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OTC · USD

VISK

Viskase Holdings, Inc.

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Tapewire entity
7040
SEC CIK
0000727510
Parsed reports
38

Last 12 months

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0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
August 10, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 9,500 $0.26 $2,470.00
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 28

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,188,295

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
August 06, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 40,316 $0.26 $10,482.16
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 27

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,178,795

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
July 30, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 8,255 $0.26 $2,146.30
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 26

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,138,479

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
July 27, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 112 $0.26 $29.12
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 25

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,130,224

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
July 26, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 26,655 $0.26 $6,930.30
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 24

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,130,112

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
July 24, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 11,368 $0.26 $2,955.68
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 23

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,103,457

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
July 20, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 355 $0.26 $92.30
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 22

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,092,089

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
July 11, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 635 $0.26 $165.10
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 21

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,091,734

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
July 10, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 2,800 $0.26 $728.00
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 20

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,091,099

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
July 05, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 21,975 $0.26 $5,713.50
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 19

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,088,299

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
July 03, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 20,000 $0.26 $5,200.00
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 18

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,066,324

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
July 02, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 600 $0.26 $156.00
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 17

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,046,324

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
June 29, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 1,300 $0.26 $338.00
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 16

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,045,724

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
June 28, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 32,345 $0.26 $8,409.70
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 15

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,044,424

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
June 26, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 1,120 $0.26 $291.20
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 14

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,012,079

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
June 25, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 500 $0.26 $130.00
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 13

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,010,959

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
June 22, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 68,195 $0.26 $17,730.70
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 12

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,010,459

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
June 05, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 2,000 $0.26 $520.00
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 11

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,942,264

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
June 04, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 1,000 $0.26 $260.00
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 10

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,940,264

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
May 22, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 5,500 $0.26 $1,430.00
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 9

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,939,264

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
May 21, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 50,000 $0.26 $13,000.00
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 8

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,933,764

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
May 18, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 20,200 $0.26 $5,252.00
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 7

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,883,764

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
May 17, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 4,000 $0.26 $1,040.00
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 6

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,863,564

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
May 15, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 55,000 $0.26 $14,300.00
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 5

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,859,564

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
May 07, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 33,500 $0.26 $8,710.00
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 4

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,804,564

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
May 02, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 3,000 $0.26 $780.00
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 3

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,771,064

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
April 16, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 185,700 $0.26 $48,282.00
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 2

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,768,064

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
April 13, 2018 Filed Jan 10, 2019 01:49 UTC
COUCHMAN JONATHAN10% owner · See Footnote 1
Couchman Family Fund10% owner · See Footnote 1
Xstelos Corp.10% owner · See Footnote 1
PurchaseCommon Stock, $0.01 par value 4,700 $0.26 $1,222.00
Disclosure

SEC source: 0000921895-19-000047 · form4105735001_01092019.xml · nonDerivative · entry 1

COUCHMAN JONATHAN · CIK 0001265094 · 10% owner · See Footnote 1

Couchman Family Fund · CIK 0001737322 · 10% owner · See Footnote 1

Xstelos Corp. · CIK 0001571659 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,582,364

F1 · security: This Form 4 is filed jointly by Jonathan Couchman ("Mr. Couchman"), Couchman Family Fund (the "Foundation") and Xstelos Corp. ("Xstelos" and, together with Mr. Couchman and the Foundation, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock (the "Shares"). Each of the Reporting Persons expressly disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such Shares for purposes of Section 16 or for any other purpose.

F2 · security: Due to the Securities and Exchange Commission's electronic filing system limitation of thirty line items on Table I, this Form 4 filing is part one of two.

