organization · Reporting owner
HIGH RIVER LIMITED PARTNERSHIP
Disclosed activity across 34 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALTABA INC.YHOO · Entity 13268 | Director | August 27, 2009 | August 31, 2009 |
| CAESARS HOLDINGS, INC.CZR · Entity 11848 | 10% owner | August 08, 2019 | August 08, 2019 |
| CONDUENT IncCNDT · Entity 1191 | 10% owner | August 14, 2019 | August 16, 2019 |
| CVR ENERGY INCCVI · Entity 4008 | 10% owner · please see all footnotes | February 06, 2012 | February 07, 2012 |
| Cloudera, Inc.CLDR · Entity 11702 | 10% owner | September 09, 2019 | September 09, 2019 |
| HAIN CELESTIAL GROUP INCHAIN · Entity 7055 | 10% owner | November 24, 2010 | November 29, 2010 |
| HERBALIFE LTD.HLF · Entity 4842 | 10% owner | March 10, 2017 | March 13, 2017 |
| HERC HOLDINGS INCHRI · Entity 3949 | 10% owner | August 10, 2017 | August 14, 2017 |
| HOLLYWOOD ENTERTAINMENT CORPHLYW · Entity 13895 | 10% owner | March 31, 2005 | April 06, 2005 |
| MENTOR GRAPHICS CORPMENT · Entity 12420 | 10% owner | August 24, 2010 | August 24, 2010 |
| MOTRICITY INCMOTR · Entity 12800 | 10% owner | June 17, 2010 | June 21, 2010 |
| NAVISTAR INTERNATIONAL CORPNAV · Entity 11733 | 10% owner | March 14, 2017 | March 16, 2017 |
| NEWELL BRANDS INC.NWL · Entity 4339 | 10% owner | March 09, 2020 | March 11, 2020 |
| PHILIP SERVICES CORP/DEPSCD.PK · Entity 14145 | 10% owner | June 23, 2003 | July 30, 2003 |
| SANDRIDGE ENERGY INCSD · Entity 2054 | 10% owner | November 20, 2017 | November 22, 2017 |
| Savara IncANX · Entity 4900 | 10% owner | July 27, 2005 | August 05, 2005 |
| VECTOR GROUP LTDVGR · Entity 12970 | 10% owner · please see all footnotes | November 22, 2011 | November 23, 2011 |
| WCI COMMUNITIES INCWCIMQ · Entity 13358 | please see all footnotes | December 04, 2008 | December 05, 2008 |
| XEROX CORPXRX · Entity 12016 | 10% owner | February 25, 2019 | February 25, 2019 |
| XO HOLDINGS INCXOHO · Entity 12988 | 10% owner | September 09, 2010 | September 10, 2010 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ALTABA INC.
Report date August 27, 2009 · Filed August 31, 2009
Jointly reported with ICAHN CARL C, ICAHN PARTNERS MASTER FUND LP, ICAHN PARTNERS MASTER FUND II L.P., ICAHN PARTNERS MASTER FUND III L.P., ICAHN PARTNERS LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.001 per share (''Common Stock'')SEC Table I · non-derivative | IndirectSee footnotes | 71,526,161 |
Reported balance
After 2009-08-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2009-08-27 · Sale · Disposed 4,053,963 · Balance 71,526,161 F1: High River Limited Partnership ("High River") owns 12,571,714 shares of Common Stock, Icahn Partners LP ("Icahn Partners") owns 17,388,315 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") owns 21,410,308 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") owns 8,310,918 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III") owns 3,177,317 shares of Common Stock. F2: Carl C. Icahn owns 15,000 restricted stock units, 10,000 of which were granted to him on August 1, 2008 and 5,000 of which were granted to him on June 25, 2009, in each case under the Issuer's 1996 Directors' Stock Plan (the "Plan"). Each restricted stock unit represents the contingent right to receive, upon vesting of the unit, one share of Common Stock. These units are scheduled to vest in equal quarterly installments over the one year period following the date of grant, subject to continuous service as a director. These units will generally be paid in shares of Common Stock on the earlier of the date the director's service terminates and the third anniversary of the grant date. F3: Does not include (i) 30,000 shares of Common Stock that may be acquired by Mr. Icahn upon exercise of an option that was granted to him on August 1, 2008 under the Plan and (ii) 15,000 shares of Common Stock that may be acquired by Mr. Icahn upon exercise of an option that was granted to him on June 25, 2009 under the Plan. Each option is scheduled to become exercisable at a rate of 1/4 of the shares of Common Stock underlying such option in equal quarterly installments over a one year period following the date of grant. F4: Does not include 1,050 shares of Common Stock owned by Gail Golden, the spouse of Mr. Icahn. F5: 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 each of Icahn Master, Icahn Master II and Icahn Master III. F6: 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, Icahn Master, Icahn Master II and Icahn Master III. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own the shares of Common Stock which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such shares of Common Stock except to the extent of their pecuniary interest therein. F7: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own the shares of Common Stock 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 of Common Stock except to the extent of their pecuniary interest therein. F8: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own the shares of Common Stock which each of Icahn Master, Icahn Master II and Icahn Master III owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such shares of Common Stock except to the extent of their pecuniary interest therein. F9: Each of the foregoing entities disclaims beneficial ownership of the restricted stock units and the option owned by Mr. Icahn for all purposes. F10: Mr. Icahn, by virtue of his relationship to Ms. Golden, may be deemed to beneficially own the shares of Common Stock which Ms. Golden owns. Mr. Icahn disclaims beneficial ownership of such shares of Common Stock for all purposes. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 62,873,572 |
Last balance in matching sequence
After 2009-08-31 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2009-08-28 · Sale · Disposed 8,552,789 · Balance 62,973,372 F1: High River Limited Partnership ("High River") owns 12,571,714 shares of Common Stock, Icahn Partners LP ("Icahn Partners") owns 17,388,315 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") owns 21,410,308 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") owns 8,310,918 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III") owns 3,177,317 shares of Common Stock. F2: Carl C. Icahn owns 15,000 restricted stock units, 10,000 of which were granted to him on August 1, 2008 and 5,000 of which were granted to him on June 25, 2009, in each case under the Issuer's 1996 Directors' Stock Plan (the "Plan"). Each restricted stock unit represents the contingent right to receive, upon vesting of the unit, one share of Common Stock. These units are scheduled to vest in equal quarterly installments over the one year period following the date of grant, subject to continuous service as a director. These units will generally be paid in shares of Common Stock on the earlier of the date the director's service terminates and the third anniversary of the grant date. F3: Does not include (i) 30,000 shares of Common Stock that may be acquired by Mr. Icahn upon exercise of an option that was granted to him on August 1, 2008 under the Plan and (ii) 15,000 shares of Common Stock that may be acquired by Mr. Icahn upon exercise of an option that was granted to him on June 25, 2009 under the Plan. Each option is scheduled to become exercisable at a rate of 1/4 of the shares of Common Stock underlying such option in equal quarterly installments over a one year period following the date of grant. F4: Does not include 1,050 shares of Common Stock owned by Gail Golden, the spouse of Mr. Icahn. F5: 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 each of Icahn Master, Icahn Master II and Icahn Master III. F6: 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, Icahn Master, Icahn Master II and Icahn Master III. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own the shares of Common Stock which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such shares of Common Stock except to the extent of their pecuniary interest therein. F7: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own the shares of Common Stock 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 of Common Stock except to the extent of their pecuniary interest therein. F8: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own the shares of Common Stock which each of Icahn Master, Icahn Master II and Icahn Master III owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such shares of Common Stock except to the extent of their pecuniary interest therein. F9: Each of the foregoing entities disclaims beneficial ownership of the restricted stock units and the option owned by Mr. Icahn for all purposes. F10: Mr. Icahn, by virtue of his relationship to Ms. Golden, may be deemed to beneficially own the shares of Common Stock which Ms. Golden owns. Mr. Icahn disclaims beneficial ownership of such shares of Common Stock for all purposes. Row 3 · 2009-08-31 · Sale · Disposed 99,800 · Balance 62,873,572 F1: High River Limited Partnership ("High River") owns 12,571,714 shares of Common Stock, Icahn Partners LP ("Icahn Partners") owns 17,388,315 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") owns 21,410,308 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") owns 8,310,918 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III") owns 3,177,317 shares of Common Stock. F2: Carl C. Icahn owns 15,000 restricted stock units, 10,000 of which were granted to him on August 1, 2008 and 5,000 of which were granted to him on June 25, 2009, in each case under the Issuer's 1996 Directors' Stock Plan (the "Plan"). Each restricted stock unit represents the contingent right to receive, upon vesting of the unit, one share of Common Stock. These units are scheduled to vest in equal quarterly installments over the one year period following the date of grant, subject to continuous service as a director. These units will generally be paid in shares of Common Stock on the earlier of the date the director's service terminates and the third anniversary of the grant date. F3: Does not include (i) 30,000 shares of Common Stock that may be acquired by Mr. Icahn upon exercise of an option that was granted to him on August 1, 2008 under the Plan and (ii) 15,000 shares of Common Stock that may be acquired by Mr. Icahn upon exercise of an option that was granted to him on June 25, 2009 under the Plan. Each option is scheduled to become exercisable at a rate of 1/4 of the shares of Common Stock underlying such option in equal quarterly installments over a one year period following the date of grant. F4: Does not include 1,050 shares of Common Stock owned by Gail Golden, the spouse of Mr. Icahn. F5: 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 each of Icahn Master, Icahn Master II and Icahn Master III. F6: 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, Icahn Master, Icahn Master II and Icahn Master III. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own the shares of Common Stock which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such shares of Common Stock except to the extent of their pecuniary interest therein. F7: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own the shares of Common Stock 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 of Common Stock except to the extent of their pecuniary interest therein. F8: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own the shares of Common Stock which each of Icahn Master, Icahn Master II and Icahn Master III owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such shares of Common Stock except to the extent of their pecuniary interest therein. F9: Each of the foregoing entities disclaims beneficial ownership of the restricted stock units and the option owned by Mr. Icahn for all purposes. F10: Mr. Icahn, by virtue of his relationship to Ms. Golden, may be deemed to beneficially own the shares of Common Stock which Ms. Golden owns. Mr. Icahn disclaims beneficial ownership of such shares of Common Stock for all purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: High River Limited Partnership ("High River") owns 12,571,714 shares of Common Stock, Icahn Partners LP ("Icahn Partners") owns 17,388,315 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") owns 21,410,308 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") owns 8,310,918 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III") owns 3,177,317 shares of Common Stock.
F2: Carl C. Icahn owns 15,000 restricted stock units, 10,000 of which were granted to him on August 1, 2008 and 5,000 of which were granted to him on June 25, 2009, in each case under the Issuer's 1996 Directors' Stock Plan (the "Plan"). Each restricted stock unit represents the contingent right to receive, upon vesting of the unit, one share of Common Stock. These units are scheduled to vest in equal quarterly installments over the one year period following the date of grant, subject to continuous service as a director. These units will generally be paid in shares of Common Stock on the earlier of the date the director's service terminates and the third anniversary of the grant date.
F3: Does not include (i) 30,000 shares of Common Stock that may be acquired by Mr. Icahn upon exercise of an option that was granted to him on August 1, 2008 under the Plan and (ii) 15,000 shares of Common Stock that may be acquired by Mr. Icahn upon exercise of an option that was granted to him on June 25, 2009 under the Plan. Each option is scheduled to become exercisable at a rate of 1/4 of the shares of Common Stock underlying such option in equal quarterly installments over a one year period following the date of grant.
F4: Does not include 1,050 shares of Common Stock owned by Gail Golden, the spouse of Mr. Icahn.
F5: 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 each of Icahn Master, Icahn Master II and Icahn Master III.
F6: 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, Icahn Master, Icahn Master II and Icahn Master III. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own the shares of Common Stock which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such shares of Common Stock except to the extent of their pecuniary interest therein.
F7: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own the shares of Common Stock 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 of Common Stock except to the extent of their pecuniary interest therein.
F8: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own the shares of Common Stock which each of Icahn Master, Icahn Master II and Icahn Master III owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such shares of Common Stock except to the extent of their pecuniary interest therein.
F9: Each of the foregoing entities disclaims beneficial ownership of the restricted stock units and the option owned by Mr. Icahn for all purposes.
F10: Mr. Icahn, by virtue of his relationship to Ms. Golden, may be deemed to beneficially own the shares of Common Stock which Ms. Golden owns. Mr. Icahn disclaims beneficial ownership of such shares of Common Stock for all purposes.
CAESARS HOLDINGS, INC.
Report date August 08, 2019 · Filed August 08, 2019
Jointly reported with ICAHN CARL C, ICAHN PARTNERS LP, ICAHN PARTNERS MASTER FUND LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.01 par value per shareSEC Table I · non-derivative | Indirectplease see footnotes | 114,250,942 |
Reported balance
After 2019-08-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-08-08 · Other · Acquired 15,000,000 · Balance 114,250,942 F1: On August 8, 2019, certain of the reporting persons exercised and physically settled forward contracts (the "Forwards") that were entered into on March 10, 2019 with a securities dealer (the "Seller"), purchasing from the Seller an aggregate of 15,000,000 shares of common stock, par value $0.01 per share, of Caesars Entertainment Corporation (the "Issuer"), at a forward price of $8.45 per share. The exercise and settlement of the Forwards and the reported acquisition of Issuer shares in connection therewith are deemed exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-6(b) thereunder. F2: The Forwards were held and exercised by the following reporting persons in the respective quantities indicated: High River Limited Partnership ("High River") (as to 3,000,000 shares), Icahn Partners LP ("Icahn Partners") (as to 7,025,220 shares), and Icahn Partners Master Fund LP ("Icahn Master") (as to 4,974,780 shares). The Forwards provided for an expiration date of March 11, 2020, unless earlier exercise and settlement were elected. F3: 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. F4: 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 securities which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such securities except to the extent of their pecuniary interest therein. F5: 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 securities 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 securities except to the extent of their pecuniary interest therein. F6: 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 securities 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 securities except to the extent of their pecuniary interest therein. |
| Forward contracts (obligation to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.45 · Expires 2020-03-11 | Indirectplease see footnotes | 0 |
Reported balance
After 2019-08-08 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-08-08 · Other · Disposed 15,000,000 · Balance 0 F1: On August 8, 2019, certain of the reporting persons exercised and physically settled forward contracts (the "Forwards") that were entered into on March 10, 2019 with a securities dealer (the "Seller"), purchasing from the Seller an aggregate of 15,000,000 shares of common stock, par value $0.01 per share, of Caesars Entertainment Corporation (the "Issuer"), at a forward price of $8.45 per share. The exercise and settlement of the Forwards and the reported acquisition of Issuer shares in connection therewith are deemed exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-6(b) thereunder. F2: The Forwards were held and exercised by the following reporting persons in the respective quantities indicated: High River Limited Partnership ("High River") (as to 3,000,000 shares), Icahn Partners LP ("Icahn Partners") (as to 7,025,220 shares), and Icahn Partners Master Fund LP ("Icahn Master") (as to 4,974,780 shares). The Forwards provided for an expiration date of March 11, 2020, unless earlier exercise and settlement were elected. F3: 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. F4: 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 securities which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such securities except to the extent of their pecuniary interest therein. F5: 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 securities 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 securities except to the extent of their pecuniary interest therein. F6: 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 securities 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 securities except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 8, 2019, certain of the reporting persons exercised and physically settled forward contracts (the "Forwards") that were entered into on March 10, 2019 with a securities dealer (the "Seller"), purchasing from the Seller an aggregate of 15,000,000 shares of common stock, par value $0.01 per share, of Caesars Entertainment Corporation (the "Issuer"), at a forward price of $8.45 per share. The exercise and settlement of the Forwards and the reported acquisition of Issuer shares in connection therewith are deemed exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-6(b) thereunder.
F2: The Forwards were held and exercised by the following reporting persons in the respective quantities indicated: High River Limited Partnership ("High River") (as to 3,000,000 shares), Icahn Partners LP ("Icahn Partners") (as to 7,025,220 shares), and Icahn Partners Master Fund LP ("Icahn Master") (as to 4,974,780 shares). The Forwards provided for an expiration date of March 11, 2020, unless earlier exercise and settlement were elected.
