FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
RIO VISTA ENERGY PARTNERS LP [ RVEP ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 08/10/2006 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) 08/14/2006 |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Units | 08/10/2006 | P | 499(2)(3) | A | $4.2639 | 327,420(4) | I | See Footnote(1)(5) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. The Cushing Fund, LP (the "Cushing Fund") was omitted as a reporting person on the original Form 4 filed on August 14, 2006, and all subsequent Form 4 filings. |
2. The filing of this Form 4 shall not be construed as an admission that Swank Capital, L.L.C. ("Swank Capital"), Swank Energy Income Advisors, L.P. ("Income Advisors"), the Cushing Fund or Jerry V. Swank ("Mr. Swank") are or were for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any of the Common Units owned by the Cushing Fund or Swank MLP Convergence Fund, LP. (the "Convergence Fund", together with the Cushing Fund, the "Funds"). Pursuant to Rule 16a-1, Swank Capital, Income Advisors, the Cushing Fund and Mr. Swank disclaim such beneficial ownership. |
3. The original Form 4, filed on August 14, 2006, reported that the reporting persons purchased 400 shares of Common Units of the issuer on August 10, 2006. This amendment is being filed to reflect that the reporting persons purchased 499 shares of Common Units on August 10, 2006, not 400 as was originally reported. |
4. This figure is being amended to reflect the the number of Common Units beneficially owned by the reporting persons as the time this Form 4 was originally filed, and is being amended to reflect the transaction reported on this amended Form 4, as well as the transactions listed on the reporting persons amended Form 3, filed on October 12, 2006, and Form 5, filed on October 12, 2006, with respect to Common Units of the Issuer. |
5. Swank Capital holds indirectly Common Units of Rio Vista Energy Partners LP through Income Advisors, of which Swank Capital is the general partner, which in turn holds Common Units through the account of the Cushing Fund and the Convergence Fund. Income Advisors serves as the general partner of the Funds. Jerry V. Swank, as the manager of Swank Capital at the time of purchase, controlled the disposition and voting of the Common Units. Swank Capital holds a partnership interest in Income Advisors. Income Advisors receives an allocation of net profits and an asset based fee from and holds a partnership interest in the Funds, which hold the Common Units. Jerry V. Swank, as the Manager of Swank Capital at the time of purchase, controlled the disposition and voting of the Common Units. Mr. Swank holds a limited partner interest in the Funds. |
/s/ Jerry V. Swank | 10/12/2006 | |
Jerry V. Swank, manager of Swank Capital, L.L.C. | 10/12/2006 | |
Jerry V. Swank, manager of Swank Capital, L.L.C., general partner of Swank Energy Income Advisors, L.P. | 10/12/2006 | |
Jerry V. Swank, manager of Swank Capital, L.L.C., general partner of Swank Energy Income Advisors, L.P., general partner of The Cushing Fund, LP | 10/12/2006 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |