SEC Form 4 · accession 0001376139-16-000138
CVR Refining, LP · CVRR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert W Haugen
Officer — EVP, Refining Operations
Period of report
Dec 26, 2016
Accepted (ET)
Dec 28, 2016 · 4:57 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 | 11,556 | $9.64 | A | 11,556 | D | |
| Common UnitsF1 | Dec 26, 2016 | D | 11,556 | $9.64 | D | 0 | D | |
| Common UnitsF2 | Dec 27, 2016 | M | 8,076 | $9.26 | A | 8,076 | D | |
| Common UnitsF2 | Dec 27, 2016 | D | 8,076 | $9.26 | D | 0 | 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 | 11,556 | D | Dec 26, 2016 | Dec 26, 2016 | Common Units | 11,556 | 11,556 | D |
| Incentive UnitsF3,F2 | — | Dec 27, 2016 | M | 8,076 | D | Dec 27, 2016 | Dec 27, 2016 | Common Units | 8,076 | 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.