F3: 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.
F4: 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 securities which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such securities except to the extent of their pecuniary interest therein.
F5: 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 securities 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 securities except to the extent of their pecuniary interest therein.
F6: 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 securities 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 securities except to the extent of their pecuniary interest therein.
CONDUENT Inc
Report date August 14, 2019 · Filed August 16, 2019
Jointly reported with ICAHN CARL C, ICAHN PARTNERS LP, ICAHN PARTNERS MASTER FUND LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per share (the "Shares")SEC Table I · non-derivative | Indirectplease see footnotes | 38,149,336 |
Reported balance
After 2019-08-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-08-14 · Purchase · Acquired 1,941,101 · Balance 38,149,336 F1: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). F2: 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: Each of Barberry and Beckton is 100 percent owned by Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.01 par value shares (the "Shares") of Conduent Incorporated 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, if any. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F6: Each of the purchase transactions as set forth on this Form 4 were purchases effected in ordinary course brokerage transactions. F7: On or about the date of this Form 4 and after all of the transactions reported on this Form 4, High River directly beneficially owns 7,629,868 Shares, Icahn Partners directly beneficially owns 17,846,985 Shares, and Icahn Master directly beneficially owns 12,672,483 Shares. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons").
F2: 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: Each of Barberry and Beckton is 100 percent owned by Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.01 par value shares (the "Shares") of Conduent Incorporated 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, if any.
F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any.
F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any.
F6: Each of the purchase transactions as set forth on this Form 4 were purchases effected in ordinary course brokerage transactions.
F7: On or about the date of this Form 4 and after all of the transactions reported on this Form 4, High River directly beneficially owns 7,629,868 Shares, Icahn Partners directly beneficially owns 17,846,985 Shares, and Icahn Master directly beneficially owns 12,672,483 Shares.
CVR ENERGY INC
Report date February 06, 2012 · Filed February 07, 2012
Jointly reported with ICAHN CARL C, ICAHN PARTNERS MASTER FUND LP, ICAHN PARTNERS MASTER FUND II L.P., ICAHN PARTNERS MASTER FUND III L.P., ICAHN PARTNERS LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, par value $0.01 ("Shares")SEC Table I · non-derivative | Indirectplease see all footnotes | 12,584,227 |
Reported balance
After 2012-02-06 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2012-02-06 · Other · Acquired 8,754,288 · Balance 12,584,227 F8: The exercise price upon exercise of 6,819,411 of the Call Options was $12.00 and the average premium paid for such Call Options was $8.39. The exercise price upon exercise of 1,934,877 of the Call Options was $14.00 and the average premium paid for such Call Options was $8.09. |
| Call Option ("right to purchase")SEC Table II · derivative / convertible security · Conversion / exercise price $12.00 · Expires 2013-12-12 | Indirectplease see all footnotes | 1,934,877 |
Reported balance
After 2012-02-06 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2012-02-06 · Other · Disposed 6,819,411 · Balance 1,934,877 F1: High River Limited Partnership ("High River") directly beneficially owns 2,516,845 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,928,395 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,089,286 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,423,232 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 626,469 Shares. F2: 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 each of Icahn Master, Icahn Master II and Icahn Master III. F3: 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, Icahn Master, Icahn Master II and Icahn Master III. 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: 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: 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 each of Icahn Master, Icahn Master II and Icahn Master III 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. F6: High River directly beneficially owned 1,750,857 call options (the "Call Options"), Icahn Partners directly beneficially owned 2,725,634 Call Options, Icahn Master directly beneficially owned 2,837,830 Call Options, Icahn Master II directly beneficially owned 999,850 Call Options, and Icahn Master III directly beneficially owned 440,117 Call Options. On February 6, 2012, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised all of their respective Call Options in their entirety, and thereby acquired 1,750,857 Shares, 2,725,634 Shares, 2,837,830 Shares, 999,850 Shares, and 440,117 Shares, respectively. F7: High River directly wrote 1,750,857 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,725,634 Put Options, Icahn Master directly wrote 2,837,830 Put Options, Icahn Master II directly wrote 999,850 Put Options, and Icahn Master III directly wrote 440,117 Put Options. On February 6, 2012, upon exercise of the Call Options, all of the Put Options terminated in accordance with their terms. F8: The exercise price upon exercise of 6,819,411 of the Call Options was $12.00 and the average premium paid for such Call Options was $8.39. The exercise price upon exercise of 1,934,877 of the Call Options was $14.00 and the average premium paid for such Call Options was $8.09. |
| Put Option ("obligation to purchase")SEC Table II · derivative / convertible security · Conversion / exercise price $12.00 · Expires 2013-12-12 | Indirectplease see all footnotes | 1,934,877 |
Reported balance
After 2012-02-06 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2012-02-06 · Other · Disposed 6,819,411 · Balance 1,934,877 F1: High River Limited Partnership ("High River") directly beneficially owns 2,516,845 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,928,395 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,089,286 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,423,232 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 626,469 Shares. F2: 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 each of Icahn Master, Icahn Master II and Icahn Master III. F3: 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, Icahn Master, Icahn Master II and Icahn Master III. 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: 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: 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 each of Icahn Master, Icahn Master II and Icahn Master III 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. F6: High River directly beneficially owned 1,750,857 call options (the "Call Options"), Icahn Partners directly beneficially owned 2,725,634 Call Options, Icahn Master directly beneficially owned 2,837,830 Call Options, Icahn Master II directly beneficially owned 999,850 Call Options, and Icahn Master III directly beneficially owned 440,117 Call Options. On February 6, 2012, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised all of their respective Call Options in their entirety, and thereby acquired 1,750,857 Shares, 2,725,634 Shares, 2,837,830 Shares, 999,850 Shares, and 440,117 Shares, respectively. F7: High River directly wrote 1,750,857 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,725,634 Put Options, Icahn Master directly wrote 2,837,830 Put Options, Icahn Master II directly wrote 999,850 Put Options, and Icahn Master III directly wrote 440,117 Put Options. On February 6, 2012, upon exercise of the Call Options, all of the Put Options terminated in accordance with their terms. F8: The exercise price upon exercise of 6,819,411 of the Call Options was $12.00 and the average premium paid for such Call Options was $8.39. The exercise price upon exercise of 1,934,877 of the Call Options was $14.00 and the average premium paid for such Call Options was $8.09. |
| Call OptionSEC Table II · derivative / convertible security · Conversion / exercise price $14.00 · Expires 2012-04-11 | Indirectplease see all footnotes | 0 |
Reported balance
After 2012-02-06 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2012-02-06 · Other · Disposed 1,934,877 · Balance 0 F1: High River Limited Partnership ("High River") directly beneficially owns 2,516,845 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,928,395 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,089,286 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,423,232 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 626,469 Shares. F2: 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 each of Icahn Master, Icahn Master II and Icahn Master III. F3: 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, Icahn Master, Icahn Master II and Icahn Master III. 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: 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: 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 each of Icahn Master, Icahn Master II and Icahn Master III 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. F6: High River directly beneficially owned 1,750,857 call options (the "Call Options"), Icahn Partners directly beneficially owned 2,725,634 Call Options, Icahn Master directly beneficially owned 2,837,830 Call Options, Icahn Master II directly beneficially owned 999,850 Call Options, and Icahn Master III directly beneficially owned 440,117 Call Options. On February 6, 2012, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised all of their respective Call Options in their entirety, and thereby acquired 1,750,857 Shares, 2,725,634 Shares, 2,837,830 Shares, 999,850 Shares, and 440,117 Shares, respectively. F7: High River directly wrote 1,750,857 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,725,634 Put Options, Icahn Master directly wrote 2,837,830 Put Options, Icahn Master II directly wrote 999,850 Put Options, and Icahn Master III directly wrote 440,117 Put Options. On February 6, 2012, upon exercise of the Call Options, all of the Put Options terminated in accordance with their terms. F8: The exercise price upon exercise of 6,819,411 of the Call Options was $12.00 and the average premium paid for such Call Options was $8.39. The exercise price upon exercise of 1,934,877 of the Call Options was $14.00 and the average premium paid for such Call Options was $8.09. |
| Put OptionSEC Table II · derivative / convertible security · Conversion / exercise price $14.00 · Expires 2012-04-11 | Indirectplease see all footnotes | 0 |
Reported balance
After 2012-02-06 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2012-02-06 · Other · Disposed 1,934,877 · Balance 0 F1: High River Limited Partnership ("High River") directly beneficially owns 2,516,845 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,928,395 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,089,286 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,423,232 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 626,469 Shares. F2: 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 each of Icahn Master, Icahn Master II and Icahn Master III. F3: 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, Icahn Master, Icahn Master II and Icahn Master III. 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: 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: 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 each of Icahn Master, Icahn Master II and Icahn Master III 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. F6: High River directly beneficially owned 1,750,857 call options (the "Call Options"), Icahn Partners directly beneficially owned 2,725,634 Call Options, Icahn Master directly beneficially owned 2,837,830 Call Options, Icahn Master II directly beneficially owned 999,850 Call Options, and Icahn Master III directly beneficially owned 440,117 Call Options. On February 6, 2012, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised all of their respective Call Options in their entirety, and thereby acquired 1,750,857 Shares, 2,725,634 Shares, 2,837,830 Shares, 999,850 Shares, and 440,117 Shares, respectively. F7: High River directly wrote 1,750,857 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,725,634 Put Options, Icahn Master directly wrote 2,837,830 Put Options, Icahn Master II directly wrote 999,850 Put Options, and Icahn Master III directly wrote 440,117 Put Options. On February 6, 2012, upon exercise of the Call Options, all of the Put Options terminated in accordance with their terms. F8: The exercise price upon exercise of 6,819,411 of the Call Options was $12.00 and the average premium paid for such Call Options was $8.39. The exercise price upon exercise of 1,934,877 of the Call Options was $14.00 and the average premium paid for such Call Options was $8.09. |
Filing footnotes · ownership attribution and instrument terms
F1: High River Limited Partnership ("High River") directly beneficially owns 2,516,845 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,928,395 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,089,286 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,423,232 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 626,469 Shares.
F2: 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 each of Icahn Master, Icahn Master II and Icahn Master III.
F3: 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, Icahn Master, Icahn Master II and Icahn Master III. 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: 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: 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 each of Icahn Master, Icahn Master II and Icahn Master III 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.
F6: High River directly beneficially owned 1,750,857 call options (the "Call Options"), Icahn Partners directly beneficially owned 2,725,634 Call Options, Icahn Master directly beneficially owned 2,837,830 Call Options, Icahn Master II directly beneficially owned 999,850 Call Options, and Icahn Master III directly beneficially owned 440,117 Call Options. On February 6, 2012, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised all of their respective Call Options in their entirety, and thereby acquired 1,750,857 Shares, 2,725,634 Shares, 2,837,830 Shares, 999,850 Shares, and 440,117 Shares, respectively.
F7: High River directly wrote 1,750,857 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,725,634 Put Options, Icahn Master directly wrote 2,837,830 Put Options, Icahn Master II directly wrote 999,850 Put Options, and Icahn Master III directly wrote 440,117 Put Options. On February 6, 2012, upon exercise of the Call Options, all of the Put Options terminated in accordance with their terms.
F8: The exercise price upon exercise of 6,819,411 of the Call Options was $12.00 and the average premium paid for such Call Options was $8.39. The exercise price upon exercise of 1,934,877 of the Call Options was $14.00 and the average premium paid for such Call Options was $8.09.
Cloudera, Inc.
