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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
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 Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Spectra Energy Partners GP, LLC 5400 WESTHEIMER COURT HOUSTON, TX 77056 |
X | X | Parent of the General Partner | |
Spectra Energy Partners (DE) GP, LP 5400 WESTHEIMER COURT HOUSTON, TX 77056 |
X |
/s/ Anna Chiara Jones, Assistant Secretary for Spectra Energy Partners, GP, LLC, for Spectra Energy Partners, GP, LLC on its own behalf and as general partner of Spectra Energy Partners (DE) GP, LP | 01/02/2015 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Spectra Energy Partners GP, LLC is the general partner of Spectra Energy Partners (DE) GP, LP. Spectra Energy Southeast Pipeline Corporation, which is not a reporting person on this Form 4, is the sole member of Spectra Energy Partners GP, LLC and the sole holder of limited partner interests in Spectra Energy Partners (DE) GP, LP, the general partner of Spectra Energy Partners, LP (the "Issuer"). On December 30, 2014, Spectra Energy Southeast Pipeline Corporation made and caused a contribution to the capital of Spectra Energy Partners (DE) GP, LP of all Issuer Common Units then held by Spectra Energy Southeast Pipeline Corporation (43,956,556 Issuer Common Units). |
(2) | Spectra Energy Southeast Pipeline Corporation contributed 1% of such Issuer Common Units to Spectra Energy Partners GP, LLC, which in turn contributed such Issuer Common Units to Spectra Energy Partners (DE) GP, LP, and Spectra Energy Southeast Pipeline Corporation contributed the other 99% of such Issuer Common Units directly to Spectra Energy Partners (DE) GP, LP. |
(3) | Spectra Energy Partners GP, LLC owns a 1% general partner interest in Spectra Energy Partners (DE) GP, LP and may be deemed a beneficial owner of Issuer Common Units held by Spectra Energy Partners (DE) GP, LP. |