Read SEC document
November 28, 2016 Filed Nov 29, 2016 16:18 UTC
ICAHN CARL C10% owner
OtherTotal Return Swap · Derivative 1 Not disclosed Strike: $1.09 Not disclosed
Disclosure

SEC source: 0001140361-16-088016 · doc1.xml · derivative · entry 2

ICAHN CARL C · CIK 0000921669 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · please see footnotes

Disclosed balance after: 0

Underlying: Common Stock · 694,023 shares

Expires 2016-11-28

F6 · security: Each of the Funds was party to a cash-settled total return swap agreement (each a "Swap") with a fixed termination date and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · security: In addition, under each Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps.

F8 · security: On November 28, 2016, each Swap terminated and was settled with a cash payment. The settlement of the Swaps and the purchase of the Shares reported in Table I were effected simultaneously and at the same price.

F6 · kind: Each of the Funds was party to a cash-settled total return swap agreement (each a "Swap") with a fixed termination date and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · kind: In addition, under each Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps.

F8 · kind: On November 28, 2016, each Swap terminated and was settled with a cash payment. The settlement of the Swaps and the purchase of the Shares reported in Table I were effected simultaneously and at the same price.

F6 · price: Each of the Funds was party to a cash-settled total return swap agreement (each a "Swap") with a fixed termination date and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · price: In addition, under each Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps.

F8 · price: On November 28, 2016, each Swap terminated and was settled with a cash payment. The settlement of the Swaps and the purchase of the Shares reported in Table I were effected simultaneously and at the same price.

F6 · derivative.exercise_date: Each of the Funds was party to a cash-settled total return swap agreement (each a "Swap") with a fixed termination date and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · derivative.exercise_date: In addition, under each Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps.

F8 · derivative.exercise_date: On November 28, 2016, each Swap terminated and was settled with a cash payment. The settlement of the Swaps and the purchase of the Shares reported in Table I were effected simultaneously and at the same price.

F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,319,777 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,131,172 Shares, and Icahn Partners Master Fund LP ("Icahn Master" and together with Icahn Partners and High River, the "Funds") directly beneficially owns 2,147,937 Shares.

F2 · ownership.nature: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master.

F3 · ownership.nature: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by each of High River, Icahn Partners and Icahn Master. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

F5 · ownership.nature: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

Read SEC document
November 28, 2016 Filed Nov 29, 2016 16:18 UTC
ICAHN CARL C10% owner
PurchaseCommon Stock 694,023 $0.41 $281,079.32
Disclosure

SEC source: 0001140361-16-088016 · doc1.xml · nonDerivative · entry 1

ICAHN CARL C · CIK 0000921669 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · please see footnotes

Disclosed balance after: 6,598,886

F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,319,777 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,131,172 Shares, and Icahn Partners Master Fund LP ("Icahn Master" and together with Icahn Partners and High River, the "Funds") directly beneficially owns 2,147,937 Shares.

F2 · ownership.nature: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master.

F3 · ownership.nature: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by each of High River, Icahn Partners and Icahn Master. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

F5 · ownership.nature: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

Read SEC document
November 28, 2014 Filed Nov 29, 2014 01:01 UTC
ICAHN CARL C10% owner
OtherTotal Return Swap · Derivative 1 Not disclosed Strike: $1.09 Not disclosed
Disclosure

SEC source: 0001140361-14-043674 · doc1.xml · derivative · entry 8

ICAHN CARL C · CIK 0000921669 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 1

Underlying: Common Stock · 694,023 shares

Expires 2016-11-28

F6 · security: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · security: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · security: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F9 · security: On November 28, 2014, each Second Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Third Swap") on substantially the same terms and conditions as the Second Swap (as described herein) other than the reference price per share, which, for purposes of the Third Swap, was equal to the closing market price of the reference shares on November 28, 2014. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Second Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Second Swap and entry into the Third Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Second Swap and deemed purchase at the time of the establishment of the Third Swap were at the same price.

F6 · kind: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · kind: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · kind: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F9 · kind: On November 28, 2014, each Second Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Third Swap") on substantially the same terms and conditions as the Second Swap (as described herein) other than the reference price per share, which, for purposes of the Third Swap, was equal to the closing market price of the reference shares on November 28, 2014. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Second Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Second Swap and entry into the Third Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Second Swap and deemed purchase at the time of the establishment of the Third Swap were at the same price.

