Initial Statement of Beneficial Ownership (3)
24 Luglio 2018 - 10:28PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
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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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1. Name and Address of Reporting Person
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DAVIS RAY C
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2. Date of Event Requiring Statement (MM/DD/YYYY)
7/17/2018
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3. Issuer Name
and
Ticker or Trading Symbol
Energy Transfer Equity, L.P. [ETE]
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(Last)
(First)
(Middle)
5950 SHERRY LANE, SUITE 550
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
DALLAS, TX 75225
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Units
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26736558
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D
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Common Units
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328383
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I
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By: ET Company, Ltd.
(1)
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Common Units
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51701
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I
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By: Avatar Holdings LLC
(2)
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Common Units
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1002494
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I
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By: RCD Stock Holdings, LLC
(3)
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Common Units
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1354720
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I
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By: Avatar BW, Ltd.
(4)
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Common Units
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15987283
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I
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By: Linda Davis 2008 Family Trust
(5)
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Common Units
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121117
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I
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By: Avatar Stock Holdings, LP
(6)
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Common Units
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28203003
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I
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By: Avatar ETC Stock Holdings, LLC
(7)
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Common Units
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3557757
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I
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By: Avatar Investments, LP
(8)
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Common Units
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4768027
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I
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By: Ray Davis 2008 Grandchildren's Trust
(9)
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Common Units
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4768027
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I
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By: Linda Davis 2008 Grandchildren's Trust
(10)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Phantom Units
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(11)
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(11)
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Common Units
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2500
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$0.00
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D
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Explanation of Responses:
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(1)
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The reported units are owned directly by ET Company, Ltd. The reported units represent the estimated pro rata interest of Mr. Davis in ET Company, Ltd. Mr. Davis disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein.
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(2)
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The reported units are owned directly by Avatar Holdings LLC, a limited liability company owned by Mr. Davis.
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(3)
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The reported units are owned directly by RCD Stock Holdings, LLC, a limited liability company owned by Mr. Davis
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(4)
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The reported units are owned directly by Avatar BW, Ltd. a limited partnership, of which Mr. Davis is the owner of the general partner.
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(5)
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The reported units are owned directly by the Linda Davis 2008 Family Trust for the benefit of Mr. Davis' family. Mr. Davis' spouse is trustee of the trust. Mr. Davis disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein if any.
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(6)
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The reported units are owned directly by Avatar Stock Holdings, LP, a limited partnership of which Mr. Davis is the owner of the general partner.
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(7)
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The reported units are owned directly by Avatar ETC Stock Holdings LLC, a limited liability company owned by Mr. Davis.
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(8)
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The reported units are owned directly by Avatar Investments, LP, a limited partnership, of which Mr. Davis is the owner of the general partner.
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(9)
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The reported units are owned directly by the Ray Davis 2008 Grandchildren's Trust for the benefit of Mr. Davis' grandchildren. Mr. Davis is the trustee of the trust. Mr. Davis disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein if any.
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(10)
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The reported units are owned directly by the Linda Davis 2008 Grandchildren's Trust for the benefit of Mr. Davis' grandchildren. Mr. Davis' spouse is the trustee of the trust. Mr. Davis disclaims beneficial ownership of the reported units except to the extent of his pecuniary interest therein if any.
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(11)
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An award of phantom units granted under the Amended and Restated Energy Transfer Equity, L.P. Long-Term Incentive Plan that will vest 60% on the third anniversary and 40% on the fifth anniversary of the award generally contingent upon the reporting person's continued service on the Board of the general partner of the Partnership on each applicable vesting date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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DAVIS RAY C
5950 SHERRY LANE, SUITE 550
DALLAS, TX 75225
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X
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Signatures
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By: Peggy J. Harrison, Attorney-in-fact from Mr. Davis
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7/24/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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