UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Energy Spectrum Securities Corp 5956 SHERRY LANE SUITE 900 DALLAS, TX 75225 |
 |  X |  |  |
Energy Spectrum VI LLC 5956 SHERRY LANE SUITE 900 DALLAS, TX 75225 |
 |  X |  |  |
Energy Spectrum Capital VI LP 5956 SHERRY LANE SUITE 900 DALLAS, TX 75225 |
 |  X |  |  |
Energy Spectrum Partners VI LP 5956 SHERRY LANE SUITE 900 DALLAS, TX 75225 |
 |  X |  |  |
/s/ James P. Benson, Vice President | 10/23/2014 | |
**Signature of Reporting Person | Date | |
/s/ James P. Benson, Managing Director | 10/23/2014 | |
**Signature of Reporting Person | Date | |
/s/ James P. Benson, Managing Director of General Partner | 10/23/2014 | |
**Signature of Reporting Person | Date | |
/s/ James P. Benson, Managing Director of General Partner of General Partner | 10/23/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Energy Spectrum Securities Corporation ("ESSC") owns 100% of the issued and outstanding membership interest of Energy Spectrum VI, LLC, a Texas limited liability company ("ESLLC"), which serves as the general partner of Energy Spectrum Capital VI LP, a Delaware limited partnership ("ESCLP"), which serves as the general partner of Energy Spectrum Partners VI LP, a Delaware limited partnership ("ESP" and together with ESSC, ESLLC, and ESCLP, the "Energy Spectrum Entities"). ESP is the record holder of the Common Units of the Issuer reported in this line on this Form 3 (the "Owned Units") and has a direct pecuniary interest in the Owned Units. ESSC, ESLLC, and ESCLP beneficially own the Owned Units for the purposes of Section 13(d) of the Exchange Act and have an indirect pecuniary interest in the Units. |
(2) | The Common Units of the Issuer reported in this line (the "Escrowed Units") are held of record by Costar Midstream Energy LLC ("CME"). The Energy Spectrum Entities have an indirect pecuniary interest in the Escrowed Units by virtue of controlling their allocation and distribution between ESP and CME upon their release from an escrow account. |