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: 58 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-12-19: Reporting owner Bonczek David; Form 4; Security Restricted Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-11-09: Reporting owner TPG Group Holdings (SBS) Advisors, Inc. | BONDERMAN DAVID | COULTER JAMES G; Form 4; Security Common Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-11-09: Reporting owner TPG Group Holdings (SBS) Advisors, Inc. | BONDERMAN DAVID | COULTER JAMES G; Form 4; Security PIK Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-11-09: Reporting owner Northern Tier Investors, LLC | Northern Tier Investors LP | NTI GenPar, LLC; 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 |
|---|---|---|---|---|---|---|---|---|
| 2012-12-19 | Bonczek David Officer (VP and Chief Financial Officer) | 4 | Restricted Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,778 2,778 owned after | $0.00 | 2013-01-02 | |
| 2012-11-09 | TPG Group Holdings (SBS) Advisors, Inc. | BONDERMAN DAVID | COULTER JAMES G Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Common Units Non-derivative · Indirect · See Explanation of Responses | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +18,383,000 73,227,500 owned after | no price filed | 2012-11-14 | |
| 2012-11-09 | TPG Group Holdings (SBS) Advisors, Inc. | BONDERMAN DAVID | COULTER JAMES G Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | PIK Units Derivative · Indirect · See Explanation of Responses | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,383,000 0 owned after | no price filed | 2012-11-14 | |
| 2012-11-09 | Northern Tier Investors, LLC | Northern Tier Investors LP | NTI GenPar, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Common Units Non-derivative · Indirect · See Explanation of Responses | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +18,383,000 73,227,500 owned after | no price filed | 2012-11-14 | |
| 2012-11-09 | Northern Tier Investors, LLC | Northern Tier Investors LP | NTI GenPar, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | PIK Units Derivative · Indirect · See Explanation of Responses | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,383,000 0 owned after | no price filed | 2012-11-14 | |
| 2012-11-09 | Northern Tier Holdings LLC Director, 10% Owner | 4 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +18,383,000 73,227,500 owned after | no price filed | 2012-11-14 | |
| 2012-11-09 | Northern Tier Holdings LLC Director, 10% Owner | 4 | PIK Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,383,000 0 owned after | no price filed | 2012-11-14 | |
| 2012-11-09 | ARONSON BERNARD W Director | 4 | Common Units Non-derivative · Indirect · See footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +18,383,000 73,227,500 owned after | no price filed | 2012-11-14 | |
| 2012-11-09 | ARONSON BERNARD W Director | 4 | PIK Units Derivative · Indirect · See footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,383,000 0 owned after | no price filed | 2012-11-14 | |
| 2012-11-09 | AIP V GenPar, L.L.C. | ACON Refining Partners, L.L.C. | ACON Funds Management, L.L.C. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Common Units Non-derivative · Indirect · See footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +18,383,000 73,227,500 owned after | no price filed | 2012-11-14 | |
| 2012-11-09 | AIP V GenPar, L.L.C. | ACON Refining Partners, L.L.C. | ACON Funds Management, L.L.C. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | PIK Units Derivative · Indirect · See footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,383,000 0 owned after | no price filed | 2012-11-14 | |
| 2012-11-09 | GINNS JONATHAN J Director | 4 | Common Units Non-derivative · Indirect · See footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +18,383,000 73,227,500 owned after | no price filed | 2012-11-14 | |
| 2012-11-09 | GINNS JONATHAN J Director | 4 | PIK Units Derivative · Indirect · See footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,383,000 0 owned after | no price filed | 2012-11-14 | |
| 2012-08-28 | Kuchta Hank Director, Officer (President, COO & Director) | 4 | Common Units Non-derivative · Direct · (m) | G Bona fide gift | −1,100 4,300 owned after | $0.00 | 2012-08-29 | |
| 2012-08-28 | Kuchta Hank Director, Officer (President, COO & Director) | 4 | Common Units Non-derivative · Direct · (m) | G Bona fide gift | −1,100 3,200 owned after | $0.00 | 2012-08-29 | |
| 2012-08-28 | Kuchta Hank Director, Officer (President, COO & Director) | 4 | Common Units Non-derivative · Direct · (m) | G Bona fide gift | −1,100 2,100 owned after | $0.00 | 2012-08-29 | |
| 2012-08-28 | Kuchta Hank Director, Officer (President, COO & Director) | 4 | Common Units Non-derivative · Indirect · (m) | G Bona fide gift | +1,100 1,100 owned after | $0.00 | 2012-08-29 | |
