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: 44 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-12-20: Reporting owner Bonczek David; Form 5/A; Security Common units; Transaction S Open market or private sale of non-derivative or derivative security.
- 2013-12-19: Reporting owner Bonczek David; Form 5; Security Common Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-12-19: Reporting owner Bonczek David; Form 5; Security Restricted Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-11-22: Reporting owner Western Refining, Inc.; Form 3; Security Common Units; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-12-20 | Bonczek David Officer (Executive VP and CFO) | 5/A | Common units Non-derivative · Direct | S Open market or private sale of non-derivative or derivative security | −315 13,123 owned after | $25.10 | 2014-05-30 | |
| 2013-12-19 | Bonczek David Officer (VP and Chief Financial Officer) | 5 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +926 926 owned after | $0.00 | 2014-01-03 | |
| 2013-12-19 | Bonczek David Officer (VP and Chief Financial Officer) | 5 | Restricted Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −926 1,852 owned after | $0.00 | 2014-01-03 | |
| 2013-11-22 holding as of filing | Western Refining, Inc. Director, 10% Owner | 3 | Common Units Non-derivative · Indirect · See Explanation of Reponses | Holding | 35,622,500 owned after | no price filed | 2013-11-22 | |
| 2013-11-22 holding as of filing | NT InterHoldCo LLC Director, 10% Owner | 3 | Common Units Non-derivative · Direct | Holding | 35,622,500 owned after | no price filed | 2013-11-22 | |
| 2013-11-12 | Northern Tier Holdings LLC Other (Former 10% Owner and Director) | 4 | Common Units Non-derivative · Direct | S Open market or private sale of non-derivative or derivative security | −35,622,500 0 owned after | no price filed | 2013-11-14 | |
| 2013-11-12 | NTI GenPar, LLC | Northern Tier Investors, LLC | Northern Tier Investors LP Other (Former 10% Owner and Director) | Other (Former 10% Owner and Director) | Other (Former 10% Owner and Director) | 4 | Common Units Non-derivative · Indirect · See Explanation of Responses | S Open market or private sale of non-derivative or derivative security | −35,622,500 0 owned after | no price filed | 2013-11-14 | |
| 2013-11-12 | BONDERMAN DAVID | COULTER JAMES G | TPG Advisors VI, Inc. Other (Former 10% Owner and Director) | Other (Former 10% Owner and Director) | Other (Former 10% Owner and Director) | 4 | Common Units Non-derivative · Indirect · See Explanation of Responses | S Open market or private sale of non-derivative or derivative security | −35,622,500 0 owned after | no price filed | 2013-11-14 | |
| 2013-11-12 | GINNS JONATHAN J Director | 4 | Common Units Non-derivative · Indirect · See footnotes | S Open market or private sale of non-derivative or derivative security | −35,622,500 0 owned after | no price filed | 2013-11-14 | |
| 2013-11-12 | ARONSON BERNARD W Director | 4 | Common Units Non-derivative · Indirect · See footnotes | S Open market or private sale of non-derivative or derivative security | −35,622,500 0 owned after | no price filed | 2013-11-14 | |
| 2013-11-12 | 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 | 4 | Common Units Non-derivative · Indirect · See footnote | S Open market or private sale of non-derivative or derivative security | −35,622,500 0 owned after | no price filed | 2013-11-14 | |
| 2013-08-19 | Northern Tier Holdings LLC Director, 10% Owner | 4 | Common Units Non-derivative · Direct | S Open market or private sale of non-derivative or derivative security | −11,500,000 35,622,500 owned after | $22.03 | 2013-08-21 | |
| 2013-08-19 | COULTER JAMES G | BONDERMAN DAVID | TPG Advisors VI, Inc. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Common Units Non-derivative · Indirect · See Explanation of Responses | S Open market or private sale of non-derivative or derivative security | −11,500,000 35,622,500 owned after | $22.03 | 2013-08-21 | |
