SEC Form 4 · accession 0001376139-16-000136
CVR Refining, LP · CVRR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan M. Ball
Officer — CFO and Treasurer
Period of report
Dec 26, 2016
Accepted (ET)
Dec 28, 2016 · 4:55 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001558785
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common UnitsF1 | Dec 26, 2016 | M | 17,475 | $9.64 | A | 25,475 | D | |
| Common UnitsF1 | Dec 26, 2016 | D | 17,475 | $9.64 | D | 8,000 | D | |
| Common UnitsF2 | Dec 27, 2016 | M | 13,216 | $9.26 | A | 21,216 | D | |
| Common UnitsF2 | Dec 27, 2016 | D | 13,216 | $9.26 | D | 8,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive UnitsF3,F1 | — | Dec 26, 2016 | M | 17,475 | D | Dec 26, 2016 | Dec 26, 2016 | Common Units | 17,475 | 17,474 | D |
| Incentive UnitsF3,F2 | — | Dec 27, 2016 | M | 13,216 | D | Dec 27, 2016 | Dec 27, 2016 | Common Units | 13,216 | 0 | D |
Explanation of responses
- F1This transaction represents the cash settlement of vested Incentive Units awarded on December 26, 2014.
- F2This transaction represents the cash settlement of vested Incentive Units awarded on December 31, 2013.
- F3The Incentive Units were awarded to the reporting person by CVR Energy, Inc., an affiliate of CVR Refining, LP and the parent of the general partner of CVR Refining, LP.