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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 | |
USA Compression Holdings, LLC 712 FIFTH AVENUE, 51ST FLOOR NEW YORK, NY 10019 |
X | X | See Remarks | |
USA Compression GP, LLC 712 FIFTH AVENUE, 51ST FLOOR NEW YORK, NY 10019 |
X | X | See Remarks | |
R/C IV USACP Holdings, L.P. 712 FIFTH AVENUE, 51ST FLOOR NEW YORK, NY 10019 |
X | X | See Remarks | |
Riverstone/Carlyle Energy Partners IV, L.P. 712 FIFTH AVENUE, 51ST FLOOR NEW YORK, NY 10019 |
X | X | See Remarks | |
R/C Energy GP IV, LLC 712 FIFTH AVENUE, 51ST FLOOR NEW YORK, NY 10019 |
X | X | See Remarks |
/s/ J. Gregory Holloway, Vice President, Secretary and General Counsel, USA Compression Holdings, LLC | 05/21/2014 | |
**Signature of Reporting Person | Date | |
/s/ J. Gregory Holloway, Vice President, Secretary and General Counsel, USA Compression GP, LLC | 05/21/2014 | |
**Signature of Reporting Person | Date | |
/s/ Thomas J. Walker, R/C Energy GP IV, LLC, in its individ. capacity and in its capacity as general partner of Riverstone/Carlyle Energy Partners IV, L.P., in its individual capacity and in its capacity as general partner of R/C IV USACP Holdings, L.P. | 05/21/2014 | |
**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) | Includes common units acquired under USA Compression Partners, LP's (the "Issuer") Distribution Reinvestment Plan. |
(2) | This Form 4 is filed jointly by USA Compression Holdings, LLC ("USAC Holdings"), USA Compression GP, LLC (the "General Partner"), R/C IV USACP Holdings, L.P. ("R/C IV"), Riverstone/Carlyle Energy Partners IV, L.P., the general partner of R/C IV ("R/C EP IV"), and R/C Energy GP IV, LLC, the general partner of R/C EP IV. |
(3) | R/C IV owns 97.6% of the limited liability company interests of USAC Holdings and is entitled to elect a majority of the members of the board of managers of USAC Holdings. Accordingly, R/C IV may be deemed to indirectly beneficially own the common units owned by USAC Holdings, but disclaims beneficial ownership except to the extent of its pecuniary interest therein. |
Remarks: Each of the reporting persons may be deemed a "director by deputization" of the Issuer by virtue of the fact that all of the directors of the general partner of the Issuer are designated by USAC Holdings. |