelcy Warren Partners, L.P.(2) | ||
Common Units | 10/10/2014 | P | 135,642 | A | $51.81(4) | 38,810,411 | I | By: Kelcy Warren Partners, L.P.(2) | ||
Common Units | 10/10/2014 | P | 133,155 | A | $52.45(5) | 38,943,566 | I | By: Kelcy Warren Partners, L.P.(2) | ||
Common Units | 10/10/2014 | P | 40,008 | A | $53.7(6) | 38,983,574 | I | By: Kelcy Warren Partners, L.P.(2) | ||
Common Units | 10/10/2014 | P | 14,864 | A | $54.38(7) | 38,998,438 | I | By: Kelcy Warren Partners, L.P.(2) | ||
Common Units | 11,924,110 | D | ||||||||
Common Units | 300,538 | I | By: LE GP, LLC(8) | |||||||
Common Units | 35,926,906 | I | By: Seven Bridges Holdings, LLC(9) | |||||||
Common Units | 2,506 | I | By: ET Company Ltd.(12) | |||||||
Common Units | 3,479,950 | I | By: Kelcy Warren Partners II, L.P.(10) | |||||||
Common Units | 42,000 | I | By: Spouse(11) | |||||||
Common Units | 10/13/2014 | P | 21,433 | D | $47.13(13) | 39,019,871 | I | By: Kelcy Warren Partners, L.P.(2) | ||
Common Units | 10/13/2014 | P | 66,016 | A | $48.29(14) | 39,085,887 | I | By: Kelcy Warren Partners, L.P.(2) | ||
Common Units | 10/13/2014 | P | 162,271 | A | $49.25(15) | 39,248,158 | I | By: Kelcy Warren Partners, L.P.(2) | ||
Common Units | 10/13/2014 | P | 75,243 | A | $50.02(16) | 39,323,401 | I | By: Kelcy Warren Partners, L.P.(2) | ||
Common Units | 10/13/2014 | P | 27,699 | A | $50.93(17) | 39,351,100 | I | By: Kelcy Warren Partners, L.P.(2) | ||
Common Units | 10/14/2014 | P | 66,119 | A | $47.91(18) | 39,417,219 | I | By: Kelcy Warren Partners, L.P.(2) | ||
Common Units | 10/14/2014 | P | 59,470 | A | $48.96(19) | 39,476,689 | I | By: Kelcy Warren Partners, L.P.(2) | ||
Common Units | 10/14/2014 | P | 67,411 | A | $49.98(20) | 39,544,100 | I | By: Kelcy Warren Partners, L.P.(2) | ||
Common Units | 10/14/2014 | P | 7,000 | A | $50.61(21) | 39,551,100 | I | By: Kelcy Warren Partners, L.P.(2) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 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: 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 |
Explanation of Responses: |
1. This transaction was executed in multiple trades at prices ranging from $52.80 to $53.79. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of units and prices at which the transaction was effected. |
2. The reported units are owned directly by Kelcy Warren Partners, LP, a limited partnership owned by Mr. Warren. Mr. Warren disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein. |
3. This transaction was executed in multiple trades at prices ranging from $53.80 to $54.74. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of units and prices at which the transaction was effected. |
4. This transaction was executed in multiple trades at prices ranging from $51.16 to $52.15. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of units and prices at which the transaction was effected. |
5. This transaction was executed in multiple trades at prices ranging from $52.16 to $53.12. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of units and prices at which the transaction was effected. |
6. This transaction was executed in multiple trades at prices ranging from $53.16 to $54.15. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of units and prices at which the transaction was effected. |
7. This transaction was executed in multiple trades at prices ranging from $54.16 to $54.53. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of units and prices at which the transaction was effected. |
8. The reported units are owned directly by LE GP, LLC. The reported units represent his estimated pro rata interest in LE GP, LLC. Mr. Warren disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein. |
9. The reported units are owned directly by Seven Bridges Holdings LLC a limited liability company owned by Mr. Warren which received such units in a pro rata distrubtion from ETC Holdings LP. Mr. Warren disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein. |
10. The reported units are owned directly by Kelcy Warren Partners II, LP, a limited partnership owned by Mr. Warren. Mr. Warren disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein. |
11. The reported units are held by reporting person's spouse as her seperate property. Mr. Warren dislcaims beneficial ownership of the reported units. |
12. The reported units are owned directly by ET Company Ltd. The reported units represent the estimated prorata interest of Mr. Warren in ET Company Ltd., including through his interest therein held through Three Dawaco, Inc. Mr. Warren disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein. |
13. This transaction was executed in multiple trades at prices ranging from $46.56 to $47.52. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of units and prices at which the transaction was effected. |
14. This transaction was executed in multiple trades at prices ranging from $47.58 to $48.57. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of units and prices at which the transaction was effected. |
15. This transaction was executed in multiple trades at prices ranging from $48.58 to $49.57. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of units and prices at which the transaction was effected. |
16. This transaction was executed in multiple trades at prices ranging from $49.58 to $50.57. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of units and prices at which the transaction was effected. |
17. This transaction was executed in multiple trades at prices ranging from $50.58 to $51.12. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of units and prices at which the transaction was effected. |
18. This transaction was executed in multiple trades at prices ranging from $47.41 to $48.40. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of units and prices at which the transaction was effected. |
19. This transaction was executed in multiple trades at prices ranging from $48.41 to $49.40. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of units and prices at which the transaction was effected. |
20. This transaction was executed in multiple trades at prices ranging from $49.41 to $50.40. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of units and prices at which the transaction was effected. |
21. This transaction was executed in multiple trades at prices ranging from $50.42 to $50.96. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of units and prices at which the transaction was effected. |
Sonia Aube, Attorney-in-fact for Mr. Warren | 10/14/2014 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |