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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 | ||||||||
Subordinated Units | $ 0 | 12/14/2012 | G(1) | V | 1,125,351 | (5) | (5) | Common Units | 1,125,351 | $ 0 | 0 | I | See Footnote (2) | ||
Subordinated Units | $ 0 | 12/14/2012 | G(1) | V | 1,125,351 | (5) | (5) | Common Units | 1,125,351 | $ 0 | 1,125,351 | I | See Footnote (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Coady Shawn W 204 N. ROUTE 54 ROBERTS, IL 60962 |
X | President, Retail Division |
/s/ Sharra Straight | 02/25/2013 | |
**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) | The units reported on this line were gifted to SWC Family Partnership LP. SWC Family Partnership LP is a limited partnership which is solely owned by SWC General Partner, LLC. Mr. Shawn W. Coady is the sole member of SWC General Partner, LLC. Mr. Shawn W. Coady disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or any other purpose. |
(2) | The units reported on this line were owned directly by Hicks Oils & Hicksgas, Incorporated, which is owned by Shawn W. Coady and Todd M. Coady. Following disposition by gift by each Shawn W. Coady and Todd M. Coady, Hicks Oils & Hicksgas, Incorporated no longer own any Common Units. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or any other purpose. |
(3) | The units reported on this line are owned directly by Coady Enterprises, LLC, which is solely owned by Shawn W. Coady. The Reporting Person gifted the Common Units to SWC Family Partnership LP and 2012 Shawn W. Coady Irrevocable Insurance Trust. |
(4) | The units reported on this line were gifted to the 2012 Shawn W. Coady Irrevocable Insurance Trust, for the benefit of the Reporting Person's children. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or any other purpose. |
(5) | The Subordinated Units have no expiration date and will convert on a one-for-one basis into Common Units at the end of the subordination period, described in the Issuer's Registration Statement on Form S-1, as amended (File No. 333-172186) and as set forth in the Issuer's Second Amended and Restated Agreement of Limited Partnership, as amended. |