| 2012-08-28 | Kuchta Hank Director, Officer (President, COO & Director) | 4 | Common Units Non-derivative · Indirect · (m) | G Bona fide gift | +1,100 1,100 owned after | $0.00 | 2012-08-29 | |
| 2012-08-20 | Kuchta Hank Director, Officer (President, COO & Director) | 4 | Common Units Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,400 5,400 owned after | $18.42 | 2012-08-22 | |
| 2012-08-15 | Rodriguez Mario E. Director, Officer (CEO and Director) | 4 | Common Units Non-derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +1,400 1,400 owned after | $17.32 | 2012-08-16 | |
| 2012-08-15 | Rodriguez Mario E. Director, Officer (CEO and Director) | 4 | Common Units Non-derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +3,500 4,900 owned after | $17.31 | 2012-08-16 | |
| 2012-08-02 holding as of filing | NTI GenPar, LLC | Northern Tier Investors LP | Northern Tier Investors, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3/A | Common Units Non-derivative · Indirect · See Explanation of Responses | Holding | 54,844,500 owned after | no price filed | 2012-08-02 | |
| 2012-08-02 holding as of filing | NTI GenPar, LLC | Northern Tier Investors LP | Northern Tier Investors, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3/A | PIK Units Derivative · Indirect · See Explanation of Responses | Holding | no price filed | 2012-08-02 | ||
| 2012-08-02 holding as of filing | NTI GenPar, LLC | Northern Tier Investors LP | Northern Tier Investors, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3/A | Common Units Right Derivative · Indirect · See Explanation of Responses | Holding | no price filed | 2012-08-02 | ||
| 2012-08-02 holding as of filing | Northern Tier Holdings LLC Director, 10% Owner | 3/A | Common Units Non-derivative · Direct | Holding | 54,844,500 owned after | no price filed | 2012-08-02 | |
| 2012-08-02 holding as of filing | Northern Tier Holdings LLC Director, 10% Owner | 3/A | PIK Units Derivative · Direct | Holding | no price filed | 2012-08-02 | ||
| 2012-08-02 holding as of filing | Northern Tier Holdings LLC Director, 10% Owner | 3/A | Common Units Right Derivative · Direct | Holding | no price filed | 2012-08-02 | ||
| 2012-08-02 holding as of filing | ACON Funds Management, L.L.C. | ACON Refining Partners, L.L.C. | AIP V GenPar, L.L.C. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3/A | Common Units Non-derivative · Indirect · See footnote | Holding | 54,844,500 owned after | no price filed | 2012-08-02 | |
| 2012-08-02 holding as of filing | ARONSON BERNARD W Director | 3/A | Common Units Non-derivative · Indirect · See footnotes | Holding | 54,844,500 owned after | no price filed | 2012-08-02 | |
| 2012-08-02 holding as of filing | GINNS JONATHAN J Director | 3/A | Common Units Non-derivative · Indirect · See footnotes | Holding | 54,844,500 owned after | no price filed | 2012-08-02 | |
| 2012-08-01 holding as of filing | COULTER JAMES G | TPG Group Holdings (SBS) Advisors, Inc. | BONDERMAN DAVID Other (Former 10% Owner) | Director, 10% Owner | Other (Former 10% Owner) | 3/A | Common Units Non-derivative · Indirect · See Explanation of Responses | Holding | 54,844,500 owned after | no price filed | 2012-08-01 | |
| 2012-08-01 holding as of filing | COULTER JAMES G | TPG Group Holdings (SBS) Advisors, Inc. | BONDERMAN DAVID Other (Former 10% Owner) | Director, 10% Owner | Other (Former 10% Owner) | 3/A | PIK Units Derivative · Indirect · See Explanation of Responses | Holding | no price filed | 2012-08-01 | ||
| 2012-08-01 holding as of filing | COULTER JAMES G | TPG Group Holdings (SBS) Advisors, Inc. | BONDERMAN DAVID Other (Former 10% Owner) | Director, 10% Owner | Other (Former 10% Owner) | 3/A | Common Units Right Derivative · Indirect · See Explanation of Responses | Holding | no price filed | 2012-08-01 | ||
| 2012-07-30 | NTI GenPar, LLC | Northern Tier Investors, LLC | Northern Tier Investors LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Common Units Right Derivative · Indirect · See Explanation of Responses | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,437,500 0 owned after | $14.00 | 2012-08-01 | |
| 2012-07-30 | Northern Tier Holdings LLC Director, 10% Owner | 4 | Common Units Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,437,500 0 owned after | $14.00 | 2012-08-01 | |
| 2012-07-30 | TPG Group Holdings (SBS) Advisors, Inc. | BONDERMAN DAVID | COULTER JAMES G Director, 10% Owner | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Common Units Right Derivative · Indirect · See Explanation of Responses | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,437,500 0 owned after | $14.00 | 2012-08-01 | |
| 2012-07-30 | AIP V GenPar, L.L.C. | ACON Refining Partners, L.L.C. | ACON Funds Management, L.L.C. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Common Units Right Derivative · Indirect · See footnote | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,437,500 0 owned after | $14.00 | 2012-08-01 | |
