CVR REFINING, 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 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-12-31: Reporting owner SWANBERG CHRISTOPHER G; Form 4; Security Incentive Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-12-31: Reporting owner JERNIGAN WYATT E; Form 4; Security Incentive Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-12-31: Reporting owner HAUGEN ROBERT W; Form 4; Security Incentive Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-12-31: Reporting owner GROSS EDMUND S; Form 4; Security Incentive Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-12-31 | SWANBERG CHRISTOPHER G Officer (VP, Env., Health & Safety) | 4 | Incentive Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,622 17,622 owned after | $0.00 | 2014-01-09 | |
| 2013-12-31 | JERNIGAN WYATT E Officer (EVP, Crude Oil Acq. & Pet. Mkt) | 4 | Incentive Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,230 24,230 owned after | $0.00 | 2014-01-09 | |
| 2013-12-31 | HAUGEN ROBERT W Officer (EVP, Refining Operations) | 4 | Incentive Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,230 24,230 owned after | $0.00 | 2014-01-09 | |
| 2013-12-31 | GROSS EDMUND S Officer (SVP, General Counsel and Sec.) | 4 | Incentive Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,243 35,243 owned after | $0.00 | 2014-01-09 | |
| 2013-12-31 | Ball Susan M. Officer (CFO and Treasurer) | 4 | Incentive Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +39,648 39,648 owned after | $0.00 | 2014-01-09 | |
| 2013-12-27 | SWANBERG CHRISTOPHER G Officer (VP, Env., Health & Safety) | 4/A | Phantom Units Derivative · Direct | J Other acquisition or disposition (describe transaction) | +0 0 owned after | no price filed | 2014-01-07 | |
| 2013-12-27 | JERNIGAN WYATT E Officer (EVP, Crude Oil Acq. & Pet. Mkt) | 4/A | Phantom Units Derivative · Direct | J Other acquisition or disposition (describe transaction) | +0 0 owned after | no price filed | 2014-01-07 | |
| 2013-12-27 | HAUGEN ROBERT W Officer (EVP, Refining Operations) | 4/A | Phantom Units Derivative · Direct | J Other acquisition or disposition (describe transaction) | +0 0 owned after | no price filed | 2014-01-07 | |
| 2013-12-27 | GROSS EDMUND S Officer (SVP, General Counsel and Sec.) | 4/A | Phantom Units Derivative · Direct | J Other acquisition or disposition (describe transaction) | +0 0 owned after | no price filed | 2014-01-07 | |
| 2013-12-27 | Ball Susan M. Officer (CFO and Treasurer) | 4/A | Phantom Units Derivative · Direct | J Other acquisition or disposition (describe transaction) | +0 0 owned after | no price filed | 2014-01-07 | |
| 2013-12-27 | SWANBERG CHRISTOPHER G Officer (VP, Env., Health & Safety) | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,622 17,622 owned after | $0.00 | 2013-12-31 | |
| 2013-12-27 | Landreth David Lynn Officer (VP, Economics & Planning) | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,723 18,723 owned after | $0.00 | 2013-12-31 | |
| 2013-12-27 | JERNIGAN WYATT E Officer (EVP, Crude Oil Acq. & Pet. Mkt) | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,230 24,230 owned after | $0.00 | 2013-12-31 | |
| 2013-12-27 | HAUGEN ROBERT W Officer (EVP, Refining Operations) | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,230 24,230 owned after | $0.00 | 2013-12-31 | |
| 2013-12-27 | GROSS EDMUND S Officer (SVP, General Counsel and Sec.) | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,243 35,243 owned after | $0.00 | 2013-12-31 | |
| 2013-12-27 | Ball Susan M. Officer (CFO and Treasurer) | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +39,648 39,648 owned after | $0.00 | 2013-12-31 | |
| 2013-09-13 | COZZA KEITH Director | 4 | Common Units Non-derivative · Direct | S Open market or private sale of non-derivative or derivative security | −10,000 0 owned after | $26.34 | 2013-09-13 | |
| 2013-08-06 | GROSS EDMUND S Officer (SVP, General Counsel and Sec.) | 4/A | Common Units Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,000 8,000 owned after | $26.41 | 2013-08-08 | |
| 2013-08-06 | GROSS EDMUND S Officer (SVP, General Counsel and Sec.) | 4 | Common Units Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,000 8,000 owned after | $26.41 | 2013-08-07 | |
| 2013-06-10 | ICAHN CARL C Director, 10% Owner | 4 | Common Units Right Derivative · Indirect · please see all footnotes | J Other acquisition or disposition (describe transaction) | −0 590,764 owned after | $29.83 exercise price | 2013-06-10 | |