Report date September 09, 2019 · Filed September 09, 2019
Jointly reported with ICAHN CARL C, ICAHN PARTNERS LP, ICAHN PARTNERS MASTER FUND LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.00005 per share ("Shares")SEC Table I · non-derivative | Indirectplease see footnotes | 18,158,474 |
Reported balance
After 2019-09-09 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-09-09 · Other · Acquired 561,708 · Balance 18,158,474 F6: On or about the date of this Form 4 (the "Reporting Date"), the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 112,342 Shares, (ii) Icahn Partners of 262,879 Shares, and (iii) Icahn Master of 186,487 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.80 per Share at the inception of the forward contract. F1: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). F2: 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: Each of Barberry and Beckton is 100 percent owned by Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F22: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 18,598,388 |
Reported balance
After 2019-09-09 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-09-09 · Purchase · Acquired 439,914 · Balance 18,598,388 F7: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 87,983 Shares, (ii) Icahn Partners of 205,879 Shares, and (iii) Icahn Master of 146,052 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.85 per Share at the inception of the forward contract. F1: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). F2: 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: Each of Barberry and Beckton is 100 percent owned by Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F22: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 19,743,318 |
Reported balance
After 2019-09-09 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2019-09-09 · Other · Acquired 1,144,930 · Balance 19,743,318 F8: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 228,986 Shares, (ii) Icahn Partners of 535,827 Shares, and (iii) Icahn Master of 380,117 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.77 per Share at the inception of the forward contract. F1: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). F2: 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: Each of Barberry and Beckton is 100 percent owned by Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F22: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 20,367,403 |
Reported balance
After 2019-09-09 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2019-09-09 · Other · Acquired 624,085 · Balance 20,367,403 F9: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 124,817 Shares, (ii) Icahn Partners of 292,073 Shares, and (iii) Icahn Master of 207,195 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.96 per Share at the inception of the forward contract. F1: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). F2: 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: Each of Barberry and Beckton is 100 percent owned by Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F22: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 22,737,476 |
Reported balance
After 2019-09-09 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2019-09-09 · Other · Acquired 2,370,073 · Balance 22,737,476 F10: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 474,015 Shares, (ii) Icahn Partners of 1,109,193 Shares, and (iii) Icahn Master of 786,865 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.95 per Share at the inception of the forward contract. F1: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). F2: 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: Each of Barberry and Beckton is 100 percent owned by Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F22: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 23,876,525 |
Reported balance
After 2019-09-09 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2019-09-09 · Other · Acquired 1,139,049 · Balance 23,876,525 F11: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 227,810 Shares, (ii) Icahn Partners of 533,075 Shares, and (iii) Icahn Master of 378,164 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.99 per Share at the inception of the forward contract. F1: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). F2: 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: Each of Barberry and Beckton is 100 percent owned by Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F22: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 26,076,597 |
Reported balance
After 2019-09-09 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2019-09-09 · Other · Acquired 2,200,072 · Balance 26,076,597 F12: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 440,014 Shares, (ii) Icahn Partners of 1,029,633 Shares, and (iii) Icahn Master of 730,425 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.05 per Share at the inception of the forward contract. F1: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). F2: 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: Each of Barberry and Beckton is 100 percent owned by Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F22: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 34,608,162 |
Reported balance
After 2019-09-09 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2019-09-09 · Other · Acquired 8,531,565 · Balance 34,608,162 F13: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 1,706,313 Shares, (ii) Icahn Partners of 3,986,515 Shares, and (iii) Icahn Master of 2,838,737 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.24 per Share at the inception of the forward contract. F1: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). F2: 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: Each of Barberry and Beckton is 100 percent owned by Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F22: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 36,256,461 |
Reported balance
After 2019-09-09 transaction · row 9
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 9 · 2019-09-09 · Other · Acquired 1,648,299 · Balance 36,256,461 F14: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 329,660 Shares, (ii) Icahn Partners of 771,105 Shares, and (iii) Icahn Master of 547,534 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.54 per Share at the inception of the forward contract. F1: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). F2: 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: Each of Barberry and Beckton is 100 percent owned by Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F22: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 39,529,496 |
Reported balance
After 2019-09-09 transaction · row 10
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 10 · 2019-09-09 · Other · Acquired 3,273,035 · Balance 39,529,496 F15: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 654,607 Shares, (ii) Icahn Partners of 1,531,188 Shares, and (iii) Icahn Master of 1,087,240 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.50 per Share at the inception of the forward contract. F1: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). F2: 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: Each of Barberry and Beckton is 100 percent owned by Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F22: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 41,104,496 |
Reported balance
After 2019-09-09 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2019-09-09 · Other · Acquired 1,575,000 · Balance 41,104,496 F16: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 315,000 Shares, (ii) Icahn Partners of 736,815 Shares, and (iii) Icahn Master of 523,185 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.45 per Share at the inception of the forward contract. F1: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). F2: 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: Each of Barberry and Beckton is 100 percent owned by Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F22: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 45,180,045 |
Reported balance
After 2019-09-09 transaction · row 12
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 12 · 2019-09-09 · Other · Acquired 4,075,549 · Balance 45,180,045 F17: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 815,110 Shares, (ii) Icahn Partners of 1,906,619 Shares, and (iii) Icahn Master of 1,353,820 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.58 per Share at the inception of the forward contract. F1: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). F2: 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: Each of Barberry and Beckton is 100 percent owned by Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F22: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 47,048,621 |
Reported balance
After 2019-09-09 transaction · row 13
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 13 · 2019-09-09 · Other · Acquired 1,868,576 · Balance 47,048,621 F18: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 373,715 Shares, (ii) Icahn Partners of 874,156 Shares, and (iii) Icahn Master of 620,705 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.94 per Share at the inception of the forward contract. F1: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). F2: 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: Each of Barberry and Beckton is 100 percent owned by Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F22: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 50,343,460 |
Reported balance
After 2019-09-09 transaction · row 14
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 14 · 2019-09-09 · Other · Acquired 3,294,839 · Balance 50,343,460 F19: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 658,968 Shares, (ii) Icahn Partners of 1,541,388 Shares, and (iii) Icahn Master of 1,094,483 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.99 per Share at the inception of the forward contract. F1: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). F2: 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: Each of Barberry and Beckton is 100 percent owned by Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F22: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 52,795,218 |
Reported balance
After 2019-09-09 transaction · row 15
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 15 · 2019-09-09 · Other · Acquired 2,451,758 · Balance 52,795,218 F20: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 490,352 Shares, (ii) Icahn Partners of 1,146,979 Shares, and (iii) Icahn Master of 814,427 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.73 per Share at the inception of the forward contract. F1: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). F2: 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: Each of Barberry and Beckton is 100 percent owned by Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F22: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 54,795,218 |
Reported balance
After 2019-09-09 transaction · row 16
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 16 · 2019-09-09 · Other · Acquired 2,000,000 · Balance 54,795,218 F21: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 400,000 Shares, (ii) Icahn Partners of 935,638 Shares, and (iii) Icahn Master of 664,362 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.74 per Share at the inception of the forward contract. F1: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). F2: 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: Each of Barberry and Beckton is 100 percent owned by Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F22: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. |
| Forward Contracts (obligation to purchase)SEC Table II · derivative / convertible security | Indirectplease see footnotes | 0 |
Reported balance
After 2019-09-09 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2019-09-09 · Other · Disposed 1 · Balance 0 F6: On or about the date of this Form 4 (the "Reporting Date"), the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 112,342 Shares, (ii) Icahn Partners of 262,879 Shares, and (iii) Icahn Master of 186,487 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.80 per Share at the inception of the forward contract. F7: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 87,983 Shares, (ii) Icahn Partners of 205,879 Shares, and (iii) Icahn Master of 146,052 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.85 per Share at the inception of the forward contract. F8: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 228,986 Shares, (ii) Icahn Partners of 535,827 Shares, and (iii) Icahn Master of 380,117 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.77 per Share at the inception of the forward contract. F9: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 124,817 Shares, (ii) Icahn Partners of 292,073 Shares, and (iii) Icahn Master of 207,195 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.96 per Share at the inception of the forward contract. F10: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 474,015 Shares, (ii) Icahn Partners of 1,109,193 Shares, and (iii) Icahn Master of 786,865 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.95 per Share at the inception of the forward contract. F11: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 227,810 Shares, (ii) Icahn Partners of 533,075 Shares, and (iii) Icahn Master of 378,164 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.99 per Share at the inception of the forward contract. F12: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 440,014 Shares, (ii) Icahn Partners of 1,029,633 Shares, and (iii) Icahn Master of 730,425 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.05 per Share at the inception of the forward contract. F13: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 1,706,313 Shares, (ii) Icahn Partners of 3,986,515 Shares, and (iii) Icahn Master of 2,838,737 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.24 per Share at the inception of the forward contract. F14: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 329,660 Shares, (ii) Icahn Partners of 771,105 Shares, and (iii) Icahn Master of 547,534 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.54 per Share at the inception of the forward contract. F15: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 654,607 Shares, (ii) Icahn Partners of 1,531,188 Shares, and (iii) Icahn Master of 1,087,240 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.50 per Share at the inception of the forward contract. F16: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 315,000 Shares, (ii) Icahn Partners of 736,815 Shares, and (iii) Icahn Master of 523,185 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.45 per Share at the inception of the forward contract. F17: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 815,110 Shares, (ii) Icahn Partners of 1,906,619 Shares, and (iii) Icahn Master of 1,353,820 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.58 per Share at the inception of the forward contract. F18: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 373,715 Shares, (ii) Icahn Partners of 874,156 Shares, and (iii) Icahn Master of 620,705 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.94 per Share at the inception of the forward contract. F19: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 658,968 Shares, (ii) Icahn Partners of 1,541,388 Shares, and (iii) Icahn Master of 1,094,483 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.99 per Share at the inception of the forward contract. F20: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 490,352 Shares, (ii) Icahn Partners of 1,146,979 Shares, and (iii) Icahn Master of 814,427 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.73 per Share at the inception of the forward contract. F21: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 400,000 Shares, (ii) Icahn Partners of 935,638 Shares, and (iii) Icahn Master of 664,362 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.74 per Share at the inception of the forward contract. F2: 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: Each of Barberry and Beckton is 100 percent owned by Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any. F22: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons").
F2: 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: Each of Barberry and Beckton is 100 percent owned by Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any.
F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any.
F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton, and Mr. Icahn may be deemed to indirectly beneficially own 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, if any.
F6: On or about the date of this Form 4 (the "Reporting Date"), the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 112,342 Shares, (ii) Icahn Partners of 262,879 Shares, and (iii) Icahn Master of 186,487 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.80 per Share at the inception of the forward contract.
F7: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 87,983 Shares, (ii) Icahn Partners of 205,879 Shares, and (iii) Icahn Master of 146,052 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.85 per Share at the inception of the forward contract.
F8: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 228,986 Shares, (ii) Icahn Partners of 535,827 Shares, and (iii) Icahn Master of 380,117 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.77 per Share at the inception of the forward contract.
F9: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 124,817 Shares, (ii) Icahn Partners of 292,073 Shares, and (iii) Icahn Master of 207,195 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.96 per Share at the inception of the forward contract.
F10: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 474,015 Shares, (ii) Icahn Partners of 1,109,193 Shares, and (iii) Icahn Master of 786,865 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.95 per Share at the inception of the forward contract.
F11: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 227,810 Shares, (ii) Icahn Partners of 533,075 Shares, and (iii) Icahn Master of 378,164 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.99 per Share at the inception of the forward contract.
F12: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 440,014 Shares, (ii) Icahn Partners of 1,029,633 Shares, and (iii) Icahn Master of 730,425 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.05 per Share at the inception of the forward contract.
F13: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 1,706,313 Shares, (ii) Icahn Partners of 3,986,515 Shares, and (iii) Icahn Master of 2,838,737 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.24 per Share at the inception of the forward contract.
F14: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 329,660 Shares, (ii) Icahn Partners of 771,105 Shares, and (iii) Icahn Master of 547,534 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.54 per Share at the inception of the forward contract.
F15: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 654,607 Shares, (ii) Icahn Partners of 1,531,188 Shares, and (iii) Icahn Master of 1,087,240 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.50 per Share at the inception of the forward contract.
F16: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 315,000 Shares, (ii) Icahn Partners of 736,815 Shares, and (iii) Icahn Master of 523,185 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.45 per Share at the inception of the forward contract.
F17: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 815,110 Shares, (ii) Icahn Partners of 1,906,619 Shares, and (iii) Icahn Master of 1,353,820 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.58 per Share at the inception of the forward contract.
F18: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 373,715 Shares, (ii) Icahn Partners of 874,156 Shares, and (iii) Icahn Master of 620,705 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.94 per Share at the inception of the forward contract.
F19: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 658,968 Shares, (ii) Icahn Partners of 1,541,388 Shares, and (iii) Icahn Master of 1,094,483 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.99 per Share at the inception of the forward contract.
F20: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 490,352 Shares, (ii) Icahn Partners of 1,146,979 Shares, and (iii) Icahn Master of 814,427 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.73 per Share at the inception of the forward contract.
F21: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 400,000 Shares, (ii) Icahn Partners of 935,638 Shares, and (iii) Icahn Master of 664,362 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.74 per Share at the inception of the forward contract.
F22: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares.
HAIN CELESTIAL GROUP INC
Report date November 24, 2010 · Filed November 29, 2010
Jointly reported with ICAHN CARL C, BARBERRY CORP., BECKTON CORP, Hopper Investments LLC, ICAHN CAPITAL LP, ICAHN OFFSHORE LP, ICAHN ONSHORE LP, ICAHN ENTERPRISES G.P. INC., ICAHN ENTERPRISES HOLDINGS L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per share ("Common Shares")SEC Table I · non-derivative | Indirectplease see all footnotes | 6,525,163 |
Reported balance
After 2010-11-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2010-11-24 · Purchase · Acquired 10,600 · Balance 6,525,163 F1: High River Limited Partnership ("High River") directly beneficially owns 1,307,452 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 1,985,905 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 2,248,113 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 679,014 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 316,779 Shares. F2: 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 each of Icahn Master, Icahn Master II and Icahn Master III. F3: 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, Icahn Master, Icahn Master II and Icahn Master III. 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: 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: 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 each of Icahn Master, Icahn Master II and Icahn Master III 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. F6: Please reference the Form 4 filing dated November 29, 2010, filed separately by certain other related Reporting Persons. |
| Common SharesSEC Table I · non-derivative | Indirectplease see all footnotes | 6,537,263 |
Last balance in matching sequence
After 2010-11-29 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2010-11-26 · Purchase · Acquired 6,400 · Balance 6,531,563 F1: High River Limited Partnership ("High River") directly beneficially owns 1,307,452 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 1,985,905 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 2,248,113 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 679,014 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 316,779 Shares. F2: 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 each of Icahn Master, Icahn Master II and Icahn Master III. F3: 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, Icahn Master, Icahn Master II and Icahn Master III. 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: 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: 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 each of Icahn Master, Icahn Master II and Icahn Master III 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. F6: Please reference the Form 4 filing dated November 29, 2010, filed separately by certain other related Reporting Persons. Row 3 · 2010-11-29 · Purchase · Acquired 5,700 · Balance 6,537,263 F1: High River Limited Partnership ("High River") directly beneficially owns 1,307,452 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 1,985,905 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 2,248,113 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 679,014 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 316,779 Shares. F2: 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 each of Icahn Master, Icahn Master II and Icahn Master III. F3: 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, Icahn Master, Icahn Master II and Icahn Master III. 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: 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: 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 each of Icahn Master, Icahn Master II and Icahn Master III 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. F6: Please reference the Form 4 filing dated November 29, 2010, filed separately by certain other related Reporting Persons. |
Filing footnotes · ownership attribution and instrument terms
F1: High River Limited Partnership ("High River") directly beneficially owns 1,307,452 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 1,985,905 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 2,248,113 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 679,014 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 316,779 Shares.
F2: 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 each of Icahn Master, Icahn Master II and Icahn Master III.
F3: 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, Icahn Master, Icahn Master II and Icahn Master III. 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: 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: 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 each of Icahn Master, Icahn Master II and Icahn Master III 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.
F6: Please reference the Form 4 filing dated November 29, 2010, filed separately by certain other related Reporting Persons.
HERBALIFE LTD.
Report date March 10, 2017 · Filed March 13, 2017
Jointly reported with ICAHN CARL C, ICAHN PARTNERS LP, ICAHN PARTNERS MASTER FUND LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares, par value $0.001 per share ("Shares")SEC Table I · non-derivative | Indirectplease see all footnotes | 22,872,324 |
Reported balance
After 2017-03-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-03-10 · Purchase · Acquired 372,324 · Balance 22,872,324 F1: High River Limited Partnership ("High River") directly beneficially owns 4,574,465 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 10,851,021 Shares, and Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 7,446,838 Shares. F2: 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: 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: 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: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: High River Limited Partnership ("High River") directly beneficially owns 4,574,465 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 10,851,021 Shares, and Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 7,446,838 Shares.
F2: 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: 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: 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: 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.