F6 · price: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · price: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · price: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F9 · price: On November 28, 2014, each Second Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Third Swap") on substantially the same terms and conditions as the Second Swap (as described herein) other than the reference price per share, which, for purposes of the Third Swap, was equal to the closing market price of the reference shares on November 28, 2014. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Second Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Second Swap and entry into the Third Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Second Swap and deemed purchase at the time of the establishment of the Third Swap were at the same price.

F6 · derivative.exercise_date: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · derivative.exercise_date: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · derivative.exercise_date: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F9 · derivative.exercise_date: On November 28, 2014, each Second Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Third Swap") on substantially the same terms and conditions as the Second Swap (as described herein) other than the reference price per share, which, for purposes of the Third Swap, was equal to the closing market price of the reference shares on November 28, 2014. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Second Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Second Swap and entry into the Third Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Second Swap and deemed purchase at the time of the establishment of the Third Swap were at the same price.

F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,180,972 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,696,578 Shares, and Icahn Partners Master Fund LP ("Icahn Master" and together with Icahn Partners and High River, the "Funds") directly beneficially owns 2,027,313 Shares.

F2 · ownership.nature: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master.

F3 · ownership.nature: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by each of High River, Icahn Partners and Icahn Master. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

F5 · ownership.nature: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

Read SEC document
November 28, 2014 Filed Nov 29, 2014 01:01 UTC
ICAHN CARL C10% owner
OtherTotal Return Swap · Derivative 1 Not disclosed Strike: $6.31 Not disclosed
Disclosure

SEC source: 0001140361-14-043674 · doc1.xml · derivative · entry 7

ICAHN CARL C · CIK 0000921669 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 694,023 shares

Expires 2014-11-28

F6 · security: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · security: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · security: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F9 · security: On November 28, 2014, each Second Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Third Swap") on substantially the same terms and conditions as the Second Swap (as described herein) other than the reference price per share, which, for purposes of the Third Swap, was equal to the closing market price of the reference shares on November 28, 2014. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Second Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Second Swap and entry into the Third Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Second Swap and deemed purchase at the time of the establishment of the Third Swap were at the same price.

F6 · kind: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · kind: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · kind: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F9 · kind: On November 28, 2014, each Second Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Third Swap") on substantially the same terms and conditions as the Second Swap (as described herein) other than the reference price per share, which, for purposes of the Third Swap, was equal to the closing market price of the reference shares on November 28, 2014. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Second Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Second Swap and entry into the Third Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Second Swap and deemed purchase at the time of the establishment of the Third Swap were at the same price.

F6 · price: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · price: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · price: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F9 · price: On November 28, 2014, each Second Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Third Swap") on substantially the same terms and conditions as the Second Swap (as described herein) other than the reference price per share, which, for purposes of the Third Swap, was equal to the closing market price of the reference shares on November 28, 2014. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Second Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Second Swap and entry into the Third Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Second Swap and deemed purchase at the time of the establishment of the Third Swap were at the same price.

F6 · derivative.exercise_date: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · derivative.exercise_date: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · derivative.exercise_date: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F9 · derivative.exercise_date: On November 28, 2014, each Second Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Third Swap") on substantially the same terms and conditions as the Second Swap (as described herein) other than the reference price per share, which, for purposes of the Third Swap, was equal to the closing market price of the reference shares on November 28, 2014. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Second Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Second Swap and entry into the Third Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Second Swap and deemed purchase at the time of the establishment of the Third Swap were at the same price.

F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,180,972 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,696,578 Shares, and Icahn Partners Master Fund LP ("Icahn Master" and together with Icahn Partners and High River, the "Funds") directly beneficially owns 2,027,313 Shares.

F2 · ownership.nature: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master.

