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: 25 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-27: Reporting owner Landreth David Lynn; Form 4; Security Common Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-12-27: Reporting owner Landreth David Lynn; Form 4; Security Common Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2014-12-27: Reporting owner Landreth David Lynn; Form 4; Security Phantom Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-12-27: Reporting owner HAUGEN ROBERT W; Form 4; Security Common Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-12-27 | Landreth David Lynn Officer (SVP, Economics & Planning) | 4 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +6,241 17,241 owned after | $20.71 | 2014-12-30 | |
| 2014-12-27 | Landreth David Lynn Officer (SVP, Economics & Planning) | 4 | Common Units Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,241 11,000 owned after | $20.71 | 2014-12-30 | |
| 2014-12-27 | Landreth David Lynn Officer (SVP, Economics & Planning) | 4 | Phantom Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,241 12,482 owned after | $20.71 | 2014-12-30 | |
| 2014-12-27 | HAUGEN ROBERT W Officer (EVP, Refining Operations) | 4 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +8,077 12,077 owned after | $20.71 | 2014-12-30 | |
| 2014-12-27 | HAUGEN ROBERT W Officer (EVP, Refining Operations) | 4 | Common Units Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,077 4,000 owned after | $20.71 | 2014-12-30 | |
| 2014-12-27 | HAUGEN ROBERT W Officer (EVP, Refining Operations) | 4 | Incentive Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,077 16,153 owned after | $20.71 | 2014-12-30 | |
| 2014-12-27 | GROSS EDMUND S Officer (SVP, General Counsel & Sec.) | 4 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +11,748 19,748 owned after | $20.71 | 2014-12-30 | |
| 2014-12-27 | GROSS EDMUND S Officer (SVP, General Counsel & Sec.) | 4 | Common Units Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −11,748 8,000 owned after | $20.71 | 2014-12-30 | |
| 2014-12-27 | GROSS EDMUND S Officer (SVP, General Counsel & Sec.) | 4 | Incentive Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,748 23,495 owned after | $20.71 | 2014-12-30 | |
| 2014-12-27 | Ball Susan M. Officer (CFO and Treasurer) | 4 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +13,216 21,216 owned after | $20.71 | 2014-12-30 | |
| 2014-12-27 | Ball Susan M. Officer (CFO and Treasurer) | 4 | Common Units Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −13,216 8,000 owned after | $20.71 | 2014-12-30 | |
| 2014-12-27 | Ball Susan M. Officer (CFO and Treasurer) | 4 | Incentive Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,216 26,432 owned after | $20.71 | 2014-12-30 | |
| 2014-12-26 | Power Martin J Officer (Chief Commercial Officer) | 4 | Incentive Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +39,696 39,696 owned after | $0.00 | 2014-12-30 | |
| 2014-12-26 | Landreth David Lynn Officer (SVP, Economics & Planning) | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,367 25,367 owned after | $0.00 | 2014-12-30 | |
| 2014-12-26 | HAUGEN ROBERT W Officer (EVP, Refining Operations) | 4 | Incentive Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +34,668 34,668 owned after | $0.00 | 2014-12-30 | |
| 2014-12-26 | Ball Susan M. Officer (CFO and Treasurer) | 4 | Incentive Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +52,424 52,424 owned after | $0.00 | 2014-12-30 | |
| 2014-12-23 | ICAHN CARL C Director, 10% Owner | 4 | Common Units Non-derivative · Indirect · By wife. Please see footnotes | S Open market or private sale of non-derivative or derivative security | −4,036 14,000 owned after | $17.02 | 2015-10-02 | |
| 2014-12-18 | ICAHN CARL C Director, 10% Owner | 4 | Common Units Non-derivative · Indirect · By wife. Please see footnotes | S Open market or private sale of non-derivative or derivative security | −3,000 18,036 owned after | $17.30 | 2015-10-02 | |
| 2014-12-01 | Power Martin J Officer (Chief Commercial Officer) | 4 | Incentive Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +227,927 227,927 owned after | $0.00 | 2014-12-03 | |
| 2014-09-23 holding as of filing | LANGHAM ANDREW Director | 3/A | Common Units Non-derivative · Direct | Holding | 2,000 owned after | no price filed | 2014-09-23 | |
| 2014-07-24 | ICAHN CARL C Director, 10% Owner | 4/A | Common Units Non-derivative · Indirect · Please see footnotes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −975,000 103,315,764 owned after | $25.25 | 2015-10-02 | |
| 2014-07-24 | ICAHN CARL C Director, 10% Owner | 4/A | Common Units Right Derivative · Indirect · Please see footnotes | J Other acquisition or disposition (describe transaction) | −0 0 owned after | $25.25 exercise price | 2015-10-02 | |
| 2014-07-24 | 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) | −975,000 103,315,764 owned after | $25.25 | 2014-07-24 | |
| 2014-07-24 | ICAHN CARL C Director, 10% Owner | 4 | Common Units Right Derivative · Indirect · please see footnotes | J Other acquisition or disposition (describe transaction) | −0 0 owned after | $25.25 exercise price | 2014-07-24 | |
| 2014-06-30 | 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) | −6,500,000 104,290,764 owned after | $25.25 | 2014-06-30 |