| 2013-05-20 | ICAHN CARL C Director, 10% Owner | 4 | Common Units Non-derivative · Indirect · please see footnotes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,000,000 112,000,000 owned after | $29.83 | 2013-05-20 | |
| 2013-05-20 | ICAHN CARL C Director, 10% Owner | 4 | Common Units Non-derivative · Indirect · please see footnotes | P Open market or private purchase of non-derivative or derivative security | +2,000,000 112,000,000 owned after | $30.75 | 2013-05-20 | |
| 2013-01-30 | ICAHN CARL C Director, 10% Owner | 4 | Common Units Right Derivative · Indirect · please see footnotes | J Other acquisition or disposition (describe transaction) | −1 0 owned after | $25.00 exercise price | 2013-01-30 | |
| 2013-01-17 | Walter John R. Officer (SVP, General Counsel & Sec.) | 4 | Common Units Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,000 1,000 owned after | $25.00 | 2016-12-20 | |
| 2013-01-17 | Ball Susan M. Officer (CFO and Treasurer) | 4 | Common Units representing limited partner interests Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +8,000 8,000 owned after | $25.00 | 2013-01-22 | |
| 2013-01-17 | LIPINSKI JOHN J Director, Officer (CEO and President) | 4 | Common Units representing limited partner interests Non-derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +80,000 80,000 owned after | $25.00 | 2013-01-22 | |
| 2013-01-17 | LIPINSKI JOHN J Director, Officer (CEO and President) | 4 | Common Units representing limited partner interests Non-derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +120,000 120,000 owned after | $25.00 | 2013-01-22 | |
| 2013-01-17 | GROSS EDMUND S Officer (SVP,General Counsel&Secretary) | 4 | Common Units representing limited partner interests Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $25.00 | 2013-01-22 | |
| 2013-01-17 | Zander Glenn R Director | 4 | Common Units representing limited partner interests Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,000 5,000 owned after | $25.00 | 2013-01-22 | |
| 2013-01-17 | Landreth David Lynn Officer (VP, Economics & Planning) | 4 | Common Units representing limited partner interests Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +11,000 11,000 owned after | $25.00 | 2013-01-22 | |
| 2013-01-17 | JERNIGAN WYATT E Officer (See Remarks) | 4 | Common Units representing limited partner interests Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +50,000 50,000 owned after | $25.00 | 2013-01-22 | |
| 2013-01-17 | RIEMANN STANLEY A Director, Officer (Chief Operating Officer) | 4 | Common Units representing limited partner interests Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +40,000 40,000 owned after | $25.00 | 2013-01-22 | |
| 2013-01-17 | SWANBERG CHRISTOPHER G Officer (See Remarks) | 4 | Common Units representing limited partner interests Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,000 5,000 owned after | $25.00 | 2013-01-22 | |
| 2013-01-17 | WHITNEY JON R Director | 4 | Common Units representing limited partner interests Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +6,000 6,000 owned after | $25.00 | 2013-01-22 | |
| 2013-01-17 | HAUGEN ROBERT W Officer (EVP, Refining Operations) | 4 | Common Units representing limited partner interests Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $25.00 | 2013-01-22 | |
| 2013-01-17 | ICAHN CARL C Director, 10% Owner | 4 | Common Units Non-derivative · Indirect · please see footnotes | P Open market or private purchase of non-derivative or derivative security | +4,000,000 124,000,000 owned after | $25.00 | 2013-01-18 | |
| 2013-01-17 | COZZA KEITH Director | 4 | Common Units Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +10,000 10,000 owned after | $25.00 | 2013-01-18 | |
| 2013-01-17 | INTRIERI VINCENT J Director | 4 | Common Units Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +20,000 20,000 owned after | $25.00 | 2013-01-18 | |
| 2013-01-17 | MERKSAMER SAMUEL J. Director | 4 | Common Units Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +6,000 6,000 owned after | $25.00 | 2013-01-18 | |
| 2013-01-16 holding as of filing | CVR Refining GP, LLC Director | 3 | Common units representing limited partner interests Non-derivative · Direct | Holding | 0 owned after | no price filed | 2013-01-16 | |
| 2013-01-16 holding as of filing | ICAHN CARL C Director, 10% Owner | 3 | Common Units Non-derivative · Indirect · please see footnotes | Holding | 0 owned after | no price filed | 2013-01-16 | |
| 2013-01-16 holding as of filing | ICAHN CARL C Director, 10% Owner | 3 | Common Units Right Derivative · Indirect · please see footnotes | Holding | no price filed | 2013-01-16 |