Northern Tier Energy 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: 75 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-06-30: Reporting owner Western Acquisition Holdings, LLC; Form 3; Security Common Units; Transaction Holding.
- 2016-06-23: Reporting owner Western Refining, Inc.; Form 4; Security Common Unit; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2016-06-23: Reporting owner NT InterHoldCo LLC; Form 4; Security Common Unit; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2016-06-23: Reporting owner Bennett Timothy; 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-06-30 holding as of filing | Western Acquisition Holdings, LLC 10% Owner | 3 | Common Units Non-derivative · Direct | Holding | 57,325,033 owned after | no price filed | 2016-06-30 | |
| 2016-06-23 | Western Refining, Inc. Director, 10% Owner | 4 | Common Unit Non-derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +57,325,033 92,947,533 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | NT InterHoldCo LLC Director, 10% Owner | 4 | Common Unit Non-derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +57,325,033 92,947,533 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | Bennett Timothy Director | 4 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,202 13,177 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | Bennett Timothy Director | 4 | Common Units Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −13,177 0 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | Bennett Timothy Director | 4 | Phantom Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,202 0 owned after | $0.00 | 2016-06-27 | |
| 2016-06-23 | Barfield Lowry Director | 4 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,202 13,177 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | Barfield Lowry Director | 4 | Common Units Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −13,177 0 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | Barfield Lowry Director | 4 | Phantom Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,202 0 owned after | $0.00 | 2016-06-27 | |
| 2016-06-23 | Hofmann Thomas W Director | 4 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,202 16,675 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | Hofmann Thomas W Director | 4 | Common Units Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −16,675 0 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | Hofmann Thomas W Director | 4 | Phantom Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,202 0 owned after | $0.00 | 2016-06-27 | |
| 2016-06-23 | WEAVER SCOTT D Director | 4 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,202 13,177 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | WEAVER SCOTT D Director | 4 | Common Units Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −13,177 0 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | WEAVER SCOTT D Director | 4 | Phantom Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,202 0 owned after | $0.00 | 2016-06-27 | |
| 2016-06-23 | Stevens Jeff A Director | 4 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,202 13,177 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | Stevens Jeff A Director | 4 | Common Units Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −13,177 0 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | Stevens Jeff A Director | 4 | Phantom Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,202 0 owned after | $0.00 | 2016-06-27 | |
| 2016-06-23 | Buhrig Melissa M Officer (Exec VP, General Counsel & Sec) | 4 | Common Units Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −16,300 0 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | Buhrig Melissa M Officer (Exec VP, General Counsel & Sec) | 4 | Phantom Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −31,068 0 owned after | $0.00 | 2016-06-27 | |
| 2016-06-23 | Foster Paul L Director | 4 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,202 13,177 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | Foster Paul L Director | 4 | Common Units Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −13,177 0 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | Foster Paul L Director | 4 | Phantom Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,202 0 owned after | $0.00 | 2016-06-27 | |
| 2016-06-23 | Stevens Scott L Officer (Sr VP & Chief Commercial Offcr) | 4 | Common Units Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −16,173 0 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | Stevens Scott L Officer (Sr VP & Chief Commercial Offcr) | 4 | Phantom Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −30,169 0 owned after | $0.00 | 2016-06-27 | |
| 2016-06-23 | LAMP DAVID L Director, Officer (President and CEO) | 4 | Common Units Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −354,129 0 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | LAMP DAVID L Director, Officer (President and CEO) | 4 | Phantom Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −131,309 0 owned after | $0.00 | 2016-06-27 | |
| 2016-06-23 | Davis Karen Berriman Officer (Executive VP and CFO) | 4 | Common Units Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,466 0 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | Davis Karen Berriman Officer (Executive VP and CFO) | 4 | Phantom Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −23,953 0 owned after | $0.00 | 2016-06-27 | |
| 2016-06-23 | Duckworth Rocky L Director | 4 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,202 16,519 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | Duckworth Rocky L Director | 4 | Common Units Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −16,519 0 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | Duckworth Rocky L Director | 4 | Phantom Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,202 0 owned after | $0.00 | 2016-06-27 | |
| 2016-06-23 | SMITH DAN F Director | 4 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,202 16,675 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | SMITH DAN F Director | 4 | Common Units Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −16,675 0 owned after | no price filed | 2016-06-27 | |
| 2016-06-23 | SMITH DAN F Director | 4 | Phantom Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,202 0 owned after | $0.00 | 2016-06-27 | |
| 2016-01-20 | Stevens Scott L Officer (Sr VP & Chief Commercial Offcr) | 4 | Common Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +14,334 21,010 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Stevens Scott L Officer (Sr VP & Chief Commercial Offcr) | 4 | Common Unit Non-derivative · Direct | S Open market or private sale of non-derivative or derivative security | −4,837 16,173 owned after | $24.33 | 2016-01-22 | |