F3 · ownership.nature: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by each of High River, Icahn Partners and Icahn Master. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

F5 · ownership.nature: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

Read SEC document
November 28, 2014 Filed Nov 29, 2014 01:01 UTC
ICAHN CARL C10% owner
OtherCommon Stock 694,023 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-14-043674 · doc1.xml · nonDerivative · entry 4

ICAHN CARL C · CIK 0000921669 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 5,904,863

F6 · kind: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · kind: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · kind: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F9 · kind: On November 28, 2014, each Second Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Third Swap") on substantially the same terms and conditions as the Second Swap (as described herein) other than the reference price per share, which, for purposes of the Third Swap, was equal to the closing market price of the reference shares on November 28, 2014. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Second Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Second Swap and entry into the Third Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Second Swap and deemed purchase at the time of the establishment of the Third Swap were at the same price.

F6 · price: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · price: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · price: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F9 · price: On November 28, 2014, each Second Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Third Swap") on substantially the same terms and conditions as the Second Swap (as described herein) other than the reference price per share, which, for purposes of the Third Swap, was equal to the closing market price of the reference shares on November 28, 2014. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Second Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Second Swap and entry into the Third Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Second Swap and deemed purchase at the time of the establishment of the Third Swap were at the same price.

F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,180,972 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,696,578 Shares, and Icahn Partners Master Fund LP ("Icahn Master" and together with Icahn Partners and High River, the "Funds") directly beneficially owns 2,027,313 Shares.

F2 · ownership.nature: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master.

F3 · ownership.nature: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by each of High River, Icahn Partners and Icahn Master. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

F5 · ownership.nature: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

Read SEC document
November 28, 2014 Filed Nov 29, 2014 01:01 UTC
ICAHN CARL C10% owner
OtherCommon Stock 694,023 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-14-043674 · doc1.xml · nonDerivative · entry 3

ICAHN CARL C · CIK 0000921669 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 6,598,886

F6 · kind: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · kind: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · kind: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F9 · kind: On November 28, 2014, each Second Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Third Swap") on substantially the same terms and conditions as the Second Swap (as described herein) other than the reference price per share, which, for purposes of the Third Swap, was equal to the closing market price of the reference shares on November 28, 2014. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Second Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Second Swap and entry into the Third Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Second Swap and deemed purchase at the time of the establishment of the Third Swap were at the same price.

F6 · price: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · price: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · price: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F9 · price: On November 28, 2014, each Second Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Third Swap") on substantially the same terms and conditions as the Second Swap (as described herein) other than the reference price per share, which, for purposes of the Third Swap, was equal to the closing market price of the reference shares on November 28, 2014. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Second Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Second Swap and entry into the Third Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Second Swap and deemed purchase at the time of the establishment of the Third Swap were at the same price.

F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,180,972 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,696,578 Shares, and Icahn Partners Master Fund LP ("Icahn Master" and together with Icahn Partners and High River, the "Funds") directly beneficially owns 2,027,313 Shares.

F2 · ownership.nature: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master.

F3 · ownership.nature: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by each of High River, Icahn Partners and Icahn Master. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

F5 · ownership.nature: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

Read SEC document
November 28, 2012 Filed Nov 29, 2014 01:01 UTC
ICAHN CARL C10% owner
OtherTotal Return Swap · Derivative 1 Not disclosed Strike: $6.31 Not disclosed
Disclosure

SEC source: 0001140361-14-043674 · doc1.xml · derivative · entry 6

ICAHN CARL C · CIK 0000921669 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 1

Underlying: Common Stock · 694,023 shares

Expires 2014-11-28

F6 · security: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · security: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · security: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F6 · kind: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · kind: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · kind: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F6 · price: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · price: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · price: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F6 · derivative.exercise_date: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · derivative.exercise_date: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · derivative.exercise_date: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,180,972 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,696,578 Shares, and Icahn Partners Master Fund LP ("Icahn Master" and together with Icahn Partners and High River, the "Funds") directly beneficially owns 2,027,313 Shares.