HERC HOLDINGS INC
Report date August 10, 2017 · Filed August 14, 2017
Jointly reported with ICAHN CARL C, ICAHN PARTNERS LP, ICAHN PARTNERS MASTER FUND LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per share ("Shares")SEC Table I · non-derivative | Indirectplease see footnotes | 4,317,219 |
Reported balance
After 2017-08-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-08-10 · Other · Acquired 4,359 · Balance 4,317,219 F1: On August 10, 2017, High River Limited Partnership ("High River") acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by High River of 4,359 Shares, at a forward price of $35.00 per Share, plus a financing charge. F11: High River directly beneficially owns 898,957 Shares, Icahn Partners directly beneficially owns 2,133,096 Shares, and Icahn Master directly beneficially owns 1,462,736 Shares. F12: 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. F13: 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. F14: 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. F15: 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. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 4,334,657 |
Reported balance
After 2017-08-10 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2017-08-10 · Other · Acquired 17,438 · Balance 4,334,657 F2: On August 10, 2017, Icahn Partners LP ("Icahn Partners") acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by Icahn Partners of 17,438 Shares at a forward price of $35.00 per Share, plus a financing charge. F11: High River directly beneficially owns 898,957 Shares, Icahn Partners directly beneficially owns 2,133,096 Shares, and Icahn Master directly beneficially owns 1,462,736 Shares. F12: 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. F13: 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. F14: 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. F15: 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. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 4,335,037 |
Reported balance
After 2017-08-10 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2017-08-10 · Other · Acquired 380 · Balance 4,335,037 F3: On August 10, 2017, High River acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by High River of 380 Shares, at a forward price of $35.00 per Share, plus a financing charge. F11: High River directly beneficially owns 898,957 Shares, Icahn Partners directly beneficially owns 2,133,096 Shares, and Icahn Master directly beneficially owns 1,462,736 Shares. F12: 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. F13: 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. F14: 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. F15: 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. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 4,336,017 |
Reported balance
After 2017-08-10 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2017-08-10 · Other · Acquired 980 · Balance 4,336,017 F4: On August 10, 2017, Icahn Partners acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by Icahn Partners of 980 Shares, at a forward price of $35.00 per Share, plus a financing charge. F11: High River directly beneficially owns 898,957 Shares, Icahn Partners directly beneficially owns 2,133,096 Shares, and Icahn Master directly beneficially owns 1,462,736 Shares. F12: 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. F13: 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. F14: 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. F15: 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. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 4,336,557 |
Reported balance
After 2017-08-10 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2017-08-10 · Other · Acquired 540 · Balance 4,336,557 F5: On August 10, 2017, Icahn Partners Master Fund LP ("Icahn Master") acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by Icahn Master of 540 Shares at a forward price of $35.00 per Share, plus a financing charge. F11: High River directly beneficially owns 898,957 Shares, Icahn Partners directly beneficially owns 2,133,096 Shares, and Icahn Master directly beneficially owns 1,462,736 Shares. F12: 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. F13: 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. F14: 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. F15: 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. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 4,346,354 |
Reported balance
After 2017-08-10 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2017-08-10 · Other · Acquired 9,797 · Balance 4,346,354 F6: On August 10, 2017, High River acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by High River of 9,797 Shares, at a forward price of $35.00 per Share, plus a financing charge. F11: High River directly beneficially owns 898,957 Shares, Icahn Partners directly beneficially owns 2,133,096 Shares, and Icahn Master directly beneficially owns 1,462,736 Shares. F12: 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. F13: 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. F14: 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. F15: 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. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 4,369,603 |
Reported balance
After 2017-08-10 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2017-08-10 · Other · Acquired 23,249 · Balance 4,369,603 F7: On August 10, 2017, Icahn Partners acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by Icahn Partners of 23,249 Shares, at a forward price of $35.00 per Share, plus a financing charge. F11: High River directly beneficially owns 898,957 Shares, Icahn Partners directly beneficially owns 2,133,096 Shares, and Icahn Master directly beneficially owns 1,462,736 Shares. F12: 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. F13: 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. F14: 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. F15: 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. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 4,385,540 |
Reported balance
After 2017-08-10 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2017-08-10 · Other · Acquired 15,937 · Balance 4,385,540 F8: On August 10, 2017, Icahn Master acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by Icahn Master of 15,937 Shares, at a forward price of $35.00 per Share, plus a financing charge. F11: High River directly beneficially owns 898,957 Shares, Icahn Partners directly beneficially owns 2,133,096 Shares, and Icahn Master directly beneficially owns 1,462,736 Shares. F12: 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. F13: 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. F14: 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. F15: 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. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 4,494,789 |
Reported balance
After 2017-08-11 transaction · row 10
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 10 · 2017-08-11 · Purchase · Acquired 25,675 · Balance 4,494,789 F10: On August 11, 2017, High River purchased 5,135 Shares, Icahn Partners purchased 12,185 Shares and Icahn Master purchased 8,355 Shares, in each case at a price of $39.00 per Share. F11: High River directly beneficially owns 898,957 Shares, Icahn Partners directly beneficially owns 2,133,096 Shares, and Icahn Master directly beneficially owns 1,462,736 Shares. F12: 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. F13: 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. F14: 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. F15: 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. |
| SharesSEC Table I · non-derivative | Indirectplease see all footnotes | 4,469,114 |
Reported balance
After 2017-08-10 transaction · row 9
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 9 · 2017-08-10 · Purchase · Acquired 83,574 · Balance 4,469,114 F9: On August 10, 2017, High River purchased 16,715 Shares, Icahn Partners purchased 39,387 Shares and Icahn Master purchased 27,472 Shares, in each case at a price of $38.93 per Share. F11: High River directly beneficially owns 898,957 Shares, Icahn Partners directly beneficially owns 2,133,096 Shares, and Icahn Master directly beneficially owns 1,462,736 Shares. F12: 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. F13: 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. F14: 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. F15: 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. |
| Forward contract (obligation to purchase)SEC Table II · derivative / convertible security · Expires 2019-06-07 | Indirectplease see footnotes | 0 |
Reported balance
After 2017-08-10 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2017-08-10 · Other · Disposed 1 · Balance 0 F1: On August 10, 2017, High River Limited Partnership ("High River") acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by High River of 4,359 Shares, at a forward price of $35.00 per Share, plus a financing charge. F12: 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. F13: 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. F14: 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. F15: 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. |
| Forward contract (obligation to purchase)SEC Table II · derivative / convertible security · Expires 2019-06-07 | Indirectplease see footnotes | 0 |
Reported balance
After 2017-08-10 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2017-08-10 · Other · Disposed 1 · Balance 0 F2: On August 10, 2017, Icahn Partners LP ("Icahn Partners") acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by Icahn Partners of 17,438 Shares at a forward price of $35.00 per Share, plus a financing charge. F12: 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. F13: 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. F14: 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. F15: 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. |
| Forward contract (obligation to purchase)SEC Table II · derivative / convertible security · Expires 2019-06-07 | Indirectplease see footnotes | 0 |
Reported balance
After 2017-08-10 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2017-08-10 · Other · Disposed 1 · Balance 0 F3: On August 10, 2017, High River acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by High River of 380 Shares, at a forward price of $35.00 per Share, plus a financing charge. F12: 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. F13: 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. F14: 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. F15: 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. |
| Forward contract (obligation to purchase)SEC Table II · derivative / convertible security · Expires 2019-06-07 | Indirectplease see footnotes | 0 |
Reported balance
After 2017-08-10 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2017-08-10 · Other · Disposed 1 · Balance 0 F4: On August 10, 2017, Icahn Partners acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by Icahn Partners of 980 Shares, at a forward price of $35.00 per Share, plus a financing charge. F12: 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. F13: 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. F14: 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. F15: 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. |
| Forward contract (obligation to purchase)SEC Table II · derivative / convertible security · Expires 2019-06-07 | Indirectplease see footnotes | 0 |
Reported balance
After 2017-08-10 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2017-08-10 · Other · Disposed 1 · Balance 0 F6: On August 10, 2017, High River acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by High River of 9,797 Shares, at a forward price of $35.00 per Share, plus a financing charge. F12: 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. F13: 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. F14: 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. F15: 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. |
| Forward contract (obligation to purchase)SEC Table II · derivative / convertible security · Expires 2019-06-07 | Indirectplease see footnotes | 0 |
Reported balance
After 2017-08-10 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2017-08-10 · Other · Disposed 1 · Balance 0 F7: On August 10, 2017, Icahn Partners acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by Icahn Partners of 23,249 Shares, at a forward price of $35.00 per Share, plus a financing charge. F12: 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. F13: 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. F14: 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. F15: 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. |
| Forward contract (obligation to pirchase)SEC Table II · derivative / convertible security · Expires 2019-06-07 | IndirectpleAse see footnotes | 0 |
Reported balance
After 2017-08-10 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2017-08-10 · Other · Disposed 1 · Balance 0 F5: On August 10, 2017, Icahn Partners Master Fund LP ("Icahn Master") acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by Icahn Master of 540 Shares at a forward price of $35.00 per Share, plus a financing charge. F12: 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. F13: 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. F14: 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. F15: 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. |
| Forward contract (obligation to purchase)SEC Table II · derivative / convertible security · Expires 2019-06-07 | Indirectpleasee see footnotes | 0 |
Reported balance
After 2017-08-10 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2017-08-10 · Other · Disposed 1 · Balance 0 F8: On August 10, 2017, Icahn Master acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by Icahn Master of 15,937 Shares, at a forward price of $35.00 per Share, plus a financing charge. F12: 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. F13: 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. F14: 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. F15: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 10, 2017, High River Limited Partnership ("High River") acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by High River of 4,359 Shares, at a forward price of $35.00 per Share, plus a financing charge.
F2: On August 10, 2017, Icahn Partners LP ("Icahn Partners") acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by Icahn Partners of 17,438 Shares at a forward price of $35.00 per Share, plus a financing charge.
F3: On August 10, 2017, High River acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by High River of 380 Shares, at a forward price of $35.00 per Share, plus a financing charge.
F4: On August 10, 2017, Icahn Partners acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by Icahn Partners of 980 Shares, at a forward price of $35.00 per Share, plus a financing charge.
F5: On August 10, 2017, Icahn Partners Master Fund LP ("Icahn Master") acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by Icahn Master of 540 Shares at a forward price of $35.00 per Share, plus a financing charge.
F6: On August 10, 2017, High River acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by High River of 9,797 Shares, at a forward price of $35.00 per Share, plus a financing charge.
F7: On August 10, 2017, Icahn Partners acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by Icahn Partners of 23,249 Shares, at a forward price of $35.00 per Share, plus a financing charge.
F8: On August 10, 2017, Icahn Master acquired Shares upon the physical settlement of a forward contract, pursuant to its terms, which forward contract provided for the purchase by Icahn Master of 15,937 Shares, at a forward price of $35.00 per Share, plus a financing charge.
F9: On August 10, 2017, High River purchased 16,715 Shares, Icahn Partners purchased 39,387 Shares and Icahn Master purchased 27,472 Shares, in each case at a price of $38.93 per Share.
F10: On August 11, 2017, High River purchased 5,135 Shares, Icahn Partners purchased 12,185 Shares and Icahn Master purchased 8,355 Shares, in each case at a price of $39.00 per Share.
F11: High River directly beneficially owns 898,957 Shares, Icahn Partners directly beneficially owns 2,133,096 Shares, and Icahn Master directly beneficially owns 1,462,736 Shares.
F12: 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.
F13: 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.
F14: 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.
F15: 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.
HOLLYWOOD ENTERTAINMENT CORP
Report date March 31, 2005 · Filed April 06, 2005
Jointly reported with ICAHN CARL C, Hopper Investments LLC, BARBERRY CORP., ICAHN PARTNERS MASTER FUND LP, ICAHN OFFSHORE LP, CCI Offshore LLC, ICAHN ONSHORE LP, CCI Onshore LLC, ICAHN PARTNERS LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectPlease see explanation below. | 6,945,201 |
Reported balance
Holding disclosure · report date 2005-03-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 6,945,201 F1: Barberry Corp. is the sole member of Hopper Investments LLC, which is the general partner of High River Limited Partnership. CCI Offshore LLC is the general partner of Icahn Offshore L.P., which is the general partner of Icahn Partners Master Fund LP. CCI Onshore LLC is the general partner of Icahn Onshore L.P., which is the general partner of Icahn Partners LP. Each of Barberry Corp., CCI Offshore LLC and CCI Onshore LLC is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position directly and indirectly to determine the investment and voting decisions made by all of the foregoing entities. continued below. F2: High River Limited Partnership owns 1,389,041 Shares. Icahn Partners Master Fund LP owns 2,295,425 Shares. Icahn Partners LP owns 3,260,735 Shares. Each of Hopper Investments LLC, Barberry Corp. and Mr. Icahn, by virtue of their relationships to High River may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns, but each of them disclaims beneficial ownership of such Shares for all other purposes. Each of Icahn Offshore L.P., CCI Offshore LLC and Mr. Icahn, by virtue of their relationships to Icahn Master may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners Master Fund LP owns, but each of them disclaims beneficial ownership of such Shares for all other purposes. F3: Each of Icahn Onshore L.P., CCI Onshore LLC and Mr. Icahn, by virtue of their relationships to Icahn Partners may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners LP owns, but each of them disclaims beneficial ownership of such Shares for all other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Barberry Corp. is the sole member of Hopper Investments LLC, which is the general partner of High River Limited Partnership. CCI Offshore LLC is the general partner of Icahn Offshore L.P., which is the general partner of Icahn Partners Master Fund LP. CCI Onshore LLC is the general partner of Icahn Onshore L.P., which is the general partner of Icahn Partners LP. Each of Barberry Corp., CCI Offshore LLC and CCI Onshore LLC is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position directly and indirectly to determine the investment and voting decisions made by all of the foregoing entities. continued below.
F2: High River Limited Partnership owns 1,389,041 Shares. Icahn Partners Master Fund LP owns 2,295,425 Shares. Icahn Partners LP owns 3,260,735 Shares. Each of Hopper Investments LLC, Barberry Corp. and Mr. Icahn, by virtue of their relationships to High River may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns, but each of them disclaims beneficial ownership of such Shares for all other purposes. Each of Icahn Offshore L.P., CCI Offshore LLC and Mr. Icahn, by virtue of their relationships to Icahn Master may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners Master Fund LP owns, but each of them disclaims beneficial ownership of such Shares for all other purposes.
F3: Each of Icahn Onshore L.P., CCI Onshore LLC and Mr. Icahn, by virtue of their relationships to Icahn Partners may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners LP owns, but each of them disclaims beneficial ownership of such Shares for all other purposes.
MENTOR GRAPHICS CORP
Report date August 24, 2010 · Filed August 24, 2010
Jointly reported with ICAHN CARL C, ICAHN PARTNERS MASTER FUND LP, ICAHN PARTNERS MASTER FUND II L.P., ICAHN PARTNERS MASTER FUND III L.P., ICAHN PARTNERS LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, no par value (''Shares'')SEC Table I · non-derivative | IndirectSee Footnotes | 16,003,889 |
Reported balance
After 2010-08-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2010-08-24 · Other · Acquired 8,235,066 · Balance 16,003,889 F8: The exercise price upon exercise of the Call Options was $5.65 and the average premium paid for the Call Options was $3.58. F1: High River Limited Partnership ("High River") directly beneficially owns 3,200,777 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,876,696 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,531,613 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,612,668 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 782,135 Shares. F2: 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 each of Icahn Master, Icahn Master II and Icahn Master III. F3: 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, Icahn Master, Icahn Master II and Icahn Master III. 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: 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: 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 each of Icahn Master, Icahn Master II and Icahn Master III 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. F6: High River directly beneficially owned 1,647,013 call options (the "Call Options"), Icahn Partners directly beneficially owned 2,615,269 Call Options, Icahn Master directly beneficially owned 2,864,284 Call Options, Icahn Master II directly beneficially owned 678,964 Call Options, and Icahn Master III directly beneficially owned 429,536 Call Options. On August 24, 2010, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised all of their respective Call Options in their entirety, and thereby acquired 1,647,013 Shares, 2,615,269 Shares, 2,864,284 Shares, 678,964 Shares, and 429,536 Shares, respectively. F7: High River directly wrote 1,647,013 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,615,269 Put Options, Icahn Master directly wrote 2,864,284 Put Options, Icahn Master II directly wrote 678,964 Put Options, and Icahn Master III directly wrote 429,536 Put Options. On August 24, 2010, upon exercise of the Call Options, all of the Put Options terminated. |
| Call Option (''right to purchase'')SEC Table II · derivative / convertible security · Conversion / exercise price $5.65 · Expires 2012-06-07 | IndirectSee Footnotes | 8,235,066 |
Reported balance
After 2010-08-18 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2010-08-18 · Purchase · Acquired 100,000 · Balance 8,235,066 F1: High River Limited Partnership ("High River") directly beneficially owns 3,200,777 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,876,696 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,531,613 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,612,668 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 782,135 Shares. F2: 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 each of Icahn Master, Icahn Master II and Icahn Master III. F3: 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, Icahn Master, Icahn Master II and Icahn Master III. 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: 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: 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 each of Icahn Master, Icahn Master II and Icahn Master III 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. F6: High River directly beneficially owned 1,647,013 call options (the "Call Options"), Icahn Partners directly beneficially owned 2,615,269 Call Options, Icahn Master directly beneficially owned 2,864,284 Call Options, Icahn Master II directly beneficially owned 678,964 Call Options, and Icahn Master III directly beneficially owned 429,536 Call Options. On August 24, 2010, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised all of their respective Call Options in their entirety, and thereby acquired 1,647,013 Shares, 2,615,269 Shares, 2,864,284 Shares, 678,964 Shares, and 429,536 Shares, respectively. F7: High River directly wrote 1,647,013 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,615,269 Put Options, Icahn Master directly wrote 2,864,284 Put Options, Icahn Master II directly wrote 678,964 Put Options, and Icahn Master III directly wrote 429,536 Put Options. On August 24, 2010, upon exercise of the Call Options, all of the Put Options terminated. F8: The exercise price upon exercise of the Call Options was $5.65 and the average premium paid for the Call Options was $3.58. |
| Put Option (''obligation to purchase'')SEC Table II · derivative / convertible security · Conversion / exercise price $5.65 · Expires 2012-06-07 | IndirectSee Footnotes | 8,235,066 |
Reported balance
After 2010-08-18 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2010-08-18 · Purchase · Acquired 100,000 · Balance 8,235,066 F1: High River Limited Partnership ("High River") directly beneficially owns 3,200,777 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,876,696 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,531,613 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,612,668 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 782,135 Shares. F2: 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 each of Icahn Master, Icahn Master II and Icahn Master III. F3: 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, Icahn Master, Icahn Master II and Icahn Master III. 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: 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: 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 each of Icahn Master, Icahn Master II and Icahn Master III 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. F6: High River directly beneficially owned 1,647,013 call options (the "Call Options"), Icahn Partners directly beneficially owned 2,615,269 Call Options, Icahn Master directly beneficially owned 2,864,284 Call Options, Icahn Master II directly beneficially owned 678,964 Call Options, and Icahn Master III directly beneficially owned 429,536 Call Options. On August 24, 2010, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised all of their respective Call Options in their entirety, and thereby acquired 1,647,013 Shares, 2,615,269 Shares, 2,864,284 Shares, 678,964 Shares, and 429,536 Shares, respectively. F7: High River directly wrote 1,647,013 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,615,269 Put Options, Icahn Master directly wrote 2,864,284 Put Options, Icahn Master II directly wrote 678,964 Put Options, and Icahn Master III directly wrote 429,536 Put Options. On August 24, 2010, upon exercise of the Call Options, all of the Put Options terminated. F8: The exercise price upon exercise of the Call Options was $5.65 and the average premium paid for the Call Options was $3.58. |
| Call OptionSEC Table II · derivative / convertible security · Conversion / exercise price $5.65 · Expires 2012-06-07 | IndirectSee Footnotes | 0 |
Reported balance
After 2010-08-24 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2010-08-24 · Other · Acquired 8,235,066 · Balance 0 F1: High River Limited Partnership ("High River") directly beneficially owns 3,200,777 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,876,696 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,531,613 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,612,668 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 782,135 Shares. F2: 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 each of Icahn Master, Icahn Master II and Icahn Master III. F3: 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, Icahn Master, Icahn Master II and Icahn Master III. 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: 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: 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 each of Icahn Master, Icahn Master II and Icahn Master III 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. F6: High River directly beneficially owned 1,647,013 call options (the "Call Options"), Icahn Partners directly beneficially owned 2,615,269 Call Options, Icahn Master directly beneficially owned 2,864,284 Call Options, Icahn Master II directly beneficially owned 678,964 Call Options, and Icahn Master III directly beneficially owned 429,536 Call Options. On August 24, 2010, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised all of their respective Call Options in their entirety, and thereby acquired 1,647,013 Shares, 2,615,269 Shares, 2,864,284 Shares, 678,964 Shares, and 429,536 Shares, respectively. F7: High River directly wrote 1,647,013 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,615,269 Put Options, Icahn Master directly wrote 2,864,284 Put Options, Icahn Master II directly wrote 678,964 Put Options, and Icahn Master III directly wrote 429,536 Put Options. On August 24, 2010, upon exercise of the Call Options, all of the Put Options terminated. F8: The exercise price upon exercise of the Call Options was $5.65 and the average premium paid for the Call Options was $3.58. |
| Put OptionSEC Table II · derivative / convertible security · Conversion / exercise price $5.65 · Expires 2012-06-07 | IndirectSee Footnotes | 0 |
Reported balance
After 2010-08-24 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2010-08-24 · Other · Acquired 8,235,066 · Balance 0 F1: High River Limited Partnership ("High River") directly beneficially owns 3,200,777 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,876,696 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,531,613 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,612,668 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 782,135 Shares. F2: 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 each of Icahn Master, Icahn Master II and Icahn Master III. F3: 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, Icahn Master, Icahn Master II and Icahn Master III. 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: 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: 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 each of Icahn Master, Icahn Master II and Icahn Master III 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. F6: High River directly beneficially owned 1,647,013 call options (the "Call Options"), Icahn Partners directly beneficially owned 2,615,269 Call Options, Icahn Master directly beneficially owned 2,864,284 Call Options, Icahn Master II directly beneficially owned 678,964 Call Options, and Icahn Master III directly beneficially owned 429,536 Call Options. On August 24, 2010, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised all of their respective Call Options in their entirety, and thereby acquired 1,647,013 Shares, 2,615,269 Shares, 2,864,284 Shares, 678,964 Shares, and 429,536 Shares, respectively. F7: High River directly wrote 1,647,013 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,615,269 Put Options, Icahn Master directly wrote 2,864,284 Put Options, Icahn Master II directly wrote 678,964 Put Options, and Icahn Master III directly wrote 429,536 Put Options. On August 24, 2010, upon exercise of the Call Options, all of the Put Options terminated. F8: The exercise price upon exercise of the Call Options was $5.65 and the average premium paid for the Call Options was $3.58. |
Filing footnotes · ownership attribution and instrument terms
F1: High River Limited Partnership ("High River") directly beneficially owns 3,200,777 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,876,696 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,531,613 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,612,668 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 782,135 Shares.