| 2013-08-19 | NTI GenPar, LLC | Northern Tier Investors, LLC | Northern Tier Investors LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Common Units Non-derivative · Indirect · See Explanation of Responses | S Open market or private sale of non-derivative or derivative security | −11,500,000 35,622,500 owned after | $22.03 | 2013-08-21 | |
| 2013-08-19 | 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 | 4 | Common Units Non-derivative · Indirect · See footnote | S Open market or private sale of non-derivative or derivative security | −11,500,000 35,622,500 owned after | $22.03 | 2013-08-21 | |
| 2013-05-23 | Northern Tier Holdings LLC Director, 10% Owner | 4 | Common Units Non-derivative · Direct | S Open market or private sale of non-derivative or derivative security | −1,800,000 47,122,500 owned after | $25.23 | 2013-05-24 | |
| 2013-05-23 | NTI GenPar, LLC | Northern Tier Investors LP | Northern Tier Investors, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Common Units Non-derivative · Indirect · See Explanation of Responses | S Open market or private sale of non-derivative or derivative security | −1,800,000 47,122,500 owned after | $25.23 | 2013-05-24 | |
| 2013-05-23 | AIP V GenPar, L.L.C. | ACON Funds Management, L.L.C. | ACON Refining Partners, L.L.C. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Common Units Non-derivative · Indirect · See footnote | S Open market or private sale of non-derivative or derivative security | −1,800,000 47,122,500 owned after | $25.23 | 2013-05-24 | |
| 2013-05-22 holding as of filing | Bonczek David Officer (VP and Chief Financial Officer) | 4 | Restricted Units Derivative · Direct | Holding | 2,774 owned after | no price filed | 2013-05-22 | |
| 2013-05-22 holding as of filing | Kuchta Chet Officer (Chief Operating Officer) | 4 | Common Units Non-derivative · Direct | Holding | 9,500 owned after | no price filed | 2013-05-22 | |
| 2013-05-22 holding as of filing | Kuchta Hank Director, Officer (President, CEO & Director) | 4 | Common Units Non-derivative · Direct · (m) | Holding | 1,100 owned after | no price filed | 2013-05-22 | |
| 2013-05-22 holding as of filing | Kuchta Hank Director, Officer (President, CEO & Director) | 4 | Common Units Non-derivative · Indirect · (m) | Holding | 1,100 owned after | no price filed | 2013-05-22 | |
| 2013-05-22 holding as of filing | Kuchta Hank Director, Officer (President, CEO & Director) | 4 | Common Units Non-derivative · Indirect · (m) | Holding | 1,100 owned after | no price filed | 2013-05-22 | |
| 2013-05-20 | Duckworth Rocky L Director | 4 | Restricted Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,342 3,342 owned after | $0.00 | 2013-05-22 | |
| 2013-05-20 | 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) | +10,660 10,660 owned after | $0.00 | 2013-05-22 | |
| 2013-05-20 | Kuchta Chet Officer (Chief Operating Officer) | 4 | Restricted Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,320 21,320 owned after | $0.00 | 2013-05-22 | |
| 2013-05-20 | Kuchta Hank Director, Officer (President, CEO & Director) | 4 | Restricted Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,790 28,790 owned after | $0.00 | 2013-05-22 | |
| 2013-05-20 | Mullins Greg Other (See remarks) | 4 | Restricted Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,240 9,240 owned after | $0.00 | 2013-05-22 | |
| 2013-05-09 | Hofmann Thomas W Director | 4 | Restricted Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,498 3,498 owned after | $0.00 | 2013-05-13 | |
| 2013-05-09 | JOSEY SCOTT D Director | 4 | Restricted Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,498 3,498 owned after | $0.00 | 2013-05-13 | |
| 2013-05-09 | SMITH DAN F Director | 4 | Restricted Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,498 3,498 owned after | $0.00 | 2013-05-13 | |
