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: 23 rows in 2015. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-12-31: Reporting owner LAMP DAVID L; Form 4; Security Common Unit; Transaction S Open market or private sale of non-derivative or derivative security.
- 2015-02-02: Reporting owner Davis Karen Berriman; Form 4; Security Phantom Unit; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-01-22: Reporting owner Stevens Scott L; Form 4; Security Common Unit; Transaction S Open market or private sale of non-derivative or derivative security.
- 2015-01-22: Reporting owner Buhrig Melissa M; Form 4; Security Common Unit; Transaction S Open market or private sale of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-12-31 | 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 | −60,739 339,261 owned after | $25.64 | 2016-01-05 | |
| 2015-02-02 | Davis Karen Berriman Officer (Executive Vice President) | 4 | Phantom Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,476 15,476 owned after | $0.00 | 2015-02-04 | |
| 2015-01-22 | 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 | −3,418 6,676 owned after | $20.43 | 2015-01-23 | |
| 2015-01-22 | 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 | −3,415 6,676 owned after | $20.43 | 2015-01-23 | |
| 2015-01-22 | Bonczek David Officer (Executive VP and CFO) | 4 | Common Unit Non-derivative · Direct | S Open market or private sale of non-derivative or derivative security | −11,301 45,817 owned after | $20.43 | 2015-01-23 | |
| 2015-01-21 | 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 | +10,091 10,091 owned after | $0.00 | 2015-01-23 | |
| 2015-01-21 | 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 | −10,091 20,181 owned after | $0.00 | 2015-01-23 | |
| 2015-01-21 | 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) | +12,731 32,912 owned after | $0.00 | 2015-01-23 | |
| 2015-01-21 | LAMP DAVID L Director, Officer (President and CEO) | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +83,260 83,260 owned after | $0.00 | 2015-01-23 | |
| 2015-01-21 | 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 | +10,091 10,091 owned after | $0.00 | 2015-01-23 | |
| 2015-01-21 | 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 | −10,091 20,181 owned after | $0.00 | 2015-01-23 | |
| 2015-01-21 | 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) | +13,304 33,485 owned after | $0.00 | 2015-01-23 | |
| 2015-01-21 | Bonczek David Officer (Executive VP and CFO) | 4 | Common Unit Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +33,334 57,118 owned after | $0.00 | 2015-01-23 | |
| 2015-01-21 | Bonczek David Officer (Executive VP and CFO) | 4 | Phantom Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −33,334 66,666 owned after | $0.00 | 2015-01-23 | |
| 2015-01-21 | Barfield Lowry Director | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,846 4,846 owned after | $0.00 | 2015-01-23 | |
| 2015-01-21 | Stevens Jeff A Director | 4 | Phantom Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,846 4,846 owned after | $0.00 | 2015-01-23 | |
| 2015-01-21 | SMITH DAN F Director | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,846 4,846 owned after | $0.00 | 2015-01-23 | |
| 2015-01-21 | Foster Paul L Director | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,846 4,846 owned after | $0.00 | 2015-01-23 | |
| 2015-01-21 | Hofmann Thomas W Director | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,846 4,846 owned after | $0.00 | 2015-01-23 | |
| 2015-01-21 | Duckworth Rocky L Director | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,846 4,846 owned after | $0.00 | 2015-01-23 | |
| 2015-01-21 | Bennett Timothy Director | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,846 4,846 owned after | $0.00 | 2015-01-23 | |
| 2015-01-21 | WEAVER SCOTT D Director | 4 | Phantom Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,846 4,846 owned after | $0.00 | 2015-01-23 | |
| 2015-01-02 | 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 | −1,592 23,784 owned after | $22.53 | 2015-01-06 |