F2: 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 each of Icahn Master, Icahn Master II and Icahn Master III.
F3: 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, Icahn Master, Icahn Master II and Icahn Master III. 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: 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: 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 each of Icahn Master, Icahn Master II and Icahn Master III 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.
F6: High River directly beneficially owned 1,647,013 call options (the "Call Options"), Icahn Partners directly beneficially owned 2,615,269 Call Options, Icahn Master directly beneficially owned 2,864,284 Call Options, Icahn Master II directly beneficially owned 678,964 Call Options, and Icahn Master III directly beneficially owned 429,536 Call Options. On August 24, 2010, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised all of their respective Call Options in their entirety, and thereby acquired 1,647,013 Shares, 2,615,269 Shares, 2,864,284 Shares, 678,964 Shares, and 429,536 Shares, respectively.
F7: High River directly wrote 1,647,013 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,615,269 Put Options, Icahn Master directly wrote 2,864,284 Put Options, Icahn Master II directly wrote 678,964 Put Options, and Icahn Master III directly wrote 429,536 Put Options. On August 24, 2010, upon exercise of the Call Options, all of the Put Options terminated.
F8: The exercise price upon exercise of the Call Options was $5.65 and the average premium paid for the Call Options was $3.58.
MOTRICITY INC
Report date June 17, 2010 · Filed June 21, 2010
Jointly reported with ICAHN CARL C, ICAHN ENTERPRISES L.P., BARBERRY CORP., BECKTON CORP, ICAHN ENTERPRISES G.P. INC., KOALA HOLDING LP, KOALA HOLDING GP CORP., Hopper Investments LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Indirectplease see footnotes | 4,438,553 |
Reported balance
After 2010-06-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2010-06-17 · Purchase · Acquired 1,000,000 · Balance 4,438,553 F1: High River Limited Partnership ("High River") is the direct beneficial owner of these securities. These securities were purchased by High River directly from Motricity, Inc. in connection with its initial public offering. Hopper Investments, LLC ("Hopper"), by virtue of owning 100% of the general partnership interests of High River, may be deemed to beneficially own the securities as to which High River possesses direct beneficial ownership. Hopper disclaims beneficial ownership of such securities for all purposes. Barberry Corp. ("Barberry"), by virtue of being the sole member of Hopper, may be deemed to beneficially own the securities, as to which Hopper possesses indirect beneficial ownership. F2: Barberry disclaims beneficial ownership of such securities for all purposes. Mr. Carl C. Icahn, by virtue of owning 100% of the equity interests of Barberry, may be deemed to beneficially own the securities, as to which Barberry possesses indirect beneficial ownership. Mr. Carl C. Icahn disclaims beneficial ownership of such securities for all other purposes. F3: Includes 1,000,000 shares of common stock of Motricity, Inc. held by High River as described in footnotes 1 and 2, and 3,438,553 shares of common stock of Motricity, Inc. held by Koala Holding LP ("Koala"). Koala Holding GP Corp. ("Koala GP"), by virtue of owning 100% of the general partnership interests of Koala, may be deemed to beneficially own the securities as to which Koala possesses direct beneficial ownership. Koala GP disclaims beneficial ownership of such securities for all purposes. Barberry, by virtue of owning 100% of the equity interests of Koala GP, may be deemed to beneficially own the securities, as to which Koala GP possesses indirect beneficial ownership. F4: Barberry disclaims beneficial ownership of such securities for all purposes. Mr. Carl C. Icahn, by virtue of owning 100% of the equity interests of Barberry, may be deemed to beneficially own the securities, as to which Barberry possesses indirect beneficial ownership. Mr. Carl C. Icahn disclaims beneficial ownership of such securities for all other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: High River Limited Partnership ("High River") is the direct beneficial owner of these securities. These securities were purchased by High River directly from Motricity, Inc. in connection with its initial public offering. Hopper Investments, LLC ("Hopper"), by virtue of owning 100% of the general partnership interests of High River, may be deemed to beneficially own the securities as to which High River possesses direct beneficial ownership. Hopper disclaims beneficial ownership of such securities for all purposes. Barberry Corp. ("Barberry"), by virtue of being the sole member of Hopper, may be deemed to beneficially own the securities, as to which Hopper possesses indirect beneficial ownership.
F2: Barberry disclaims beneficial ownership of such securities for all purposes. Mr. Carl C. Icahn, by virtue of owning 100% of the equity interests of Barberry, may be deemed to beneficially own the securities, as to which Barberry possesses indirect beneficial ownership. Mr. Carl C. Icahn disclaims beneficial ownership of such securities for all other purposes.
F3: Includes 1,000,000 shares of common stock of Motricity, Inc. held by High River as described in footnotes 1 and 2, and 3,438,553 shares of common stock of Motricity, Inc. held by Koala Holding LP ("Koala"). Koala Holding GP Corp. ("Koala GP"), by virtue of owning 100% of the general partnership interests of Koala, may be deemed to beneficially own the securities as to which Koala possesses direct beneficial ownership. Koala GP disclaims beneficial ownership of such securities for all purposes. Barberry, by virtue of owning 100% of the equity interests of Koala GP, may be deemed to beneficially own the securities, as to which Koala GP possesses indirect beneficial ownership.
F4: Barberry disclaims beneficial ownership of such securities for all purposes. Mr. Carl C. Icahn, by virtue of owning 100% of the equity interests of Barberry, may be deemed to beneficially own the securities, as to which Barberry possesses indirect beneficial ownership. Mr. Carl C. Icahn disclaims beneficial ownership of such securities for all other purposes.
NAVISTAR INTERNATIONAL CORP
Report date March 14, 2017 · Filed March 16, 2017
Jointly reported with ICAHN CARL C, ICAHN PARTNERS LP, ICAHN PARTNERS MASTER FUND LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, Par Value $0.10 ("Shares")SEC Table I · non-derivative | Indirectplease see all footnotes | 16,729,960 |
Reported balance
After 2017-03-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-03-14 · Purchase · Acquired 34,032 · Balance 16,729,960 F1: High River Limited Partnership ("High River") directly beneficially owns 3,345,991 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 7,936,979 Shares and Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,446,990 Shares. F2: 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: 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: 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: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: High River Limited Partnership ("High River") directly beneficially owns 3,345,991 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 7,936,979 Shares and Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,446,990 Shares.
F2: 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: 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: 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: 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.
NEWELL BRANDS INC.
Report date March 09, 2020 · Filed March 11, 2020
Jointly reported with ICAHN CARL C, ICAHN PARTNERS LP, ICAHN PARTNERS MASTER FUND LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock ("Shares")SEC Table I · non-derivative | IndirectPlease see all footnotes | 43,704,616 |
Last balance in matching sequence
After 2020-03-11 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2020-03-09 · Purchase · Acquired 927,663 · Balance 42,047,078 F1: High River Limited Partnership ("High River") directly beneficially owns 8,740,925 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 20,427,384 Shares, and Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 14,536,307 Shares. F2: 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: 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: 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: 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. F6: The above reporting persons controlled by Carl C. Icahn (the "Reporting Persons") may be deemed to be members of a "group" (within the meaning of Section 13(d)(3) of the Act), with Brett Icahn. None of the Reporting Persons has any pecuniary interest in any Shares beneficially owned by Brett Icahn, and each of the Reporting Persons disclaims beneficial ownership of such Shares. Row 2 · 2020-03-10 · Purchase · Acquired 489,308 · Balance 42,536,386 F1: High River Limited Partnership ("High River") directly beneficially owns 8,740,925 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 20,427,384 Shares, and Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 14,536,307 Shares. F2: 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: 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: 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: 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. F6: The above reporting persons controlled by Carl C. Icahn (the "Reporting Persons") may be deemed to be members of a "group" (within the meaning of Section 13(d)(3) of the Act), with Brett Icahn. None of the Reporting Persons has any pecuniary interest in any Shares beneficially owned by Brett Icahn, and each of the Reporting Persons disclaims beneficial ownership of such Shares. Row 3 · 2020-03-11 · Purchase · Acquired 1,168,230 · Balance 43,704,616 F1: High River Limited Partnership ("High River") directly beneficially owns 8,740,925 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 20,427,384 Shares, and Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 14,536,307 Shares. F2: 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: 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: 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: 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. F6: The above reporting persons controlled by Carl C. Icahn (the "Reporting Persons") may be deemed to be members of a "group" (within the meaning of Section 13(d)(3) of the Act), with Brett Icahn. None of the Reporting Persons has any pecuniary interest in any Shares beneficially owned by Brett Icahn, and each of the Reporting Persons disclaims beneficial ownership of such Shares. |
Filing footnotes · ownership attribution and instrument terms
F1: High River Limited Partnership ("High River") directly beneficially owns 8,740,925 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 20,427,384 Shares, and Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 14,536,307 Shares.
F2: 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: 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: 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: 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.
F6: The above reporting persons controlled by Carl C. Icahn (the "Reporting Persons") may be deemed to be members of a "group" (within the meaning of Section 13(d)(3) of the Act), with Brett Icahn. None of the Reporting Persons has any pecuniary interest in any Shares beneficially owned by Brett Icahn, and each of the Reporting Persons disclaims beneficial ownership of such Shares.
PHILIP SERVICES CORP/DE
Report date June 23, 2003 · Filed July 30, 2003
Jointly reported with ICAHN CARL C, ICAHN ENTERPRISES HOLDINGS L.P., ICAHN ENTERPRISES L.P., BARBERRY CORP., BECKTON CORP, ICAHN ENTERPRISES G.P. INC.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| PIK DebtSEC Table II · derivative / convertible security · Conversion / exercise price $11.72 · Expires 2005-03-31 | IndirectSee Footnote | Not disclosed |
Reported balance
After 2003-06-23 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2003-06-23 · Purchase · Acquired Not disclosed · Balance Not disclosed F1: See Explanation of Responses. |
Filing footnotes · ownership attribution and instrument terms
F1: See Explanation of Responses.
SANDRIDGE ENERGY INC
Report date November 20, 2017 · Filed November 22, 2017
Jointly reported with ICAHN CARL C, ICAHN PARTNERS LP, ICAHN PARTNERS MASTER FUND LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.001 per share ("Shares")SEC Table I · non-derivative | IndirectPlease see footnotes | 4,430,774 |
Reported balance
After 2017-11-20 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-11-20 · Purchase · Acquired 869,184 · Balance 4,430,774 F1: On November 20, 2017, High River Limited Partnership ("High River") purchased 173,837 Shares, Icahn Partners LP ("Icahn Partners") purchased 412,529 Shares and Icahn Partners Master Fund LP ("Icahn Master") purchased 282,818 Shares, in each case at a price of $16.11 per Share. F5: High River directly beneficially owns 963,767 Shares, Icahn Partners directly beneficially owns 2,287,095 Shares, and Icahn Master directly beneficially owns 1,567,970 Shares. F6: 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. F7: 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. F8: 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 |
| SharesSEC Table I · non-derivative | IndirectPlease see footnotes | 4,614,468 |
Reported balance
After 2017-11-21 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2017-11-21 · Purchase · Acquired 183,694 · Balance 4,614,468 F2: On November 21, 2017, High River purchased 36,739 Shares, Icahn Partners purchased 87,183 Shares and Icahn Master purchased 59,772 Shares, in each case at a price of $16.31 per Share. F5: High River directly beneficially owns 963,767 Shares, Icahn Partners directly beneficially owns 2,287,095 Shares, and Icahn Master directly beneficially owns 1,567,970 Shares. F6: 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. F7: 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. F8: 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 |
| SharesSEC Table I · non-derivative | IndirectPlease see footnotes | 4,634,801 |
Reported balance
After 2017-11-22 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2017-11-22 · Purchase · Acquired 20,333 · Balance 4,634,801 F3: On November 22, 2017, High River purchased 4,067 Shares, Icahn Partners purchased 9,650 Shares and Icahn Master purchased 6,616 Shares, in each case at a price of $17.07 per Share. F5: High River directly beneficially owns 963,767 Shares, Icahn Partners directly beneficially owns 2,287,095 Shares, and Icahn Master directly beneficially owns 1,567,970 Shares. F6: 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. F7: 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. F8: 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 |
| SharesSEC Table I · non-derivative | IndirectPlease see footnotes | 4,818,832 |
Reported balance
After 2017-11-22 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2017-11-22 · Purchase · Acquired 184,031 · Balance 4,818,832 F4: On November 22, 2017, High River purchased 36,806 Shares, Icahn Partners purchased 87,345 Shares and Icahn Master purchased 59,880 Shares, in each case at a price of $17.40 per Share. F5: High River directly beneficially owns 963,767 Shares, Icahn Partners directly beneficially owns 2,287,095 Shares, and Icahn Master directly beneficially owns 1,567,970 Shares. F6: 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. F7: 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. F8: 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 |
Filing footnotes · ownership attribution and instrument terms
F1: On November 20, 2017, High River Limited Partnership ("High River") purchased 173,837 Shares, Icahn Partners LP ("Icahn Partners") purchased 412,529 Shares and Icahn Partners Master Fund LP ("Icahn Master") purchased 282,818 Shares, in each case at a price of $16.11 per Share.
