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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
Form
10-K/A
Amendment No. 1
 
 
 
ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended December 31, 2020
or
 
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from                  to                 
Commission file number:
001-35666
 
 
Summit Midstream Partners, LP
(Exact name of registrant as specified in its charter)
 
 
 
Delaware
 
45-5200503
(State or other jurisdiction of
incorporation or organization)
 
(I.R.S. Employer
Identification No.)
 
910 Louisiana Street, Suite 4200
Houston, TX
 
77002
(Address of principal executive offices)
 
(Zip Code)
(832)
413-4770
(Registrant’s telephone number, including area code)
Securities registered pursuant to Section 12(b) of the Securities Act:
 
Title of each class
 
Trading Symbol(s)
 
Name of each exchange on which registered
Common Units
 
SMLP
 
New York Stock Exchange
Securities registered pursuant to Section 12(g) of the Act: None
 
 
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.    ☐  Yes    ☒  No
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Securities Act.    ☐  Yes    ☒ No
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.    ☒  Yes    ☐  No
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation
S-T
(§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files).    ☒  Yes    ☐  No
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a
non-accelerated
filer, a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule
12b-2
of the Exchange Act.
 
Large accelerated filer      Accelerated filer  
       
Non-accelerated filer      Smaller reporting company  
       
Emerging growth company           
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐
Indicate by check mark whether the registrant has filed a report on and attestation to its management’s assessment of the effectiveness of its internal control over financial reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued its audit report.  ☒
Indicate by check mark whether the registrant is a shell company (as defined in Rule
12b-2
of the Act).    ☐  Yes    ☒  No
The aggregate market value of the common units held by
non-affiliates
of the registrant as of June 30, 2020, was $45,998,000.
Indicate the number of shares outstanding of each of the issuer’s classes of common stock, as of the latest practicable date:
 
Class
  
As of February 26, 2021
 
Common Units
     6,110,092 units  
DOCUMENTS INCORPORATED BY REFERENCE
None
 
 
 

EXPLANATORY NOTE
This Amendment No. 1 on Form
10-K/A
(this “Amendment No. 1”) amends the Annual Report on Form
10-K
of Summit Midstream Partners, LP (the “Partnership”) for the year ended December 31, 2020, as filed with the Securities and Exchange Commission (the “SEC”) on March 4, 2021 (the “Original Form
10-K”).
This Amendment No. 1 is being filed for the sole purpose of filing the correct version of Exhibit 4.1, Description of Common Units. The Partnership inadvertently filed an incorrect version of Exhibit 4.1 with the Original Form
10-K.
This Amendment No. 1 consists solely of the preceding cover page, this explanatory note, the information required by Item 15 of Form
10-K,
a signature page and new certifications by our principal executive officer and principal financial officer as required by Item 15 of Part IV. In accordance with Rule
12b-15
promulgated under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), Item 15 of the Original Form
10-K
has been amended and restated in its entirety. No other items or
sub-items
of the Original Form
10-K
are being amended or restated by this Amendment No. 1.
Except as otherwise expressly noted herein, this Amendment No. 1 does not amend, update or change any other items or disclosures contained in the Original Form
10-K,
and accordingly, this Amendment No. 1 does not reflect or purport to reflect any information or events occurring after the filing date of the Original Form
10-K
or modify or update those disclosures affected by subsequent events. Accordingly, this Amendment No. 1 should be read in conjunction with the Original Form
10-K
and the Partnership’s other filings with the SEC.

Item 15. Exhibits, Financial Statement Schedules.
(a)(1) Financial Statements
No financial statements are filed with the Amendment No. 1. These items were included as part of the Original Form
10-K.
(2) Financial Statement Schedules
None.
(3) Exhibit Index
The exhibits listed on the accompanying Exhibit Index are filed as part of, or incorporated by reference into, this Annual Report.
 
