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: 28 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-22: Reporting owner Bonczek David; Form 4; Security Common Units; Transaction S Open market or private sale of non-derivative or derivative security.
- 2014-06-17: Reporting owner WEAVER SCOTT D; Form 4; Security Common Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-05-15: Reporting owner Bonczek David; Form 4; Security Phantom Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-05-15: Reporting owner Stevens Scott L; Form 4; Security Phantom 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 |
|---|---|---|---|---|---|---|---|---|
| 2014-12-22 | Bonczek David Officer (Executive VP and CFO) | 4 | Common Units Non-derivative · Direct | S Open market or private sale of non-derivative or derivative security | −321 25,376 owned after | $22.53 | 2014-12-22 | |
| 2014-06-17 | WEAVER SCOTT D Director | 4 | Common Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,129 4,129 owned after | $0.00 | 2014-06-19 | |
| 2014-05-15 | Bonczek David Officer (Executive VP and CFO) | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.00 | 2014-05-16 | |
| 2014-05-15 | Stevens Scott L Officer (Sr VP & Chief Commercial Offcr) | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,272 30,272 owned after | $0.00 | 2014-05-16 | |
| 2014-05-15 | Buhrig Melissa M Officer (Exec VP, General Counsel & Sec) | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,272 30,272 owned after | $0.00 | 2014-05-16 | |
| 2014-03-01 | LAMP DAVID L Officer (President and CEO) | 4 | Common Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +400,000 400,000 owned after | $0.00 | 2014-03-04 | |
| 2014-02-25 holding as of filing | Kuchta Hank Officer (President and CEO) | 4 | Common Units Non-derivative · Indirect · By daughter | Holding | 1,100 owned after | no price filed | 2014-02-25 | |
| 2014-02-25 holding as of filing | Kuchta Hank Officer (President and CEO) | 4 | Common Units Non-derivative · Indirect · By son | Holding | 1,100 owned after | no price filed | 2014-02-25 | |
| 2014-02-21 | Bonczek David Officer (VP & CFO) | 4 | Common Units Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +12,259 25,697 owned after | $0.00 | 2014-02-25 | |
| 2014-02-21 | Kuchta Chet Officer (VP and Chief Operating Officer) | 4 | Common Units Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +24,518 55,338 owned after | $0.00 | 2014-02-25 | |
| 2014-02-21 | Mullins Greg Officer (See remarks) | 4 | Common Units Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +10,626 19,866 owned after | $0.00 | 2014-02-25 | |
| 2014-02-21 | Kuchta Hank Officer (President and CEO) | 4 | Common Units Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +33,109 63,999 owned after | $0.00 | 2014-02-25 | |
| 2014-01-03 | Barfield Lowry Director | 4 | Common Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,129 4,129 owned after | $0.00 | 2014-01-03 | |
| 2014-01-03 | Bennett Timothy Director | 4 | Common Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,129 4,129 owned after | $0.00 | 2014-01-03 | |
| 2014-01-03 | Foster Paul L Director | 4 | Common Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,129 4,129 owned after | $0.00 | 2014-01-03 | |
| 2014-01-03 | SMITH DAN F Director | 4 | Common Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,129 7,627 owned after | $0.00 | 2014-01-03 | |
| 2014-01-03 | Duckworth Rocky L Director | 4 | Common Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,129 7,521 owned after | $0.00 | 2014-01-03 | |
| 2014-01-03 | Hofmann Thomas W Director | 4 | Common Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,129 7,627 owned after | $0.00 | 2014-01-03 | |
| 2014-01-03 | Stevens Jeff A Director | 4 | Common Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,129 4,129 owned after | $0.00 | 2014-01-03 | |
| 2014-01-03 holding as of filing | Bonczek David Officer (VP and Chief Financial Officer) | 5 | Restricted Units Derivative · Direct | Holding | 10,660 owned after | no price filed | 2014-01-03 | |
| 2014-01-01 | JOSEY SCOTT D Director | 4 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +3,498 3,498 owned after | $0.00 | 2014-01-03 | |
| 2014-01-01 | JOSEY SCOTT D Director | 4 | Restricted Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,498 0 owned after | $0.00 | 2014-01-03 | |
| 2014-01-01 | SMITH DAN F Director | 4 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +3,498 3,498 owned after | $0.00 | 2014-01-03 | |
| 2014-01-01 | SMITH DAN F Director | 4 | Restricted Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,498 0 owned after | $0.00 | 2014-01-03 | |
| 2014-01-01 | Duckworth Rocky L Director | 4 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +3,342 3,342 owned after | $0.00 | 2014-01-03 | |
| 2014-01-01 | Duckworth Rocky L Director | 4 | Restricted Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,342 0 owned after | $0.00 | 2014-01-03 | |
| 2014-01-01 | Hofmann Thomas W Director | 4 | Common Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +3,498 3,498 owned after | $0.00 | 2014-01-03 | |
| 2014-01-01 | Hofmann Thomas W Director | 4 | Restricted Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,498 0 owned after | $0.00 | 2014-01-03 |