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: 48 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-31: Reporting owner Landreth David Lynn; Form 4; Security Phantom Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-12-31: Reporting owner Walter John R.; Form 4; Security Incentive Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-12-31: Reporting owner Power Martin J; Form 4; Security Incentive Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-12-31: Reporting owner HAUGEN ROBERT W; Form 4; Security Incentive Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-12-31 | Landreth David Lynn Officer (SVP, Economics & Planning) | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +48,885 48,885 owned after | $0.00 | 2017-01-04 | |
| 2016-12-31 | 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) | +47,822 47,822 owned after | $0.00 | 2017-01-04 | |
| 2016-12-31 | Power Martin J Officer (Chief Commercial Officer) | 4 | Incentive Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +69,076 69,076 owned after | $0.00 | 2017-01-04 | |
| 2016-12-31 | HAUGEN ROBERT W Officer (EVP, Refining Operations) | 4 | Incentive Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +68,545 68,545 owned after | $0.00 | 2017-01-04 | |
| 2016-12-31 | Ball Susan M. Officer (CFO and Treasurer) | 4 | Incentive Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,426 100,426 owned after | $0.00 | 2017-01-04 | |
| 2016-12-27 | 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 | $9.26 | 2016-12-28 | |
| 2016-12-27 | 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 | $9.26 | 2016-12-28 | |
| 2016-12-27 | 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 0 owned after | $9.26 | 2016-12-28 | |
| 2016-12-27 | 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 3,937 owned after | $9.26 | 2016-12-28 | |
| 2016-12-27 | 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 1,000 owned after | $9.26 | 2016-12-28 | |
| 2016-12-27 | 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 0 owned after | $9.26 | 2016-12-28 | |
| 2016-12-27 | 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 | +8,076 8,076 owned after | $9.26 | 2016-12-28 | |
| 2016-12-27 | 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) | −8,076 0 owned after | $9.26 | 2016-12-28 | |
| 2016-12-27 | 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 | −8,076 0 owned after | $9.26 | 2016-12-28 | |
| 2016-12-27 | 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 | $9.26 | 2016-12-28 | |
| 2016-12-27 | 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 | $9.26 | 2016-12-28 | |
| 2016-12-27 | 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 0 owned after | $9.26 | 2016-12-28 | |
| 2016-12-26 | 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 | $9.64 | 2016-12-28 | |
| 2016-12-26 | 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 | $9.64 | 2016-12-28 | |
| 2016-12-26 | 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 8,455 owned after | $9.64 | 2016-12-28 | |
| 2016-12-26 | 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 8,751 owned after | $9.64 | 2016-12-28 | |
| 2016-12-26 | 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 1,000 owned after | $9.64 | 2016-12-28 | |
| 2016-12-26 | 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 7,751 owned after | $9.64 | 2016-12-28 | |
| 2016-12-26 | 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 | $9.64 | 2016-12-28 | |
| 2016-12-26 | 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 | $9.64 | 2016-12-28 | |
| 2016-12-26 | 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 13,232 owned after | $9.64 | 2016-12-28 | |
| 2016-12-26 | 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 | $9.64 | 2016-12-28 | |
| 2016-12-26 | 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 | $9.64 | 2016-12-28 | |
| 2016-12-26 | 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 11,556 owned after | $9.64 | 2016-12-28 | |
| 2016-12-26 | 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 | $9.64 | 2016-12-28 | |
| 2016-12-26 | 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 | $9.64 | 2016-12-28 | |
| 2016-12-26 | 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 17,474 owned after | $9.64 | 2016-12-28 | |
| 2016-12-18 | 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 | +7,502 18,502 owned after | $9.50 | 2016-12-20 | |
| 2016-12-18 | 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) | −7,502 11,000 owned after | $9.50 | 2016-12-20 | |
| 2016-12-18 | 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 | −7,502 15,003 owned after | $9.50 | 2016-12-20 | |
| 2016-12-18 | 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 | +7,029 8,029 owned after | $9.50 | 2016-12-20 | |
| 2016-12-18 | 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) | −7,029 1,000 owned after | $9.50 | 2016-12-20 | |
| 2016-12-18 | 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 | −7,029 14,058 owned after | $9.50 | 2016-12-20 | |
| 2016-12-18 | 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 | +10,601 10,601 owned after | $9.50 | 2016-12-20 | |
| 2016-12-18 | 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) | −10,601 0 owned after | $9.50 | 2016-12-20 | |
| 2016-12-18 | 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 | −10,601 21,200 owned after | $9.50 | 2016-12-20 | |
| 2016-12-18 | 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 | +10,519 10,519 owned after | $9.50 | 2016-12-20 | |
| 2016-12-18 | 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) | −10,519 0 owned after | $9.50 | 2016-12-20 | |
| 2016-12-18 | 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 | −10,519 21,037 owned after | $9.50 | 2016-12-20 | |
| 2016-12-18 | 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 | +15,411 23,411 owned after | $9.50 | 2016-12-20 | |
| 2016-12-18 | 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) | −15,411 8,000 owned after | $9.50 | 2016-12-20 | |
| 2016-12-18 | 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 | −15,411 30,822 owned after | $9.50 | 2016-12-20 | |
| 2016-08-02 | ICAHN CARL C Director, 10% Owner | 4 | Common Units Non-derivative · Indirect · please see all footnotes | S Open market or private sale of non-derivative or derivative security | −250,000 103,065,764 owned after | $5.70 | 2016-08-02 |