F2: On November 21, 2017, High River purchased 36,739 Shares, Icahn Partners purchased 87,183 Shares and Icahn Master purchased 59,772 Shares, in each case at a price of $16.31 per Share.
F3: On November 22, 2017, High River purchased 4,067 Shares, Icahn Partners purchased 9,650 Shares and Icahn Master purchased 6,616 Shares, in each case at a price of $17.07 per Share.
F4: On November 22, 2017, High River purchased 36,806 Shares, Icahn Partners purchased 87,345 Shares and Icahn Master purchased 59,880 Shares, in each case at a price of $17.40 per Share.
F5: High River directly beneficially owns 963,767 Shares, Icahn Partners directly beneficially owns 2,287,095 Shares, and Icahn Master directly beneficially owns 1,567,970 Shares.
F6: 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.
F7: 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.
F8: 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
Savara Inc
Report date July 27, 2005 · Filed August 05, 2005
Jointly reported with ICAHN CARL C, Hopper Investments LLC, BARBERRY CORP., ICAHN PARTNERS MASTER FUND LP, ICAHN OFFSHORE LP, ICAHN ONSHORE LP, ICAHN PARTNERS LP, CCI ONSHORE LLC, CCI OFFSHORE CORP.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectPlease see explanation below | 4,324,324 |
Reported balance
Holding disclosure · report date 2005-07-27 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 4,324,324 F1: Barberry Corp. is the sole member of Hopper Investments LLC, which is the general partner of High River Limited Partnership. CCI Offshore Corp. is the general partner of Icahn Offshore LP, which is the general partner of Icahn Partners Master Fund LP. CCI Onshore Corp. is the general partner of Icahn Onshore LP, which is the general partner of Icahn Partners LP. Each of Barberry Corp., CCI Offshore Corp. and CCI Onshore Corp. is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position directly and indirectly to determine the investment and voting decisions made by all of the foregoing entities. F2: High River Limited Partnership owns 864,865 Shares. Icahn Partners Master Fund LP owns 1,798,919 Shares. Icahn Partners LP owns 1,660,540 Shares. F3: Each of Hopper Investments LLC, Barberry Corp.and Mr. Icahn, by virtue of their relationships to High River Limited Partnership may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River Limited Partnership owns, but each of them disclaims beneficial ownership of such Shares for all other purposes. F4: Each of Icahn Offshore LP, CCI Offshore Corp. and Mr. Icahn by virtue of their relationships to Icahn Master Fund LP may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners Master Fund LP owns, but each of them disclaims beneficial ownership of such Shares for all other purposes. F5: Each of Icahn Onshore LP, CCI Onshore Corp. and Mr. Icahn, by virtue of their relationships to Icahn Partners LP may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners LP owns, but each of them disclaims beneficial ownership of such Shares for all other purposes. |
| Warrants to acquire shares of Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.26 · Expires 2012-07-27 | IndirectPlease see explanation below | Not disclosed |
Reported balance
Holding disclosure · report date 2005-07-27 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F1: Barberry Corp. is the sole member of Hopper Investments LLC, which is the general partner of High River Limited Partnership. CCI Offshore Corp. is the general partner of Icahn Offshore LP, which is the general partner of Icahn Partners Master Fund LP. CCI Onshore Corp. is the general partner of Icahn Onshore LP, which is the general partner of Icahn Partners LP. Each of Barberry Corp., CCI Offshore Corp. and CCI Onshore Corp. is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position directly and indirectly to determine the investment and voting decisions made by all of the foregoing entities. F6: High River Limited Partnership owns 864,865 Warrants. Icahn Partners Master Fund LP owns 1,798,919 Warrants. Icahn Partners LP owns 1,660,540 Warrants. F7: Each of Hopper Investments LLC, Barberry Corp.and Mr. Icahn, by virtue of their relationships to High River Limited Partnership may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Warrants which High River Limited Partnership owns, but each of them disclaims beneficial ownership of such Warrants for all other purposes. F8: Each of Icahn Offshore LP, CCI Offshore Corp. and Mr. Icahn by virtue of their relationships to Icahn Master Fund LP may be deemd to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Warrants which Icahn Partners Master Fund LP owns, but each of them disclaims beneficial ownership of such Warrants for all other purposes. F9: Each of Icahn Onshore LP, CCI Onshore Corp. and Mr. Icahn, by virtue of their relationships to Icahn Partners LP may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Warrants which Icahn Partners LP owns, but each of them disclaims beneficial ownership of such Warrants for all other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Barberry Corp. is the sole member of Hopper Investments LLC, which is the general partner of High River Limited Partnership. CCI Offshore Corp. is the general partner of Icahn Offshore LP, which is the general partner of Icahn Partners Master Fund LP. CCI Onshore Corp. is the general partner of Icahn Onshore LP, which is the general partner of Icahn Partners LP. Each of Barberry Corp., CCI Offshore Corp. and CCI Onshore Corp. is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position directly and indirectly to determine the investment and voting decisions made by all of the foregoing entities.
F2: High River Limited Partnership owns 864,865 Shares. Icahn Partners Master Fund LP owns 1,798,919 Shares. Icahn Partners LP owns 1,660,540 Shares.
F3: Each of Hopper Investments LLC, Barberry Corp.and Mr. Icahn, by virtue of their relationships to High River Limited Partnership may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River Limited Partnership owns, but each of them disclaims beneficial ownership of such Shares for all other purposes.
F4: Each of Icahn Offshore LP, CCI Offshore Corp. and Mr. Icahn by virtue of their relationships to Icahn Master Fund LP may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners Master Fund LP owns, but each of them disclaims beneficial ownership of such Shares for all other purposes.
F5: Each of Icahn Onshore LP, CCI Onshore Corp. and Mr. Icahn, by virtue of their relationships to Icahn Partners LP may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners LP owns, but each of them disclaims beneficial ownership of such Shares for all other purposes.
F6: High River Limited Partnership owns 864,865 Warrants. Icahn Partners Master Fund LP owns 1,798,919 Warrants. Icahn Partners LP owns 1,660,540 Warrants.
F7: Each of Hopper Investments LLC, Barberry Corp.and Mr. Icahn, by virtue of their relationships to High River Limited Partnership may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Warrants which High River Limited Partnership owns, but each of them disclaims beneficial ownership of such Warrants for all other purposes.
F8: Each of Icahn Offshore LP, CCI Offshore Corp. and Mr. Icahn by virtue of their relationships to Icahn Master Fund LP may be deemd to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Warrants which Icahn Partners Master Fund LP owns, but each of them disclaims beneficial ownership of such Warrants for all other purposes.
F9: Each of Icahn Onshore LP, CCI Onshore Corp. and Mr. Icahn, by virtue of their relationships to Icahn Partners LP may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Warrants which Icahn Partners LP owns, but each of them disclaims beneficial ownership of such Warrants for all other purposes.
VECTOR GROUP LTD
Report date November 22, 2011 · Filed November 23, 2011
Jointly reported with ICAHN CARL C
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.01 par value ("Shares")SEC Table I · non-derivative | Indirectplease see all footnotes | 3,963,852 |
Reported balance
After 2011-11-22 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2011-11-22 · Sale · Disposed 10,836,000 · Balance 3,963,852 F1: High River Limited Partnership ("High River") directly beneficially owns 3,963,852 Shares. Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. F2: Barberry 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 High River. 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. F3: Does not include 21,374 Shares owned by Gail Golden, the spouse of Mr. Icahn. Mr. Icahn, by virtue of his relationship to Ms. Golden, may be deemed to beneficially own such Shares. Mr. Icahn disclaims beneficial ownership of such Shares for all purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: High River Limited Partnership ("High River") directly beneficially owns 3,963,852 Shares. Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River.
F2: Barberry 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 High River. 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.
F3: Does not include 21,374 Shares owned by Gail Golden, the spouse of Mr. Icahn. Mr. Icahn, by virtue of his relationship to Ms. Golden, may be deemed to beneficially own such Shares. Mr. Icahn disclaims beneficial ownership of such Shares for all purposes.
WCI COMMUNITIES INC
Report date December 04, 2008 · Filed December 05, 2008
Jointly reported with ICAHN CARL C, Hopper Investments LLC, BARBERRY CORP., BECKTON CORP, ICAHN PARTNERS LP, ICAHN ONSHORE LP, ICAHN PARTNERS MASTER FUND LP, ICAHN OFFSHORE LP, ICAHN CAPITAL LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per share ("Common Stock")SEC Table I · non-derivative | Direct | 3,848 |
Reported balance
After 2008-12-04 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2008-12-04 · Sale · Disposed 6,096,175 · Balance 3,848 F1: Of these shares of Common Stock of WCI Communities, Inc. (the "Shares"), 1,279,725 Shares were sold by High River Limited Partnership ("High River"), 2,901,892 Shares were sold by Icahn Partners LP ("Icahn Partners"), and 1,914,558 Shares were sold by Icahn Partners Master Fund LP ("Icahn Master"). F2: 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"). Icahn Enterprises 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 L.P. ("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: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." As a result of the transaction being reported by this Form 4, none of the Reporting Persons (other than Carl Icahn) beneficially own any Shares. F6: Please reference the Form 4 filing dated December 5, 2008, filed separately by Mr. Icahn, IPH, Icahn Enterprises, and Icahn Enterprises GP. F5: Please note that the purchase price was $0.000000003 per share. F4: These Shares are directly beneficially owned by Carl Icahn. |
Filing footnotes · ownership attribution and instrument terms
F1: Of these shares of Common Stock of WCI Communities, Inc. (the "Shares"), 1,279,725 Shares were sold by High River Limited Partnership ("High River"), 2,901,892 Shares were sold by Icahn Partners LP ("Icahn Partners"), and 1,914,558 Shares were sold by Icahn Partners Master Fund LP ("Icahn Master").
F2: 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"). Icahn Enterprises 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 L.P. ("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: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." As a result of the transaction being reported by this Form 4, none of the Reporting Persons (other than Carl Icahn) beneficially own any Shares.
F4: These Shares are directly beneficially owned by Carl Icahn.
F5: Please note that the purchase price was $0.000000003 per share.
F6: Please reference the Form 4 filing dated December 5, 2008, filed separately by Mr. Icahn, IPH, Icahn Enterprises, and Icahn Enterprises GP.
XEROX CORP
Report date February 25, 2019 · Filed February 25, 2019
Jointly reported with ICAHN CARL C, ICAHN PARTNERS LP, ICAHN PARTNERS MASTER FUND LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| common stock, $1 par value ("Shares")SEC Table I · non-derivative | Indirectplease see all footnotes | 23,456,087 |
Reported balance
Holding disclosure · report date 2019-02-25 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 23,456,087 F1: This Form 3 is being filed solely due to a decrease in the number of Shares outstanding and not as a result of any acquisition of Shares by the filing persons. F2: High River Limited Partnership ("High River") directly beneficially owns 4,691,218 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 11,130,555 Shares and Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 7,634,314 Shares. F3: 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. F4: 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. F5: 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. F6: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 3 is being filed solely due to a decrease in the number of Shares outstanding and not as a result of any acquisition of Shares by the filing persons.
F2: High River Limited Partnership ("High River") directly beneficially owns 4,691,218 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 11,130,555 Shares and Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 7,634,314 Shares.
F3: 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.
F4: 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.
F5: 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.
F6: 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.
XO HOLDINGS INC
Report date September 09, 2010 · Filed September 10, 2010
Jointly reported with ICAHN CARL C, ACF INDUSTRIES HOLDING CORP, HIGHCREST INVESTORS LLC, BUFFALO INVESTORS CORP, STARFIRE HOLDING CORP, ARNOS CORP, BARBERRY CORP., Hopper Investments LLC, UNICORN ASSOCIATES CORP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Indirectplease see footnotes | 113,410,769 |
Reported balance
After 2010-09-09 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2010-09-09 · Purchase · Acquired 17,502,500 · Balance 113,410,769 F1: On September 9, 2010, ACF Industries Holding Corp. ("ACF Holding") purchased in a privately negotiated transaction 17,502,500 shares of XO Holdings Inc's Common Stock for a purchase price of $10,501,500 in the aggregate, or $0.6 per share. F2: Highcrest Investors Corp. ("Highcrest") may, by virtue of its ownership of 100% of the interest in ACF Holding, be deemed to beneficially own the securities as to which ACF Holding possesses direct beneficial ownership. Highcrest disclaims beneficial ownership of such securities for all other purposes. F3: Buffalo Investors Corp. ("Buffalo") may, by virtue of its ownership of approximately 99% of the interest in Highcrest, be deemed to beneficially own the securities as to which Highcrest possesses indirect beneficial ownership. Buffalo disclaims beneficial ownership of such securities for all other purposes. Starfire Holding Corporation ("Starfire") may, by virtue of its ownership of 100% of the interest in Buffalo, be deemed to beneficially own the securities as to which Buffalo possesses indirect beneficial ownership. Mr. Carl Icahn may, by virtue of his ownership of 100% of the interest in Starfire, be deemed to beneficially own the securities as to which Starfire possesses indirect beneficial ownership. Mr. Icahn disclaims beneficial ownership of such securities for all other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: On September 9, 2010, ACF Industries Holding Corp. ("ACF Holding") purchased in a privately negotiated transaction 17,502,500 shares of XO Holdings Inc's Common Stock for a purchase price of $10,501,500 in the aggregate, or $0.6 per share.
F2: Highcrest Investors Corp. ("Highcrest") may, by virtue of its ownership of 100% of the interest in ACF Holding, be deemed to beneficially own the securities as to which ACF Holding possesses direct beneficial ownership. Highcrest disclaims beneficial ownership of such securities for all other purposes.
F3: Buffalo Investors Corp. ("Buffalo") may, by virtue of its ownership of approximately 99% of the interest in Highcrest, be deemed to beneficially own the securities as to which Highcrest possesses indirect beneficial ownership. Buffalo disclaims beneficial ownership of such securities for all other purposes. Starfire Holding Corporation ("Starfire") may, by virtue of its ownership of 100% of the interest in Buffalo, be deemed to beneficially own the securities as to which Buffalo possesses indirect beneficial ownership. Mr. Carl Icahn may, by virtue of his ownership of 100% of the interest in Starfire, be deemed to beneficially own the securities as to which Starfire possesses indirect beneficial ownership. Mr. Icahn disclaims beneficial ownership of such securities for all other purposes.