| 2016-01-20 | Stevens Scott L Officer (Sr VP & Chief Commercial Offcr) | 4 | Phantom Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,334 18,578 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Stevens Scott L Officer (Sr VP & Chief Commercial Offcr) | 4 | Phantom Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,591 30,169 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | LAMP DAVID L Director, Officer (President and CEO) | 4 | Common Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +27,753 367,014 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | LAMP DAVID L Director, Officer (President and CEO) | 4 | Common Unit Non-derivative · Direct | S Open market or private sale of non-derivative or derivative security | −12,885 354,129 owned after | $24.33 | 2016-01-22 | |
| 2016-01-20 | LAMP DAVID L Director, Officer (President and CEO) | 4 | Phantom Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −27,753 55,507 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | LAMP DAVID L Director, Officer (President and CEO) | 4 | Phantom Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,802 131,309 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Davis Karen Berriman Officer (Exec VP, CFO) | 4 | Common Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +5,159 5,159 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Davis Karen Berriman Officer (Exec VP, CFO) | 4 | Common Unit Non-derivative · Direct | S Open market or private sale of non-derivative or derivative security | −1,693 3,466 owned after | $24.33 | 2016-01-22 | |
| 2016-01-20 | Davis Karen Berriman Officer (Exec VP, CFO) | 4 | Phantom Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,159 10,317 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Davis Karen Berriman Officer (Exec VP, CFO) | 4 | Phantom Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,636 23,953 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Buhrig Melissa M Officer (Exec VP, General Counsel & Sec) | 4 | Common Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +14,525 21,201 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Buhrig Melissa M Officer (Exec VP, General Counsel & Sec) | 4 | Common Unit Non-derivative · Direct | S Open market or private sale of non-derivative or derivative security | −4,901 16,300 owned after | $24.33 | 2016-01-22 | |
| 2016-01-20 | Buhrig Melissa M Officer (Exec VP, General Counsel & Sec) | 4 | Phantom Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,525 18,960 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Buhrig Melissa M Officer (Exec VP, General Counsel & Sec) | 4 | Phantom Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,108 31,068 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | WEAVER SCOTT D Director | 4 | Common Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,846 8,975 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | WEAVER SCOTT D Director | 4 | Phantom Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,846 0 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | WEAVER SCOTT D Director | 4 | Phantom Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,202 4,202 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Barfield Lowry Director | 4 | Common Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,846 8,975 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Barfield Lowry Director | 4 | Phantom Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,846 0 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Barfield Lowry Director | 4 | Phantom Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,202 4,202 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Stevens Jeff A Director | 4 | Common Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,846 8,975 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Stevens Jeff A Director | 4 | Phantom Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,846 0 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Stevens Jeff A Director | 4 | Phantom Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,202 4,202 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Foster Paul L Director | 4 | Common Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,846 8,975 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Foster Paul L Director | 4 | Phantom Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,846 0 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Foster Paul L Director | 4 | Phantom Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,202 4,202 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | SMITH DAN F Director | 4 | Common Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,846 12,473 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | SMITH DAN F Director | 4 | Phantom Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,846 0 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | SMITH DAN F Director | 4 | Phantom Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,202 4,202 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Hofmann Thomas W Director | 4 | Common Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,846 12,473 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Hofmann Thomas W Director | 4 | Phantom Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,846 0 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Hofmann Thomas W Director | 4 | Phantom Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,202 4,202 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Duckworth Rocky L Director | 4 | Common Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,846 12,317 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Duckworth Rocky L Director | 4 | Phantom Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,846 0 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Duckworth Rocky L Director | 4 | Phantom Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,202 4,202 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Bennett Timothy Director | 4 | Common Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,846 8,975 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Bennett Timothy Director | 4 | Phantom Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,846 0 owned after | $0.00 | 2016-01-22 | |
| 2016-01-20 | Bennett Timothy Director | 4 | Phantom Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,202 4,202 owned after | $0.00 | 2016-01-22 |