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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 | ||||||||
Phantom LP Units | (1) | 12/14/2011 | A | 8,242 | (2) | (2) | Common Units | 8,242 | $ 0 (4) | 10,109 | D | ||||
Unit Appreciation Rights | $ 8.08 | 12/14/2011 | A | 9,285 | (3) | (3) | Common Units | 9,285 | $ 0 (4) | 42,555 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Cody Brian 9 GREENWAY PLAZA, SUITE 2800 HOUSTON, TX 77046 |
Sr VP, Chief Operating Officer |
/s/ Brian Cody | 12/16/2011 | |
**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) | Each phantom unit is the economic equivalent of one common unit of the Issuer. |
(2) | The phantom units vest and are payable to the Reporting Person on the third anniversary of the grant date. The phantom units are expected to settle in cash, but the form of payment can be changed prior to settlement, which may include payment in Common Units, at the sole discretion of the Compensation Committee. |
(3) | The unit appreciation rights vest and are payable to the Reporting Person in cash on the third anniversary of the grant date. |
(4) | The Reporting Person received the Derivative Security at no cost. |