UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
See footnote (1) | Â (1) | Â (1) | Class A Shares | 29,977,890 | $ (1) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Oxy Holding Co (Pipeline), Inc. 5 GREENWAY PLAZA SUITE 110 HOUSTON, TX 77046 |
 |  |  | See remarks |
Occidental Transportation Holding Corp 5 GREENWAY PLAZA SUITE 110 HOUSTON, TX 77046 |
 |  |  | See remarks |
OXY USA INC 5 GREENWAY PLAZA SUITE 110 HOUSTON, TX 77046 |
 |  |  | See remarks |
OCCIDENTAL PETROLEUM CORP /DE/ 5 GREENWAY PLAZA SUITE 110 HOUSTON, TX 77046 |
 |  |  | See remarks |
/s/ Nicole E. Clark, Vice President and Secretary of Oxy Holding Company (Pipeline), Inc. | 11/18/2016 | |
**Signature of Reporting Person | Date | |
/s/ Nicole E. Clark, Vice President and Secretary of Occidental Transportation Holding Corporation | 11/18/2016 | |
**Signature of Reporting Person | Date | |
/s/ Nicole E. Clark, Vice President and Secretary of OXY USA Inc. | 11/18/2016 | |
**Signature of Reporting Person | Date | |
/s/ Marcia E. Backus, SVP and General Counsel of Occidental Petroleum Corporation | 11/18/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Oxy Holding Company (Pipeline), Inc. ("OHC") owns directly 29,977,890 Class A Units representing limited partner interests (the "Class A Units") in Plains AAP, L.P. ("AAP"). The limited partnership agreement of AAP provides, among other things, that OHC will have the right, at any time and from time to time and subject to certain transfer restrictions, to cause AAP to redeem all or a portion of its Class A Units for common units representing limited partner interests in the Issuer, on a one-for-one basis. |
 Remarks: Bernard Francis Figlock III is a director of the general partner ("PAGP GP") of Plains GP Holdings, L.P. ("PAGP"). PAGP GP manages the business and affairs of PAGP, and through its wholly owned subsidiary, Plains All American GP LLC, the business and affairs of AAP and the Issuer. Based on the relationship of Mr. Figlock and the Reporting Persons (as defined below), the Reporting Persons may be deemed directors by deputization of the Issuer. OHC, Occidental Transportation Holding Corporation ("OTHC") and OXY USA INC. ("OXY USA") are wholly owned subsidiaries of Occidental Petroleum Corporation ("Occidental" and, together with OHC, OTHC, and OXY USA, the "Reporting Persons"). The filing of this Statement shall not be construed as an admission that any Reporting Person is, for purposes of Section 13(d) of the Exchange Act, as amended, the beneficial owner of any security. |