| 2012-07-30 | ARONSON BERNARD W Director | 4 | Common Units Right Derivative · Indirect · See footnotes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,437,500 0 owned after | $14.00 | 2012-08-01 | |
| 2012-07-30 | GINNS JONATHAN J Director | 4 | Common Units Right Derivative · Indirect · See footnotes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,437,500 0 owned after | $14.00 | 2012-08-01 | |
| 2012-07-25 holding as of filing | COULTER JAMES G | TPG Group Holdings (SBS) Advisors, Inc. | BONDERMAN DAVID Other (Former 10% Owner) | Director, 10% Owner | Other (Former 10% Owner) | 3 | Common Units Non-derivative · Indirect · See Explanation of Responses | Holding | 57,282,000 owned after | no price filed | 2012-07-25 | |
| 2012-07-25 holding as of filing | COULTER JAMES G | TPG Group Holdings (SBS) Advisors, Inc. | BONDERMAN DAVID Other (Former 10% Owner) | Director, 10% Owner | Other (Former 10% Owner) | 3 | PIK Units Derivative · Indirect · See Explanation of Responses | Holding | no price filed | 2012-07-25 | ||
| 2012-07-25 holding as of filing | COULTER JAMES G | TPG Group Holdings (SBS) Advisors, Inc. | BONDERMAN DAVID Other (Former 10% Owner) | Director, 10% Owner | Other (Former 10% Owner) | 3 | Common Units Right Derivative · Indirect · See Explanation of Responses | Holding | no price filed | 2012-07-25 | ||
| 2012-07-25 holding as of filing | Northern Tier Holdings LLC Director, 10% Owner | 3 | Common Units Non-derivative · Direct | Holding | 57,282,000 owned after | no price filed | 2012-07-25 | |
| 2012-07-25 holding as of filing | Northern Tier Holdings LLC Director, 10% Owner | 3 | PIK Units Derivative · Direct | Holding | no price filed | 2012-07-25 | ||
| 2012-07-25 holding as of filing | Northern Tier Holdings LLC Director, 10% Owner | 3 | Common Units Right Derivative · Direct | Holding | no price filed | 2012-07-25 | ||
| 2012-07-25 holding as of filing | NTI GenPar, LLC | Northern Tier Investors LP | Northern Tier Investors, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | Common Units Non-derivative · Indirect · See Explanation of Responses | Holding | 57,282,000 owned after | no price filed | 2012-07-25 | |
| 2012-07-25 holding as of filing | NTI GenPar, LLC | Northern Tier Investors LP | Northern Tier Investors, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | PIK Units Derivative · Indirect · See Explanation of Responses | Holding | no price filed | 2012-07-25 | ||
| 2012-07-25 holding as of filing | NTI GenPar, LLC | Northern Tier Investors LP | Northern Tier Investors, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | Common Units Right Derivative · Indirect · See Explanation of Responses | Holding | no price filed | 2012-07-25 | ||
| 2012-07-25 holding as of filing | ARONSON BERNARD W Director | 3 | Common Units Non-derivative · Indirect · See footnotes | Holding | 57,282,000 owned after | no price filed | 2012-07-25 | |
| 2012-07-25 holding as of filing | ARONSON BERNARD W Director | 3 | PIK Units Derivative · Indirect · See footnotes | Holding | no price filed | 2012-07-25 | ||
| 2012-07-25 holding as of filing | ARONSON BERNARD W Director | 3 | Common Units Right Derivative · Indirect · See footnotes | Holding | no price filed | 2012-07-25 | ||
| 2012-07-25 holding as of filing | ACON Funds Management, L.L.C. | AIP V GenPar, L.L.C. | ACON Refining Partners, L.L.C. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | Common Units Non-derivative · Indirect · See footnote | Holding | 57,282,000 owned after | no price filed | 2012-07-25 | |
| 2012-07-25 holding as of filing | ACON Funds Management, L.L.C. | AIP V GenPar, L.L.C. | ACON Refining Partners, L.L.C. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | PIK Units Derivative · Indirect · See footnote | Holding | no price filed | 2012-07-25 | ||
| 2012-07-25 holding as of filing | ACON Funds Management, L.L.C. | AIP V GenPar, L.L.C. | ACON Refining Partners, L.L.C. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | Common Units Right Derivative · Indirect · See footnote | Holding | no price filed | 2012-07-25 | ||
| 2012-07-25 holding as of filing | Northern Tier Energy GP LLC Director | 3 | Common Units Non-derivative · Direct | Holding | 0 owned after | no price filed | 2012-07-25 | |
| 2012-07-25 holding as of filing | GINNS JONATHAN J Director | 3 | Common Units Non-derivative · Indirect · See footnotes | Holding | 57,282,000 owned after | no price filed | 2012-07-25 | |
| 2012-07-25 holding as of filing | GINNS JONATHAN J Director | 3 | PIK Units Derivative · Indirect · See footnotes | Holding | no price filed | 2012-07-25 | ||
| 2012-07-25 holding as of filing | GINNS JONATHAN J Director | 3 | Common Unit Right Derivative · Indirect · See footnotes | Holding | no price filed | 2012-07-25 |