Exhibit
number
 
 
 
  
Description
 
2.1
 
 
 
  
 
3.1
 
 
 
  
 
3.2
 
 
 
  
 
3.3
 
 
 
  
 
3.4
 
 
 
  
 
4.1
 
 
  
 
4.2
 
 
 
  
 
10.1
 
 
 
  
 
10.2
 
 
 
  
 
10.3
 
 
 
  

 
10.4
 
 
 
  
 
10.5
 
 
 
  
 
10.6
 
 
 
  
 
10.7
 
 
 
  
 
10.8
 
 
 
  
 
10.9
 
 
 
  
 
10.10
 
 
 
  
 
10.11
 
 
 
  
 
10.12
 
 
 
  
 
10.13
 
 
 
  
 
10.14
 
 
 
  
 
10.15
 
 
 
  

 
10.16
 
 
 
  
 
10.17
 
 
 
  
 
10.18
 
 
 
  
 
10.19
 
 
 
  
 
10.20
 
 
 
  
 
10.21
 
 
 
  
 
10.22
 
 
 
  
 
10.23
 
 
 
  
 
10.24
 
 
 
  
 
10.25
 
 
 
  
 
10.26
 
 
 
  
 
10.27
 
 
 
  
 
10.28
 
 
 
  

 
10.29
 
 
 
  
 
10.30
 
 
 
  
 
10.31
 
 
 
  
 
10.32
 
 
 
  
 
10.33
 
 
 
  
 
10.34
 
 
 
  
 
10.35
 
 
 
  
 
10.36
 
 
 
  
 
10.37
 
 
 
  
 
10.38
 
 
*
  
 
10.39
 
 
*
  
 
10.40
 
 
*
  

 
10.41
 
 
*
  
 
10.42
 
 
*
  
 
10.43
 
 
*
  
 
10.44
 
 
*
  
 
10.45
 
 
*
  
 
10.46
 
 
*
  
 
10.47
 
 
*
  
 
10.48
 
 
*
  
 
10.49
 
 
*
  
 
10.50
 
 
*
  
 
21.1
 
 
 
  
 
22.1
 
 
 
  
 
23.1
 
 
+
  
 
23.2
 
 
+
  
 
31.1
 
 
+
  
 
31.2
 
 
+
  
 
31.3
 
 
  
 
31.4
 
 
  
 
32.1
 
 
+
  

 
99.1
 
 
+
  
 
101.INS
 
 
**+
  
XBRL Instance Document – the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document
 
101.SCH
 
 
**+
  
Inline XBRL Taxonomy Extension Schema
 
101.CAL
 
 
**+
  
Inline XBRL Taxonomy Extension Calculation Linkbase
 
101.DEF
 
 
**+
  
Inline XBRL Taxonomy Extension Definition Linkbase
 
101.LAB
 
 
**+
  
Inline XBRL Taxonomy Extension Label Linkbase
 
101.PRE
 
 
**+
  
Inline XBRL Taxonomy Extension Presentation Linkbase
 
104
 
 
 
  
Cover Page Interactive Data File (embedded within the Inline XBRL document).
 
*
Management contract or compensatory plan or arrangement required to be filed as an exhibit pursuant to Item 15(b) of this report.
**
Pursuant to Rule 406T of Regulation
S-T,
the Interactive Data Files on Exhibit 101 hereto are deemed not filed or part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, as amended, are deemed not filed for purposes of Section 18 of the Securities and Exchange Act of 1934, as amended, and otherwise are not subject to liability under those sections. The financial information contained in the XBRL (eXtensible Business Reporting Language)-related documents is unaudited and unreviewed.
+
Previously filed with the Original Form
10-K.
Filed herewith.
(c)
Financial Statement Schedules
Not applicable.

SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
 
 
 
 
 
 
 
Summit Midstream Partners, LP
 
 
 
 
 
 
(Registrant)
       
 
 
 
 
 
 
By: Summit Midstream GP, LLC (its General Partner)
       
April 26, 2021
 
 
 
 
 
/s/ MARC D. STRATTON
 
 
 
 
 
 
Marc D. Stratton, Executive Vice President and Chief Financial
 
 
 
 
 
 
Officer (Principal Financial and Accounting Officer)
Summit Midstream Partners (NYSE:SMLP)
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