Past disclosures · reporting ended (14)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
BEA SYSTEMS INC
Report date April 29, 2008 · Filed May 01, 2008
Jointly reported with ICAHN CARL C, BARBERRY CORP., BECKTON CORP, Hopper Investments LLC, IPH GP LLC, ICAHN ENTERPRISES G.P. INC., ICAHN ENTERPRISES HOLDINGS L.P., ICAHN OFFSHORE LP, ICAHN ONSHORE LP
Section 16 reporting ended · disclosed 2008-05-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.001 per share ("Common Stock")SEC Table I · non-derivative | Indirectsee footnotes | 0 |
Last balance in matching sequence
After 2008-04-29 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2008-04-29 · Sale · Disposed 250,000 · Balance 50,683,864 F1: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River Limited Partnership ("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"). F2: Icahn Onshore is the general partner of Icahn Partners LP ("Icahn Partners"). Icahn Offshore is the general partner of each of Icahn Partners Master Fund LP ("Icahn Master"), Icahn Partners Master Fund II LP ("Icahn Master II") and Icahn Partners Master Fund III LP ("Icahn Master III"). Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in the Form 4 as the "Reporting Persons." F3: On April 29, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II, and Icahn Master III sold 250,000 shares of Common Stock in the open market. Of these 250,000 shares of Common Stock, High River sold 50,000 shares of Common Stock, Icahn Master sold 138,022 shares of Common Stock, Icahn Master II sold 44,908 shares of Common Stock, and Icahn Master III sold 17,070 shares of Common Stock. F4: On April 29, 2008, Oracle Corporation announced that it had completed its acquisition of BEA Systems, Inc. and that each share of Common Stock issued and outstanding immediately prior to the effective time of the merger was cancelled and automatically converted into the right to receive $19.375 in cash. F5: See also Form 4 filed by Carl C. Icahn et al. on May 1, 2008, for the name, address and signature of each of the following Reporting Persons: Icahn Partners, Icahn Capital, Icahn Master, Icahn Master II, and Icahn Master III. Row 2 · 2008-04-29 · Sale · Disposed 50,683,864 · Balance 0 F1: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River Limited Partnership ("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"). F2: Icahn Onshore is the general partner of Icahn Partners LP ("Icahn Partners"). Icahn Offshore is the general partner of each of Icahn Partners Master Fund LP ("Icahn Master"), Icahn Partners Master Fund II LP ("Icahn Master II") and Icahn Partners Master Fund III LP ("Icahn Master III"). Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in the Form 4 as the "Reporting Persons." F3: On April 29, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II, and Icahn Master III sold 250,000 shares of Common Stock in the open market. Of these 250,000 shares of Common Stock, High River sold 50,000 shares of Common Stock, Icahn Master sold 138,022 shares of Common Stock, Icahn Master II sold 44,908 shares of Common Stock, and Icahn Master III sold 17,070 shares of Common Stock. F4: On April 29, 2008, Oracle Corporation announced that it had completed its acquisition of BEA Systems, Inc. and that each share of Common Stock issued and outstanding immediately prior to the effective time of the merger was cancelled and automatically converted into the right to receive $19.375 in cash. F5: See also Form 4 filed by Carl C. Icahn et al. on May 1, 2008, for the name, address and signature of each of the following Reporting Persons: Icahn Partners, Icahn Capital, Icahn Master, Icahn Master II, and Icahn Master III. |
Filing footnotes · ownership attribution and instrument terms
F1: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River Limited Partnership ("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").
F2: Icahn Onshore is the general partner of Icahn Partners LP ("Icahn Partners"). Icahn Offshore is the general partner of each of Icahn Partners Master Fund LP ("Icahn Master"), Icahn Partners Master Fund II LP ("Icahn Master II") and Icahn Partners Master Fund III LP ("Icahn Master III"). Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in the Form 4 as the "Reporting Persons."
F3: On April 29, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II, and Icahn Master III sold 250,000 shares of Common Stock in the open market. Of these 250,000 shares of Common Stock, High River sold 50,000 shares of Common Stock, Icahn Master sold 138,022 shares of Common Stock, Icahn Master II sold 44,908 shares of Common Stock, and Icahn Master III sold 17,070 shares of Common Stock.
F4: On April 29, 2008, Oracle Corporation announced that it had completed its acquisition of BEA Systems, Inc. and that each share of Common Stock issued and outstanding immediately prior to the effective time of the merger was cancelled and automatically converted into the right to receive $19.375 in cash.
F5: See also Form 4 filed by Carl C. Icahn et al. on May 1, 2008, for the name, address and signature of each of the following Reporting Persons: Icahn Partners, Icahn Capital, Icahn Master, Icahn Master II, and Icahn Master III.
BKF CAPITAL GROUP INC
Report date July 25, 2008 · Filed July 28, 2008
Jointly reported with ICAHN CARL C, Hopper Investments LLC, BARBERRY CORP., ICAHN PARTNERS MASTER FUND LP, ICAHN OFFSHORE LP, ICAHN CAPITAL LP, ICAHN PARTNERS LP, ICAHN ONSHORE LP, IPH GP LLC
Section 16 reporting ended · disclosed 2008-07-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $1.00 ("Shares")SEC Table I · non-derivative | Indirectsee footnotes | 0 |
Reported balance
After 2008-07-25 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2008-07-25 · Disposition to issuer · Disposed 1,194,100 · Balance 0 F1: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River Limited Partnership ("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"). F2: Icahn Onshore is the general partner of Icahn Partners LP ("Icahn Partners"). Icahn Offshore is the general partner of Icahn Partners Master Fund LP ("Icahn Master"). Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in the Form 4 as the "Reporting Persons." F3: Please reference separate Form 4 filing made July 28, 2008, by Mr. Icahn, Icahn Enterprises Holding, Icahn Enterprises GP, and Beckton. |
Filing footnotes · ownership attribution and instrument terms
F1: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River Limited Partnership ("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").
F2: Icahn Onshore is the general partner of Icahn Partners LP ("Icahn Partners"). Icahn Offshore is the general partner of Icahn Partners Master Fund LP ("Icahn Master"). Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in the Form 4 as the "Reporting Persons."
F3: Please reference separate Form 4 filing made July 28, 2008, by Mr. Icahn, Icahn Enterprises Holding, Icahn Enterprises GP, and Beckton.
BLOCKBUSTER INC
Report date March 30, 2010 · Filed April 01, 2010
Jointly reported with ICAHN CARL C, Hopper Investments LLC, BARBERRY CORP., ICAHN PARTNERS MASTER FUND LP, ICAHN PARTNERS MASTER FUND II L.P., ICAHN PARTNERS MASTER FUND III L.P., ICAHN OFFSHORE LP, ICAHN ONSHORE LP, ICAHN PARTNERS LP
Section 16 reporting ended · disclosed 2010-04-01. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
Cheniere Energy, Inc.
Report date June 27, 2018 · Filed June 29, 2018
Jointly reported with ICAHN CARL C, ICAHN PARTNERS LP, ICAHN PARTNERS MASTER FUND LP
Section 16 reporting ended · disclosed 2018-06-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock ("Shares")SEC Table I · non-derivative | Indirectplease see all footnotes | 23,680,490 |
Reported balance
After 2018-06-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-06-27 · Sale · Disposed 9,000,000 · Balance 23,680,490 F1: On June 27, 2018, High River Limited Partnership ("High River") sold 1,800,000 Shares, Icahn Partners LP ("Icahn Partners") sold 4,181,142 Shares and Icahn Partners Master Fund LP ("Icahn Master") sold 3,018,858 Shares, in each case to a market-maker pursuant to Section 144(f)(1)(ii) of the Securities Act of 1933, as amended, at a price of $64.93 per Share. F2: High River directly beneficially owns 4,736,099 Shares, Icahn Partners directly beneficially owns 11,233,349 Shares, and Icahn Master directly beneficially owns 7,711,042 Shares. F3: 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. F4: 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. F5: 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. F6: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: On June 27, 2018, High River Limited Partnership ("High River") sold 1,800,000 Shares, Icahn Partners LP ("Icahn Partners") sold 4,181,142 Shares and Icahn Partners Master Fund LP ("Icahn Master") sold 3,018,858 Shares, in each case to a market-maker pursuant to Section 144(f)(1)(ii) of the Securities Act of 1933, as amended, at a price of $64.93 per Share.
F2: High River directly beneficially owns 4,736,099 Shares, Icahn Partners directly beneficially owns 11,233,349 Shares, and Icahn Master directly beneficially owns 7,711,042 Shares.
F3: 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.
F4: 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.
F5: 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.
F6: 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.
DELL INC
Report date September 12, 2013 · Filed September 12, 2013
Jointly reported with ICAHN CARL C, ICAHN PARTNERS LP, ICAHN PARTNERS MASTER FUND LP, ICAHN PARTNERS MASTER FUND II L.P., ICAHN PARTNERS MASTER FUND III L.P.
Section 16 reporting ended · disclosed 2013-09-12. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
ENERGEN CORP
Report date August 13, 2018 · Filed August 15, 2018
Jointly reported with ICAHN CARL C, ICAHN PARTNERS LP, ICAHN PARTNERS MASTER FUND LP
Section 16 reporting ended · disclosed 2018-08-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock ("Shares")SEC Table I · non-derivative | Indirectplease see footnotes | 6,917,066 |
Reported balance
After 2018-08-13 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-08-13 · Purchase · Acquired 200,000 · Balance 6,917,066 F1: On August 13, 2018, High River Limited Partnership ("High River") purchased 40,000 Shares, Icahn Partners LP ("Icahn Partners") purchased 93,714 Shares and Icahn Partners Master Fund LP ("Icahn Master") purchased 66,286 Shares, in each case at a price of $71.57 per Share. F4: High River directly beneficially owns 1,533,276 Shares, Icahn Partners directly beneficially owns 3,580,562 Shares, and Icahn Master directly beneficially owns 2,552,544 Shares. F5: 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. F6: 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. F7: 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. F8: 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. F9: The above reporting persons controlled by Carl C. Icahn may no longer be considered a 10% beneficial owner because they may no longer be deemed to be members of a "group" (within the meaning of Section 13(d)(3) of the Act), with Corvex Management LP ("Corvex") and Mr. Keith Meister (together with Corvex, the "Corvex Persons"). Subject to Footnote 7 of the Form 3 filed by the Reporting Persons on June 18, 2018, none of the reporting persons has any pecuniary interest in any Shares beneficially owned by any of the Corvex Persons, and each of the reporting persons disclaims beneficial ownership of such Shares. The Corvex Persons have filed a separate Form 3 with respect to their interests. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 7,166,382 |
Reported balance
After 2018-08-14 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2018-08-14 · Purchase · Acquired 249,316 · Balance 7,166,382 F2: On August 14, 2018, High River purchased 49,863 Shares, Icahn Partners purchased 116,823 Shares and Icahn Master purchased 82,630 Shares, in each case at a price of $73.01 per Share. F4: High River directly beneficially owns 1,533,276 Shares, Icahn Partners directly beneficially owns 3,580,562 Shares, and Icahn Master directly beneficially owns 2,552,544 Shares. F5: 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. F6: 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. F7: 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. F8: 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. F9: The above reporting persons controlled by Carl C. Icahn may no longer be considered a 10% beneficial owner because they may no longer be deemed to be members of a "group" (within the meaning of Section 13(d)(3) of the Act), with Corvex Management LP ("Corvex") and Mr. Keith Meister (together with Corvex, the "Corvex Persons"). Subject to Footnote 7 of the Form 3 filed by the Reporting Persons on June 18, 2018, none of the reporting persons has any pecuniary interest in any Shares beneficially owned by any of the Corvex Persons, and each of the reporting persons disclaims beneficial ownership of such Shares. The Corvex Persons have filed a separate Form 3 with respect to their interests. |
| SharesSEC Table I · non-derivative | Indirectplease see footnotes | 7,666,382 |
Reported balance
After 2018-08-15 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2018-08-15 · Purchase · Acquired 500,000 · Balance 7,666,382 F3: On August 15, 2018, High River purchased 100,000 Shares, Icahn Partners purchased 234,286 Shares and Icahn Master purchased 165,714 Shares, in each case at a price of $76.63 per Share. F4: High River directly beneficially owns 1,533,276 Shares, Icahn Partners directly beneficially owns 3,580,562 Shares, and Icahn Master directly beneficially owns 2,552,544 Shares. F5: 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. F6: 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. F7: 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. F8: 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. F9: The above reporting persons controlled by Carl C. Icahn may no longer be considered a 10% beneficial owner because they may no longer be deemed to be members of a "group" (within the meaning of Section 13(d)(3) of the Act), with Corvex Management LP ("Corvex") and Mr. Keith Meister (together with Corvex, the "Corvex Persons"). Subject to Footnote 7 of the Form 3 filed by the Reporting Persons on June 18, 2018, none of the reporting persons has any pecuniary interest in any Shares beneficially owned by any of the Corvex Persons, and each of the reporting persons disclaims beneficial ownership of such Shares. The Corvex Persons have filed a separate Form 3 with respect to their interests. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 13, 2018, High River Limited Partnership ("High River") purchased 40,000 Shares, Icahn Partners LP ("Icahn Partners") purchased 93,714 Shares and Icahn Partners Master Fund LP ("Icahn Master") purchased 66,286 Shares, in each case at a price of $71.57 per Share.
F2: On August 14, 2018, High River purchased 49,863 Shares, Icahn Partners purchased 116,823 Shares and Icahn Master purchased 82,630 Shares, in each case at a price of $73.01 per Share.
F3: On August 15, 2018, High River purchased 100,000 Shares, Icahn Partners purchased 234,286 Shares and Icahn Master purchased 165,714 Shares, in each case at a price of $76.63 per Share.
F4: High River directly beneficially owns 1,533,276 Shares, Icahn Partners directly beneficially owns 3,580,562 Shares, and Icahn Master directly beneficially owns 2,552,544 Shares.
F5: 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.
F6: 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.
F7: 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.
F8: 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.
F9: The above reporting persons controlled by Carl C. Icahn may no longer be considered a 10% beneficial owner because they may no longer be deemed to be members of a "group" (within the meaning of Section 13(d)(3) of the Act), with Corvex Management LP ("Corvex") and Mr. Keith Meister (together with Corvex, the "Corvex Persons"). Subject to Footnote 7 of the Form 3 filed by the Reporting Persons on June 18, 2018, none of the reporting persons has any pecuniary interest in any Shares beneficially owned by any of the Corvex Persons, and each of the reporting persons disclaims beneficial ownership of such Shares. The Corvex Persons have filed a separate Form 3 with respect to their interests.
Guaranty Financial Group Inc.
Report date October 09, 2009 · Filed October 13, 2009
Jointly reported with ICAHN CARL C, ICAHN PARTNERS MASTER FUND LP, ICAHN PARTNERS MASTER FUND II L.P., ICAHN PARTNERS MASTER FUND III L.P., ICAHN PARTNERS LP
Section 16 reporting ended · disclosed 2009-10-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $1.00 per share ("Common Stock")SEC Table I · non-derivative | Indirectplease see footnotes | 7,054,135 |
Reported balance
After 2009-10-09 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2009-10-09 · Sale · Disposed 8,050,000 · Balance 7,054,135 F6: On October 9, 2009, the Reporting Persons disposed of 8,050,000 shares of Common Stock for nominal consideration in a privately negotiated transaction. As a result, the Reporting Persons hold less than 10% of the outstanding shares of Common Stock and are no longer subject to Section 16 of the Exchange Act. F1: High River Limited Partnership ("High River") directly beneficially owns 1,410,827 shares of Common Stock, Icahn Partners LP ("Icahn Partners") directly beneficially owns 1,941,600 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 2,388,651 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 951,668 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III" and together with High River, Icahn Partners, Icahn Master and Icahn Master II, the "Reporting Persons") directly beneficially owns 361,389 shares of Common Stock. F2: 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 each of Icahn Master, Icahn Master II and Icahn Master III. F3: 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, Icahn Master, Icahn Master II and Icahn Master III. 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 of Common Stock which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such shares of Common Stock except to the extent of their pecuniary interest therein. F4: 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 of Common Stock 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 of Common Stock except to the extent of their pecuniary interest therein. F5: 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 of Common Stock which each of Icahn Master, Icahn Master II and Icahn Master III owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such shares of Common Stock except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: High River Limited Partnership ("High River") directly beneficially owns 1,410,827 shares of Common Stock, Icahn Partners LP ("Icahn Partners") directly beneficially owns 1,941,600 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 2,388,651 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 951,668 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III" and together with High River, Icahn Partners, Icahn Master and Icahn Master II, the "Reporting Persons") directly beneficially owns 361,389 shares of Common Stock.
F2: 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 each of Icahn Master, Icahn Master II and Icahn Master III.
F3: 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, Icahn Master, Icahn Master II and Icahn Master III. 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 of Common Stock which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such shares of Common Stock except to the extent of their pecuniary interest therein.
F4: 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 of Common Stock 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 of Common Stock except to the extent of their pecuniary interest therein.
