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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Jones Robbin W. 2431 E. 61ST ST., SUITE 850 TULSA, OK 74136 |
VP and Chief Engineer |
/s/ Jordan B. Edwards, Attorney-in-fact | 12/27/2012 | |
**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) | This Form 4/A amends that certain Form 4 filed on behalf of Robbin W. Jones on December 18, 2012 (the "Original Form 4") in order to reflect a previously unreported transfer of units from Mr. Jones to the Jones Revocable Trust on September 20, 2012. |
(2) | The Reporting Person transferred these units to the Jones Revocable Trust, of which the Reporting Person serves as a trustee and has immediate family members who are beneficiaries of the trust. Therefore, for purposes of this Form 4/A, the transferred units are now reported as indirectly held by the Reporting Person. The Reporting Person otherwise disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(3) | This transaction was previously reflected in the Original Form 4; however, the total units reflected in column 5, "Amount of Securities Beneficially Owned Following Reported Transaction(s)," is now amended to reflect the transfer by Mr. Jones on September 20, 2012, as further described in footnotes 1 and 2 above. |
(4) | Common units awarded to Mr. Jones pursuant to the Mid-Con Energy GP, LLC Long-Term Incentive Program. |