F2 · ownership.nature: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master.

F3 · ownership.nature: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by each of High River, Icahn Partners and Icahn Master. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

F5 · ownership.nature: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

Read SEC document
November 28, 2012 Filed Nov 29, 2014 01:01 UTC
ICAHN CARL C10% owner
OtherTotal Return Swap · Derivative 1 Not disclosed Strike: $11.14 Not disclosed
Disclosure

SEC source: 0001140361-14-043674 · doc1.xml · derivative · entry 5

ICAHN CARL C · CIK 0000921669 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 694,023 shares

Expires 2013-01-28

F6 · security: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · security: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · security: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F6 · kind: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · kind: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · kind: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F6 · price: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · price: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · price: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F6 · derivative.exercise_date: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · derivative.exercise_date: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · derivative.exercise_date: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,180,972 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,696,578 Shares, and Icahn Partners Master Fund LP ("Icahn Master" and together with Icahn Partners and High River, the "Funds") directly beneficially owns 2,027,313 Shares.

F2 · ownership.nature: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master.

F3 · ownership.nature: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by each of High River, Icahn Partners and Icahn Master. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

F5 · ownership.nature: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

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November 28, 2012 Filed Nov 29, 2014 01:01 UTC
ICAHN CARL C10% owner
OtherCommon Stock 694,023 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-14-043674 · doc1.xml · nonDerivative · entry 2

ICAHN CARL C · CIK 0000921669 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 5,904,863

F6 · kind: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · kind: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · kind: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F6 · price: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · price: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · price: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,180,972 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,696,578 Shares, and Icahn Partners Master Fund LP ("Icahn Master" and together with Icahn Partners and High River, the "Funds") directly beneficially owns 2,027,313 Shares.

F2 · ownership.nature: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master.

F3 · ownership.nature: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by each of High River, Icahn Partners and Icahn Master. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

F5 · ownership.nature: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

Read SEC document
November 28, 2012 Filed Nov 29, 2014 01:01 UTC
ICAHN CARL C10% owner
OtherCommon Stock 694,023 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-14-043674 · doc1.xml · nonDerivative · entry 1

ICAHN CARL C · CIK 0000921669 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 6,598,886

F6 · kind: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · kind: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · kind: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F6 · price: Each of the Funds was party to a cash-settled total return swap agreement (each an "Initial Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of Enzon Pharmaceuticals, Inc. ("Enzon") as set forth in Table II and the applicable footnotes thereto. Under each Initial Swap, at termination, the counterparty was obligated to pay to the Funds, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date.

F7 · price: In addition, under each Initial Swap, each of the Funds was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Initial Swaps provided for any of the Funds to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Funds disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Initial Swaps.

F8 · price: On November 28, 2012, each Initial Swap was terminated by cash-settlement and each of the Funds simultaneously entered into a new cash-settled total return swap (the "Second Swap") on substantially the same terms and conditions as the Initial Swap (as described herein) other than the reference price per share, which, for purposes of the Second Swap, was equal to the closing market price of the reference shares on November 28, 2012. Pursuant to Rule 16a-4(b) under the Exchange Act, the settlement of the Initial Swap is being reported as a simultaneous purchase (which is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) under the Exchange Act) and sale of the reference shares. The settlement of the Initial Swap and entry into the Second Swap were done simultaneously and therefore the deemed sale of the reference shares upon settlement of the Initial Swap and deemed purchase at the time of the establishment of the Second Swap were at the same price.

F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,180,972 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,696,578 Shares, and Icahn Partners Master Fund LP ("Icahn Master" and together with Icahn Partners and High River, the "Funds") directly beneficially owns 2,027,313 Shares.

F2 · ownership.nature: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master.

F3 · ownership.nature: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by each of High River, Icahn Partners and Icahn Master. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

F5 · ownership.nature: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.