| 2013-05-06 | 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 | 4 | Common Units Non-derivative · Indirect · See footnote | S Open market or private sale of non-derivative or derivative security | −12,000,000 48,922,500 owned after | $25.23 | 2013-05-08 | |
| 2013-05-06 | NTI GenPar, LLC | Northern Tier Investors LP | Northern Tier Investors, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Common Units Non-derivative · Indirect · See Explanation of Responses | S Open market or private sale of non-derivative or derivative security | −12,000,000 48,922,500 owned after | $25.23 | 2013-05-08 | |
| 2013-05-06 | Northern Tier Holdings LLC Director, 10% Owner | 4 | Common Units Non-derivative · Direct | S Open market or private sale of non-derivative or derivative security | −12,000,000 48,922,500 owned after | $25.23 | 2013-05-08 | |
| 2013-05-06 | BONDERMAN DAVID | COULTER JAMES G | TPG Advisors VI, Inc. Other (Former 10% Owner) | Other (Former 10% Owner) | Director, 10% Owner | 4 | Common Units Non-derivative · Indirect · See Explanation of Responses | S Open market or private sale of non-derivative or derivative security | −12,000,000 48,922,500 owned after | $25.23 | 2013-05-08 | |
| 2013-02-12 holding as of filing | Kuchta Chet Officer (VP and Chief Operating Officer) | 3 | Common Units Non-derivative · Direct | Holding | 9,500 owned after | no price filed | 2013-02-12 | |
| 2013-02-08 | NTI GenPar, LLC | Northern Tier Investors LP | Northern Tier Investors, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Common Units Non-derivative · Indirect · See Explanation of Responses | S Open market or private sale of non-derivative or derivative security | −1,605,000 60,922,500 owned after | $23.42 | 2013-02-08 | |
| 2013-02-08 | Northern Tier Holdings LLC Director, 10% Owner | 4 | Common Units Non-derivative · Direct | S Open market or private sale of non-derivative or derivative security | −1,605,000 60,922,500 owned after | $23.42 | 2013-02-08 | |
| 2013-02-08 | BONDERMAN DAVID | TPG Group Holdings (SBS) Advisors, Inc. | COULTER JAMES G Other (Former 10% Owner) | Director, 10% Owner | Other (Former 10% Owner) | 4 | Common Units Non-derivative · Indirect · See Explanation of Responses | S Open market or private sale of non-derivative or derivative security | −1,605,000 60,922,500 owned after | $23.42 | 2013-02-08 | |
| 2013-02-08 | AIP V GenPar, L.L.C. | ACON Funds Management, L.L.C. | ACON Refining Partners, L.L.C. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Common Units Non-derivative · Indirect · See footnote | S Open market or private sale of non-derivative or derivative security | −1,605,000 60,922,500 owned after | $23.42 | 2013-02-08 | |
| 2013-01-24 | 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 | S Open market or private sale of non-derivative or derivative security | −10,700,000 62,527,500 owned after | $23.42 | 2013-01-24 | |
| 2013-01-24 | COULTER JAMES G | BONDERMAN DAVID | TPG Group Holdings (SBS) Advisors, Inc. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Common Units Non-derivative · Indirect · See Explanation of Responses | S Open market or private sale of non-derivative or derivative security | −10,700,000 62,527,500 owned after | $23.42 | 2013-01-24 | |
| 2013-01-24 | Northern Tier Holdings LLC Director, 10% Owner | 4 | Common Units Non-derivative · Direct | S Open market or private sale of non-derivative or derivative security | −10,700,000 62,527,500 owned after | $23.42 | 2013-01-24 | |
| 2013-01-24 | Northern Tier Investors LP | NTI GenPar, LLC | Northern Tier Investors, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Common Units Non-derivative · Indirect · See Explanation of Responses | S Open market or private sale of non-derivative or derivative security | −10,700,000 62,527,500 owned after | $23.42 | 2013-01-24 |