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: 38 rows in 2015. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-12-27: Reporting owner Landreth David Lynn; Form 4; Security Common Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-12-27: 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).
- 2015-12-27: Reporting owner Landreth David Lynn; Form 4; Security Phantom Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-12-27: Reporting owner Walter John R.; 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 |
|---|---|---|---|---|---|---|---|---|
| 2015-12-27 | 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 | $21.03 | 2015-12-29 | |
| 2015-12-27 | 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 | $21.03 | 2015-12-29 | |
| 2015-12-27 | 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 6,241 owned after | $21.03 | 2015-12-29 | |
| 2015-12-27 | Walter John R. Officer (SVP, General Counsel & Sec.) | 4 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +2,937 2,937 owned after | $21.03 | 2015-12-29 | |
| 2015-12-27 | Walter John R. 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) | −2,937 0 owned after | $21.03 | 2015-12-29 | |
| 2015-12-27 | Walter John R. Officer (SVP, General Counsel & Sec.) | 4 | Incentive Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,937 2,937 owned after | $21.03 | 2015-12-29 | |
| 2015-12-27 | 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 8,077 owned after | $21.03 | 2015-12-29 | |
| 2015-12-27 | 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 0 owned after | $21.03 | 2015-12-29 | |
| 2015-12-27 | 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 8,076 owned after | $21.03 | 2015-12-29 | |
| 2015-12-27 | 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 | $21.03 | 2015-12-29 | |
| 2015-12-27 | 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 | $21.03 | 2015-12-29 | |
| 2015-12-27 | 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 13,216 owned after | $21.03 | 2015-12-29 | |
| 2015-12-26 | 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 | +8,456 19,456 owned after | $19.72 | 2015-12-29 | |
| 2015-12-26 | 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) | −8,456 11,000 owned after | $19.72 | 2015-12-29 | |
| 2015-12-26 | 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 | −8,456 16,911 owned after | $19.72 | 2015-12-29 | |
| 2015-12-26 | Walter John R. Officer (SVP, General Counsel & Sec.) | 4 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +7,751 7,751 owned after | $19.72 | 2015-12-29 | |
| 2015-12-26 | Walter John R. 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) | −7,751 0 owned after | $19.72 | 2015-12-29 | |
| 2015-12-26 | Walter John R. Officer (SVP, General Counsel & Sec.) | 4 | Incentive Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,751 15,502 owned after | $19.72 | 2015-12-29 | |
| 2015-12-26 | Power Martin J Officer (Chief Commercial Officer) | 4 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +13,232 13,232 owned after | $19.72 | 2015-12-29 | |
| 2015-12-26 | Power Martin J Officer (Chief Commercial Officer) | 4 | Common Units Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −13,232 0 owned after | $19.72 | 2015-12-29 | |
| 2015-12-26 | Power Martin J Officer (Chief Commercial Officer) | 4 | Incentive Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,232 26,464 owned after | $19.72 | 2015-12-29 | |
| 2015-12-26 | 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 | +11,556 11,556 owned after | $19.72 | 2015-12-29 | |
| 2015-12-26 | 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) | −11,556 0 owned after | $19.72 | 2015-12-29 | |
| 2015-12-26 | 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 | −11,556 23,112 owned after | $19.72 | 2015-12-29 | |
| 2015-12-26 | 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 | +17,475 25,475 owned after | $19.72 | 2015-12-29 | |
| 2015-12-26 | 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) | −17,475 8,000 owned after | $19.72 | 2015-12-29 | |
| 2015-12-26 | 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 | −17,475 34,949 owned after | $19.72 | 2015-12-29 | |
| 2015-12-18 | Landreth David Lynn Officer (SVP, Economics & Planning) | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +22,505 22,505 owned after | $0.00 | 2015-12-22 | |
| 2015-12-18 | Walter John R. Officer (SVP, General Counsel & Sec.) | 4 | Incentive Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,087 21,087 owned after | $0.00 | 2015-12-22 | |
| 2015-12-18 | Power Martin J Officer (Chief Commercial Officer) | 4 | Incentive Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,801 31,801 owned after | $0.00 | 2015-12-22 | |
| 2015-12-18 | HAUGEN ROBERT W Officer (EVP, Refining Operations) | 4 | Incentive Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,556 31,556 owned after | $0.00 | 2015-12-22 | |
| 2015-12-18 | Ball Susan M. Officer (CFO and Treasurer) | 4 | Incentive Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +46,233 46,233 owned after | $0.00 | 2015-12-22 | |
| 2015-04-15 | Power Martin J Officer (Chief Commercial Officer) | 4 | Incentive Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −227,927 0 owned after | no price filed | 2015-04-17 | |
| 2015-04-15 | Power Martin J Officer (Chief Commercial Officer) | 4 | Notional Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +227,927 227,927 owned after | $0.00 | 2015-04-17 | |
| 2015-02-24 | HAUGEN ROBERT W Officer (EVP, Refining Operations) | 4 | Common Units Non-derivative · Direct | S Open market or private sale of non-derivative or derivative security | −4,000 0 owned after | $18.59 | 2015-02-26 | |
| 2015-01-20 | 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 | −2,000 12,000 owned after | $14.07 | 2015-10-02 | |
| 2015-01-09 holding as of filing | Walter John R. Officer (SVP, General Counsel & Sec.) | 3 | Incentive Units Derivative · Direct | Holding | no price filed | 2015-01-09 | ||
| 2015-01-09 holding as of filing | Walter John R. Officer (SVP, General Counsel & Sec.) | 3 | Incentive Units Derivative · Direct | Holding | no price filed | 2015-01-09 |