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: 39 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-12-29: Reporting owner Landreth David Lynn; Form 4; Security Phantom Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-12-29: Reporting owner Walter John R.; Form 4; Security Incentive Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-12-29: Reporting owner Ball Susan M.; Form 4; Security Incentive Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-12-26: Reporting owner Landreth David Lynn; 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 |
|---|---|---|---|---|---|---|---|---|
| 2017-12-29 | Landreth David Lynn Officer (EVP & Chief Commercial Officer) | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +38,242 38,242 owned after | $0.00 | 2018-01-03 | |
| 2017-12-29 | Walter John R. Officer (EVP, General Counsel & Sec.) | 4 | Incentive Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +38,010 38,010 owned after | $0.00 | 2018-01-03 | |
| 2017-12-29 | Ball Susan M. Officer (EVP, CFO and Treasurer) | 4 | Incentive Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +74,787 74,787 owned after | $0.00 | 2018-01-03 | |
| 2017-12-26 | 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 | +8,455 19,455 owned after | $13.77 | 2017-12-28 | |
| 2017-12-26 | 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) | −8,455 11,000 owned after | $13.77 | 2017-12-28 | |
| 2017-12-26 | 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 | −8,455 0 owned after | $13.77 | 2017-12-28 | |
| 2017-12-26 | 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 | $13.77 | 2017-12-28 | |
| 2017-12-26 | 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 | $13.77 | 2017-12-28 | |
| 2017-12-26 | 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 0 owned after | $13.77 | 2017-12-28 | |
| 2017-12-26 | 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 | $13.77 | 2017-12-28 | |
| 2017-12-26 | 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 | $13.77 | 2017-12-28 | |
| 2017-12-26 | 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 0 owned after | $13.77 | 2017-12-28 | |
| 2017-12-26 | 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 | +17,474 25,474 owned after | $13.77 | 2017-12-28 | |
| 2017-12-26 | 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) | −17,474 8,000 owned after | $13.77 | 2017-12-28 | |
| 2017-12-26 | 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 | −17,474 0 owned after | $13.77 | 2017-12-28 | |
| 2017-12-18 | 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 | $13.07 | 2017-12-19 | |
| 2017-12-18 | 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 | $13.07 | 2017-12-19 | |
| 2017-12-18 | 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 7,501 owned after | $13.07 | 2017-12-19 | |
| 2017-12-18 | 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 | $13.07 | 2017-12-19 | |
| 2017-12-18 | 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 | $13.07 | 2017-12-19 | |
| 2017-12-18 | 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 7,029 owned after | $13.07 | 2017-12-19 | |
| 2017-12-18 | 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 | +10,600 10,600 owned after | $13.07 | 2017-12-19 | |
| 2017-12-18 | 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) | −10,600 0 owned after | $13.07 | 2017-12-19 | |
| 2017-12-18 | 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 | −10,600 10,600 owned after | $13.07 | 2017-12-19 | |
| 2017-12-18 | 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 | $13.07 | 2017-12-19 | |
| 2017-12-18 | 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 | $13.07 | 2017-12-19 | |
| 2017-12-18 | 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 15,411 owned after | $13.07 | 2017-12-19 | |
| 2017-12-16 | 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 | +16,295 27,295 owned after | $13.07 | 2017-12-19 | |
| 2017-12-16 | 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) | −16,295 11,000 owned after | $13.07 | 2017-12-19 | |
| 2017-12-16 | 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 | −16,295 32,590 owned after | $13.07 | 2017-12-19 | |
| 2017-12-16 | 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 | +15,941 16,941 owned after | $13.07 | 2017-12-19 | |
| 2017-12-16 | 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) | −15,941 1,000 owned after | $13.07 | 2017-12-19 | |
| 2017-12-16 | 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 | −15,941 31,881 owned after | $13.07 | 2017-12-19 | |
| 2017-12-16 | 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 | +23,026 23,026 owned after | $13.07 | 2017-12-19 | |
| 2017-12-16 | 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) | −23,026 0 owned after | $13.07 | 2017-12-19 | |
| 2017-12-16 | 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 | −23,026 46,050 owned after | $13.07 | 2017-12-19 | |
| 2017-12-16 | 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 | +33,476 41,476 owned after | $13.07 | 2017-12-19 | |
| 2017-12-16 | 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) | −33,476 8,000 owned after | $13.07 | 2017-12-19 | |
| 2017-12-16 | 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 | −33,476 66,950 owned after | $13.07 | 2017-12-19 |