AZURE MIDSTREAM PARTNERS, LP Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 42 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-11-14: Reporting owner Murray Stacy; Form 4; Security Common units representing limited partner interests; Transaction Holding.
- 2016-11-09: Reporting owner Murray Stacy; Form 4; Security Phantom Units; Transaction J Other acquisition or disposition (describe transaction).
- 2016-07-19: Reporting owner Murray Stacy; Form 4; Security Common units representing limited partner interests; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-07-19: Reporting owner Murray Stacy; Form 4; Security Common units representing limited partner interests; Transaction F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-11-14 holding as of filing | Murray Stacy Other (See Remarks) | 4 | Common units representing limited partner interests Non-derivative · Direct | Holding | 12,634 owned after | no price filed | 2016-11-14 | |
| 2016-11-09 | Murray Stacy Other (See Remarks) | 4 | Phantom Units Derivative · Direct | J Other acquisition or disposition (describe transaction) | −4,759 0 owned after | $0.00 | 2016-11-14 | |
| 2016-07-19 | Murray Stacy Officer (Chief Accounting Officer) | 4 | Common units representing limited partner interests Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +15,000 16,602 owned after | $0.00 | 2016-07-20 | |
| 2016-07-19 | Murray Stacy Officer (Chief Accounting Officer) | 4 | Common units representing limited partner interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −3,968 12,634 owned after | $0.66 | 2016-07-20 | |
| 2016-07-19 | Murray Stacy Officer (Chief Accounting Officer) | 4 | Phantom Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 4,759 owned after | $0.00 | 2016-07-20 | |
| 2016-07-19 | Garrett David F. Officer (Commerccial Vice President) | 4 | Common units representing limited partner interests Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +17,500 22,565 owned after | $0.00 | 2016-07-20 | |
| 2016-07-19 | Garrett David F. Officer (Commerccial Vice President) | 4 | Common units representing limited partner interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −4,787 17,778 owned after | $0.66 | 2016-07-20 | |
| 2016-07-19 | Garrett David F. Officer (Commerccial Vice President) | 4 | Phantom Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,500 13,777 owned after | $0.00 | 2016-07-20 | |
| 2016-07-19 | Davis Victor Officer (Vice President of Operations) | 4 | Common units representing limited partner interests Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +15,000 19,222 owned after | $0.00 | 2016-07-20 | |
| 2016-07-19 | Davis Victor Officer (Vice President of Operations) | 4 | Common units representing limited partner interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −3,968 15,254 owned after | $0.66 | 2016-07-20 | |
| 2016-07-19 | Davis Victor Officer (Vice President of Operations) | 4 | Phantom Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 11,485 owned after | $0.00 | 2016-07-20 | |
| 2016-07-19 | Bertolatus Roy E. Officer (General Counsel) | 4 | Common units representing limited partner interests Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +17,500 17,500 owned after | $0.00 | 2016-07-20 | |
| 2016-07-19 | Bertolatus Roy E. Officer (General Counsel) | 4 | Common units representing limited partner interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −4,629 12,871 owned after | $0.66 | 2016-07-20 | |
| 2016-07-19 | Bertolatus Roy E. Officer (General Counsel) | 4 | Phantom Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,500 0 owned after | $0.00 | 2016-07-20 | |
| 2016-07-19 | Bush Amanda Officer (Chief Financial Officer) | 4 | Common units representing limited partner interests Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +17,500 76,672 owned after | $0.00 | 2016-07-20 | |
| 2016-07-19 | Bush Amanda Officer (Chief Financial Officer) | 4 | Common units representing limited partner interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −4,691 71,981 owned after | $0.66 | 2016-07-20 | |
| 2016-07-19 | Bush Amanda Officer (Chief Financial Officer) | 4 | Phantom Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,500 11,476 owned after | $0.00 | 2016-07-20 | |
| 2016-07-05 | Garrett David F. Officer (Commercial Vice President) | 4 | Common units representing limited partner interests Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +6,887 6,887 owned after | $0.00 | 2016-07-06 | |
