4: Statement of changes in beneficial ownership of securities
Published on November 13, 2017
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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 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) |
(e.g., puts, calls, warrants, options, convertible securities)
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 Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ENERGY CAPITAL PARTNERS II, LLC 51 JOHN F. KENNEDY PARKWAY SUITE 200 SHORT HILLS, NJ 07078 |
X | |||
Energy Capital Partners GP II, LP 51 JOHN F. KENNEDY PARKWAY SUITE 200 SHORT HILLS, NJ 07078 |
X | |||
ENERGY CAPITAL PARTNERS II, LP 51 JOHN F. KENNEDY PARKWAY SUITE 200 SHORT HILLS, NJ 07078 |
X | |||
ENERGY CAPITAL PARTNERS II-A, LP 51 JOHN F. KENNEDY PARKWAY SUITE 200 SHORT HILLS, NJ 07078 |
X | |||
ENERGY CAPITAL PARTNERS II-B, LP 51 JOHN F. KENNEDY PARKWAY SUITE 200 SHORT HILLS, NJ 07078 |
X | |||
Energy Capital Partners II-C (Direct IP), LP 51 JOHN F. KENNEDY PARKWAY SUITE 200 SHORT HILLS, NJ 07078 |
X | |||
ENERGY CAPITAL PARTNERS II-D, LP 51 JOHN F. KENNEDY PARKWAY SUITE 200 SHORT HILLS, NJ 07078 |
X | |||
Energy Capital Partners II (Midland Co-Invest), LP 51 JOHN F. KENNEDY PARKWAY SUITE 200 SHORT HILLS, NJ 07078 |
X | |||
Energy Capital Partners GP II Co-Investment (Midland), LLC 51 JOHN F. KENNEDY PARKWAY SUITE 200 SHORT HILLS, NJ 07078 |
X |
Signatures
Energy Capital Partners II, LLC By: /s/ Christopher M. Leininger, Managing Director and Deputy General Counsel | 11/13/2017 | |
**Signature of Reporting Person | Date | |
Energy Capital Partners GP II, LP By: Energy Capital Partners II, LLC, its general partner By: /s/ Christopher M. Leininger, Managing Director and Deputy General Counsel | 11/13/2017 | |
**Signature of Reporting Person | Date | |
Energy Capital Partners II, LP By: Energy Capital Partners GP II, LP, its general partner By: Energy Capital Partners II, LLC, its general partner By: /s/ Christopher M. Leininger, Managing Director and Deputy General Counsel | 11/13/2017 | |
**Signature of Reporting Person | Date | |
Energy Capital Partners II-A, LP By: Energy Capital Partners GP II, LP, its general partner By: Energy Capital Partners II, LLC, its general partner By: /s/ Christopher M. Leininger, Managing Director and Deputy General Counsel | 11/13/2017 | |
**Signature of Reporting Person | Date | |
Energy Capital Partners II-B, LP By: Energy Capital Partners GP II, LP, its general partner By: Energy Capital Partners II, LLC, its general partner By: /s/ Christopher M. Leininger, Managing Director and Deputy General Counsel | 11/13/2017 | |
**Signature of Reporting Person | Date | |
Energy Capital Partners II-C (Direct IP), LP By: Energy Capital Partners GP II, LP, its general partner By: Energy Capital Partners II, LLC, its general partner By: /s/ Christopher M. Leininger, Managing Director and Deputy General Counsel | 11/13/2017 | |
**Signature of Reporting Person | Date | |
Energy Capital Partners II-D, LP By: Energy Capital Partners GP II, LP, its general partner By: Energy Capital Partners II, LLC, its general partner By: /s/ Christopher M. Leininger, Managing Director and Deputy General Counsel | 11/13/2017 | |
**Signature of Reporting Person | Date | |
Energy Capital Partners II (Midland Co-Invest), LP By: Energy Capital Partners GP II Co-Investment (Midland), LLC, its gen. partner By: Energy Capital Partners II, LLC, its sole member By: /s/ Christopher M. Leininger, Managing Dir. & Deputy Gen. Counsel | 11/13/2017 | |
**Signature of Reporting Person | Date | |
Energy Capital Partners GP II Co-Investment (Midland), LLC By: Energy Capital Partners II, LLC, its sole member By: /s/ Christopher M. Leininger, Managing Director and Deputy General Counsel | 11/13/2017 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | 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) | Following the transaction reported herein, includes (i) 310,422 shares held by Energy Capital Partners II, LP ("ECP II"), (ii) 10,111,599 shares held by Energy Capital Partners II-A, LP ("ECP II-A"), (iii) 2,117,308 shares held by Energy Capital Partners II-B, LP ("ECP II-B"), (iv) 3,719,251 shares held by Energy Capital Partners II-C (Direct IP), LP ("ECP II-C"), (v) 2,492,098 shares held by Energy Capital Partners II-D, LP ("ECP II-D"), and (vi) 1,977,250 shares held by Energy Capital Partners II (Midland Co-Invest), LP ("ECP Co-Invest"). Each of ECP II, ECP II-A, ECP II-B, ECP II-C and ECP II-D is managed by its general partner, Energy Capital Partners GP II, LP. Energy Capital Partners GP II, LP is managed by its general partner, Energy Capital Partners II, LLC ("Energy Capital Partners"). ECP Co-Invest is managed by its general partner, Energy Capital Partners GP II Co-Investment (Midland), LLC, which is managed by its sole member, Energy Capital Partners. |
(2) | As a result, each of Energy Capital Partners GP II, LP and Energy Capital Partners may be deemed to share beneficial ownership of the shares held by ECP II, ECP II-A, ECP II-B, ECP II-C and ECP II-D, and each of Energy Capital Partners GP II Co-Investment (Midland), LLC and Energy Capital Partners may be deemed to share beneficial ownership of the shares held by ECP Co-Invest. Douglas W. Kimmelman, Peter Labbat, Thomas K. Lane, Tyler Reeder and Andrew D. Singer are the managing members of, and Rahman D'Argenio is a partner of, Energy Capital Partners and share the power to direct the voting and disposition of the shares beneficially owned by Energy Capital Partners. Each such individual disclaims beneficial ownership of such shares except to the extent of their pecuniary interest therein. |