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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 Corp. 5400 WESTHEIMER COURT HOUSTON, TX 77056 |
X | Director by Deputization | ||
Spectra Energy Capital, LLC 5400 WESTHEIMER COURT HOUSTON, TX 77056 |
X | |||
Spectra Energy Transmission, LLC 5400 WESTHEIMER COURT HOUSTON, TX 77056 |
X | |||
Spectra Energy Southeast Pipeline Corp. 5400 WESTHEIMER COURT HOUSTON, TX 77056 |
X | |||
Spectra Energy Partners GP, LLC 5400 WESTHEIMER COURT HOUSTON, TX 77056 |
X | |||
Spectra Energy Partners (DE) GP, LP 5400 WESTHEIMER COURT HOUSTON, TX 77056 |
X |
s/ Annachiara Jones, Assistant Secretary for Spectra Energy Corp | 11/02/2015 | |
**Signature of Reporting Person | Date | |
/s/ Annachiara Jones, Assistant Secretary for Spectra Energy Capital, LLC | 11/02/2015 | |
**Signature of Reporting Person | Date | |
/s/ Annachiara Jones, Assistant Secretary for Spectra Energy Transmission, LLC | 11/02/2015 | |
**Signature of Reporting Person | Date | |
/s/ Annachiara Jones, Assistant Secretary for Spectra Energy Southeast Pipeline Corp | 11/02/2015 | |
**Signature of Reporting Person | Date | |
/s/ Annachiara Jones, Assistant Secretary for Spectra Energy Partners GP, LLC | 11/02/2015 | |
**Signature of Reporting Person | Date | |
/s/ Annachiara Jones, Assistant Secretary for Spectra Energy Partners, GP, LLC, as general partner of Spectra Energy Partners (DE) GP, LP | 11/02/2015 | |
**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) | On October 30, 2015, in connection with the closing contemplated by that certain Exchange and Redemption Agreement, dated October 18, 2015, between Spectra Energy Corp ("SE Corp") and the Issuer, Spectra Energy Partners (DE) GP, LP (the "General Partner") conveyed 21,560,000 common units and 440,000 general partner units in the Issuer (the "Unit Consideration") to subsidiaries of the General Partner, which transferred the Unit Consideration to subsidiaries of the Issuer as partial consideration for the Issuer's sale of its 33.335% membership interest in DCP Sand Hills Pipeline, LLC and 33.335% membership interest in DCP Southern Hills Pipeline, LLC. |
(2) | The General Partner is a wholly-owned subsidiary of SE Corp, and the amount of common units beneficially owned by SE Corp gives effect to the reported transactions. |
(3) | As of October 30, 2015, the General Partner owns a 17.8% LP interest in the Issuer. Spectra Energy Partners GP, LLC ("SEP GP LLC") owns a 1% GP interest in the General Partner, and Spectra Energy Southeast Pipeline Corporation ("SE Southeast Pipeline") owns a 99% LP interest in the General Partner. SE Southeast Pipeline owns 100% of SEP GP LLC, Spectra Energy Transmission, LLC ("SET") owns 100% of SE Southeast Pipeline, Spectra Energy Capital, LLC ("Spectra Capital") owns 100% of SET, and SE Corp owns 100% of Spectra Capital. Accordingly, SE Corp, Spectra Capital, SET, SE Southeast Pipeline, SEP GP LLC and the General Partner may be deemed to beneficially own some or all of the reported securities. |