| 2016-07-05 | Garrett David F. Officer (Commercial Vice President) | 4 | Common units representing limited partner interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −1,822 5,065 owned after | $0.70 | 2016-07-06 | |
| 2016-07-05 | Garrett David F. Officer (Commercial Vice President) | 4 | Phantom Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,887 31,277 owned after | $0.00 | 2016-07-06 | |
| 2016-07-05 | Murray Stacy Officer (Chief Accounting Officer) | 4 | Common units representing limited partner interests Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +2,379 2,379 owned after | $0.00 | 2016-07-06 | |
| 2016-07-05 | Murray Stacy Officer (Chief Accounting Officer) | 4 | Common units representing limited partner interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −777 1,602 owned after | $0.70 | 2016-07-06 | |
| 2016-07-05 | Murray Stacy Officer (Chief Accounting Officer) | 4 | Phantom Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,379 19,759 owned after | $0.00 | 2016-07-06 | |
| 2016-07-05 | Davis Victor Officer (Vice President of Operations) | 4 | Common units representing limited partner interests Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +5,741 5,741 owned after | $0.00 | 2016-07-06 | |
| 2016-07-05 | Davis Victor Officer (Vice President of Operations) | 4 | Common units representing limited partner interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −1,519 4,222 owned after | $0.70 | 2016-07-06 | |
| 2016-07-05 | Davis Victor Officer (Vice President of Operations) | 4 | Phantom Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,741 26,485 owned after | $0.00 | 2016-07-06 | |
| 2016-07-05 | Bush Amanda Officer (Chief Financial Officer) | 4 | Common units representing limited partner interests Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +5,737 60,690 owned after | $0.00 | 2016-07-06 | |
| 2016-07-05 | Bush Amanda Officer (Chief Financial Officer) | 4 | Common units representing limited partner interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −1,518 59,172 owned after | $0.70 | 2016-07-06 | |
| 2016-07-05 | Bush Amanda Officer (Chief Financial Officer) | 4 | Phantom Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,737 28,976 owned after | $0.00 | 2016-07-06 | |
| 2016-07-05 | BERTHELOT I J II Director, Officer (SEE REMARKS) | 4 | Common units representing limited partner interests Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +23,493 23,493 owned after | $0.00 | 2016-07-06 | |
| 2016-07-05 | BERTHELOT I J II Director, Officer (SEE REMARKS) | 4 | Common units representing limited partner interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −6,426 17,067 owned after | $0.70 | 2016-07-06 | |
| 2016-07-05 | BERTHELOT I J II Director, Officer (SEE REMARKS) | 4 | Phantom Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −23,493 46,994 owned after | $0.00 | 2016-07-06 | |
| 2016-01-27 | Bush Amanda Officer (Chief Financial Officer) | 4/A | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,500 34,713 owned after | $0.00 | 2016-02-05 | |
| 2016-01-27 | Murray Stacy Officer (Chief Accounting Officer) | 4/A | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 22,138 owned after | $0.00 | 2016-02-05 | |
| 2016-01-27 | Garrett David F. Officer (Vice President Commercial) | 4/A | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,500 38,164 owned after | $0.00 | 2016-02-05 | |
| 2016-01-27 | Davis Victor Officer (Vice President of Operations) | 4/A | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 32,226 owned after | $0.00 | 2016-02-05 | |
| 2016-01-27 | Bertolatus Roy E. Officer (General Counsel) | 4/A | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,500 17,500 owned after | $0.00 | 2016-02-05 | |
| 2016-01-23 | Bush Amanda Officer (Chief Financial Officer) | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,500 34,713 owned after | $0.00 | 2016-01-29 | |
| 2016-01-23 | Murray Stacy Officer (Chief Accounting Officer) | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 22,138 owned after | $0.00 | 2016-01-29 | |
| 2016-01-23 | Garrett David F. Officer (Vice President Commercial) | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,500 38,164 owned after | $0.00 | 2016-01-29 | |
| 2016-01-23 | Davis Victor Officer (Vice President of Operations) | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 32,226 owned after | $0.00 | 2016-01-29 | |
| 2016-01-23 | Bertolatus Roy E. Officer (General Counsel) | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,500 17,500 owned after | $0.00 | 2016-01-29 |