F5: 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 of Common Stock which each of Icahn Master, Icahn Master II and Icahn Master III owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such shares of Common Stock except to the extent of their pecuniary interest therein.
F6: On October 9, 2009, the Reporting Persons disposed of 8,050,000 shares of Common Stock for nominal consideration in a privately negotiated transaction. As a result, the Reporting Persons hold less than 10% of the outstanding shares of Common Stock and are no longer subject to Section 16 of the Exchange Act.
HERTZ GLOBAL HOLDINGS, INC
Report date May 26, 2020 · Filed May 27, 2020
Jointly reported with ICAHN CARL C, ICAHN PARTNERS LP, ICAHN PARTNERS MASTER FUND LP
Section 16 reporting ended · disclosed 2020-05-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 ("Shares")SEC Table I · non-derivative | IndirectNot Applicable | 0 |
Reported balance
After 2020-05-26 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-05-26 · Sale · Disposed 55,342,109 · Balance 0 |
HOLOGIC INC
Report date August 04, 2015 · Filed August 04, 2015
Jointly reported with ICAHN CARL C, ICAHN PARTNERS LP, ICAHN PARTNERS MASTER FUND LP
Section 16 reporting ended · disclosed 2015-08-04. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 ("Shares")SEC Table I · non-derivative | Indirectplease see all footnotes | 28,154,879 |
Reported balance
After 2015-08-04 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2015-08-04 · Sale · Disposed 6,000,000 · Balance 28,154,879 F1: High River Limited Partnership ("High River") directly beneficially owns 5,630,974 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 13,370,741 Shares and Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 9,153,164 Shares. F2: 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: Each of Barberry and Beckton is 100% 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: 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: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: High River Limited Partnership ("High River") directly beneficially owns 5,630,974 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 13,370,741 Shares and Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 9,153,164 Shares.
F2: 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: Each of Barberry and Beckton is 100% 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: 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: 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.
IMCLONE SYSTEMS INC
Report date November 21, 2008 · Filed November 24, 2008
Jointly reported with ICAHN CARL C, ICAHN ENTERPRISES G.P. INC., ICAHN ENTERPRISES HOLDINGS L.P., BARBERRY CORP., Hopper Investments LLC, BECKTON CORP
Section 16 reporting ended · disclosed 2008-11-24. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.001 ("Shares")SEC Table I · non-derivative | Indirectplease see all footnotes | 0 |
Reported balance
After 2008-11-21 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2008-11-21 · Sale · Disposed 11,669,544 · Balance 0 F1: Icahn Enterprises Holdings L.P. ("IEHLP"), f/k/a American Real Estate Holdings Limited Partnership, directly beneficially owned 4,563,610 Shares, Barberry Corp. ("Barberry") directly beneficially owned 900,800 Shares and High River Limited Partnership ("High River") directly beneficially owned 6,205,134 Shares. Beckton Corp. ("Beckton") is the sole shareholder of Icahn Enterprises G.P. Inc. ("IEGP"), f/k/a American Property Investors, Inc., which is the general partner of IEHLP. Barberry is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton and Barberry are 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 all of the foregoing entities. F2: Each of Beckton and IEGP, by virtue of their relationship to IEHLP, may have been deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the 4,563,610 Shares which IEHLP owned. Each of Beckton and IEGP disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Barberry and Hopper by virtue of their relationship to High River, may have been deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the 6,205,134 Shares which High River owned. Each of Barberry and Hopper disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F3: Mr. Icahn by virtue of his relationship to IEGP, IEHLP, Barberry, Beckton, Hopper and High River, may have been deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the 4,563,610 Shares which IEHLP owned, the 900,800 Shares which Barberry owned, and the 6,205,134 Shares which High River owned. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. Gail Golden, the spouse of Mr. Icahn, directly beneficially owned 15,000 Shares. Mr. Icahn disclaims beneficial ownership of such Shares for all purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Icahn Enterprises Holdings L.P. ("IEHLP"), f/k/a American Real Estate Holdings Limited Partnership, directly beneficially owned 4,563,610 Shares, Barberry Corp. ("Barberry") directly beneficially owned 900,800 Shares and High River Limited Partnership ("High River") directly beneficially owned 6,205,134 Shares. Beckton Corp. ("Beckton") is the sole shareholder of Icahn Enterprises G.P. Inc. ("IEGP"), f/k/a American Property Investors, Inc., which is the general partner of IEHLP. Barberry is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton and Barberry are 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 all of the foregoing entities.
F2: Each of Beckton and IEGP, by virtue of their relationship to IEHLP, may have been deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the 4,563,610 Shares which IEHLP owned. Each of Beckton and IEGP disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Barberry and Hopper by virtue of their relationship to High River, may have been deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the 6,205,134 Shares which High River owned. Each of Barberry and Hopper disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein.
F3: Mr. Icahn by virtue of his relationship to IEGP, IEHLP, Barberry, Beckton, Hopper and High River, may have been deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the 4,563,610 Shares which IEHLP owned, the 900,800 Shares which Barberry owned, and the 6,205,134 Shares which High River owned. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. Gail Golden, the spouse of Mr. Icahn, directly beneficially owned 15,000 Shares. Mr. Icahn disclaims beneficial ownership of such Shares for all purposes.
LEAR CORP
Report date November 03, 2008 · Filed November 03, 2008
Jointly reported with ICAHN CARL C, KOALA HOLDING LP, ICAHN PARTNERS MASTER FUND LP, ICAHN PARTNERS LP, AREP CAR HOLDINGS CORP.
Section 16 reporting ended · disclosed 2008-11-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per share ("Common Stock")SEC Table I · non-derivative | Indirectsee footnotes 1 - 7 | 3,830,515 |
Reported balance
After 2008-11-03 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2008-11-03 · Sale · Disposed 8,500,000 · Balance 3,830,515 F1: High River Limited Partnership ("High River") directly beneficially owns 659,860 shares of Common Stock, Koala Holding LP ("Koala") directly beneficially owns 247,745 shares of Common Stock, Icahn Partners LP ("Icahn Partners") directly beneficially owns 1,228,028 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 1,567,926 shares of Common Stock, and AREP Car Holdings Corp. ("AREP Car") directly beneficially owns 126,956 shares of Common Stock. F2: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper") and the sole stockholder of Koala Holding GP Corp. ("Koala GP"). Hopper is the general partner of High River and Koala GP is the general partner of Koala. Icahn Onshore LP ("Icahn Onshore") is the general partner of Icahn Partners and Icahn Offshore LP ("Icahn Offshore") is the general partner of Icahn Master. Icahn Capital LP ("Icahn Capital") is the general partner of each of Icahn Onshore and Icahn Offshore. IPH GP LLC ("IPH") is the general partner of Icahn Capital. F3: Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of each of Icahn Enterprises L.P. ("IEP") and Icahn Enterprises Holdings L.P. ("IEP Holdings"). Carl C. Icahn is the indirect holder of approximately 91% of the outstanding depositary units representing limited partnership interests in IEP. IEP is the sole limited partner of IEP Holdings, which is the sole member of IPH and the sole stockholder of AREP Car. Carl C. Icahn is the sole stockholder of each of Barberry and Beckton. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by all of the foregoing entities. F4: Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationship to High River, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. Each of Koala GP, Barberry and Mr. Icahn, by virtue of their relationship to Koala, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which Koala owns. Each of Koala GP, Barberry and Mr. Icahn disclaim beneficial ownership of such shares except to the extent of its pecuniary interest therein. F5: Each of Icahn Onshore, Icahn Capital, IPH, IEP Holdings, IEP GP, Beckton and Mr. Icahn, by virtue of their relationship to Icahn Partners, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, IEP Holdings, IEP GP, Beckton and Mr. Icahn disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. F6: Each of Icahn Offshore, Icahn Capital, IPH, IEP Holdings, IEP GP, Beckton and Mr. Icahn, by virtue of their relationship to Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which Icahn Master owns. Each of Icahn Offshore, Icahn Capital, IPH, IEP Holdings, IEP GP, Beckton and Mr. Icahn disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. F7: Each of IEP Holdings, IEP GP, Beckton and Mr. Icahn, by virtue of their relationship to AREP Car, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which AREP Car owns. Each of IEP Holdings, IEP GP, Beckton and Mr. Icahn disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: High River Limited Partnership ("High River") directly beneficially owns 659,860 shares of Common Stock, Koala Holding LP ("Koala") directly beneficially owns 247,745 shares of Common Stock, Icahn Partners LP ("Icahn Partners") directly beneficially owns 1,228,028 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 1,567,926 shares of Common Stock, and AREP Car Holdings Corp. ("AREP Car") directly beneficially owns 126,956 shares of Common Stock.
F2: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper") and the sole stockholder of Koala Holding GP Corp. ("Koala GP"). Hopper is the general partner of High River and Koala GP is the general partner of Koala. Icahn Onshore LP ("Icahn Onshore") is the general partner of Icahn Partners and Icahn Offshore LP ("Icahn Offshore") is the general partner of Icahn Master. Icahn Capital LP ("Icahn Capital") is the general partner of each of Icahn Onshore and Icahn Offshore. IPH GP LLC ("IPH") is the general partner of Icahn Capital.
F3: Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of each of Icahn Enterprises L.P. ("IEP") and Icahn Enterprises Holdings L.P. ("IEP Holdings"). Carl C. Icahn is the indirect holder of approximately 91% of the outstanding depositary units representing limited partnership interests in IEP. IEP is the sole limited partner of IEP Holdings, which is the sole member of IPH and the sole stockholder of AREP Car. Carl C. Icahn is the sole stockholder of each of Barberry and Beckton. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by all of the foregoing entities.
F4: Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationship to High River, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. Each of Koala GP, Barberry and Mr. Icahn, by virtue of their relationship to Koala, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which Koala owns. Each of Koala GP, Barberry and Mr. Icahn disclaim beneficial ownership of such shares except to the extent of its pecuniary interest therein.
F5: Each of Icahn Onshore, Icahn Capital, IPH, IEP Holdings, IEP GP, Beckton and Mr. Icahn, by virtue of their relationship to Icahn Partners, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, IEP Holdings, IEP GP, Beckton and Mr. Icahn disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein.
F6: Each of Icahn Offshore, Icahn Capital, IPH, IEP Holdings, IEP GP, Beckton and Mr. Icahn, by virtue of their relationship to Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which Icahn Master owns. Each of Icahn Offshore, Icahn Capital, IPH, IEP Holdings, IEP GP, Beckton and Mr. Icahn disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein.
F7: Each of IEP Holdings, IEP GP, Beckton and Mr. Icahn, by virtue of their relationship to AREP Car, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which AREP Car owns. Each of IEP Holdings, IEP GP, Beckton and Mr. Icahn disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein.
STARZ ENTERTAINMENT CORP /CN/
Report date October 13, 2011 · Filed October 14, 2011
Jointly reported with ICAHN CARL C, ICAHN PARTNERS MASTER FUND LP, ICAHN PARTNERS MASTER FUND II L.P., ICAHN PARTNERS MASTER FUND III L.P., ICAHN PARTNERS LP
Section 16 reporting ended · disclosed 2011-10-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares, without par value ("Shares")SEC Table I · non-derivative | Indirectplease see footnotes | 4,247,305 |
Reported balance
After 2011-10-13 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2011-10-13 · Sale · Disposed 19,201,000 · Balance 4,247,305 F6: On October 13, 2011, the Reporting Persons entered into an underwriting agreement with the Issuer and Piper Jaffray & Co., as underwriter, pursuant to which the Reporting Persons agreed to sell to the Underwriter an aggregate of 19,201,000 Shares, at a price of $7.00 per share. The shares were offered to the public at the same price of $7.00 per share. In addition, the Reporting Persons granted the underwriter an option that expires on October 18, 2011 to purchase up to an additional 2,879,985 Shares at a price of $7.00 per share to cover over-allotments, if any. F1: High River Limited Partnership ("High River") directly beneficially owns 849,461 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 1,526,021, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 1,194,015 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 483,750 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 194,058 Shares. Share amounts include approximately 130,382 Shares in the aggregate that may be deemed to be beneficially owned as a result of the ownership of 2.9375% Convertible Senior Subordinated Notes due 2024 and 3.625% Convertible Senior Subordinated Notes due 2025. F2: 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 each of Icahn Master, Icahn Master II and Icahn Master III. F3: 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, Icahn Master, Icahn Master II and Icahn Master III. 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: 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: 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 each of Icahn Master, Icahn Master II and Icahn Master III 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. |
Filing footnotes · ownership attribution and instrument terms
F1: High River Limited Partnership ("High River") directly beneficially owns 849,461 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 1,526,021, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 1,194,015 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 483,750 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 194,058 Shares. Share amounts include approximately 130,382 Shares in the aggregate that may be deemed to be beneficially owned as a result of the ownership of 2.9375% Convertible Senior Subordinated Notes due 2024 and 3.625% Convertible Senior Subordinated Notes due 2025.
F2: 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 each of Icahn Master, Icahn Master II and Icahn Master III.
F3: 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, Icahn Master, Icahn Master II and Icahn Master III. 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: 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: 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 each of Icahn Master, Icahn Master II and Icahn Master III 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.
F6: On October 13, 2011, the Reporting Persons entered into an underwriting agreement with the Issuer and Piper Jaffray & Co., as underwriter, pursuant to which the Reporting Persons agreed to sell to the Underwriter an aggregate of 19,201,000 Shares, at a price of $7.00 per share. The shares were offered to the public at the same price of $7.00 per share. In addition, the Reporting Persons granted the underwriter an option that expires on October 18, 2011 to purchase up to an additional 2,879,985 Shares at a price of $7.00 per share to cover over-allotments, if any.
TAKE TWO INTERACTIVE SOFTWARE INC
Report date November 26, 2013 · Filed November 26, 2013
Jointly reported with ICAHN CARL C, ICAHN PARTNERS MASTER FUND LP, ICAHN PARTNERS MASTER FUND II L.P., ICAHN PARTNERS MASTER FUND III L.P., ICAHN PARTNERS LP
Section 16 reporting ended · disclosed 2013-11-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Take-Two Common StockSEC Table I · non-derivative | Indirectno longer subject to Section 16 | 0 |
Reported balance
After 2013-11-26 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2013-11-26 · Sale · Disposed 12,020,744 · Balance 0 |
WebMD Health Corp.
Report date October 18, 2013 · Filed October 21, 2013
Jointly reported with ICAHN CARL C, ICAHN PARTNERS LP, ICAHN PARTNERS MASTER FUND LP, ICAHN PARTNERS MASTER FUND II L.P., ICAHN PARTNERS MASTER FUND III L.P.
Section 16 reporting ended · disclosed 2013-10-21. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| WebMD Health Corp. Common Stock (the "Shares")SEC Table I · non-derivative | Indirectno longer subject to Section 16 | 0 |
Reported balance
After 2013-10-18 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2013-10-18 · Sale · Disposed 5,527,433 · Balance 0 |
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 26, 2020 Filed May 27, 2020 21:28 UTC | HERTZ GLOBAL HOLDINGS, INC HTZ · Entity 5147 | SaleCommon Stock, par value $0.01 ("Shares") | 55,342,109 | $0.72 | $39,846,318.48 |
DisclosureSEC source: 0001567619-20-011244 · doc1.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Not Applicable Disclosed balance after: 0 Read SEC document |
| March 12, 2020 Filed Mar 12, 2020 21:35 UTC | HERTZ GLOBAL HOLDINGS, INC HTZ · Entity 5147 | PurchaseShares | 6,387,918 | $6.99 | $44,651,546.82 |
DisclosureSEC source: 0001567619-20-006205 · doc1.xml · nonDerivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see all footnotes Disclosed balance after: 55,342,109 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 11,205,754 Shares, Icahn Partners L.P ("Icahn Partners") directly beneficially owns 25,786,474 Shares, and Icahn Partners Master Fund L.P ("Icahn Master") directly beneficially owns 18,349,881 Shares. F2 · ownership.nature: Barberry Corp. ("Barberry") is the sole member of Hopper lnvestments 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 Enlerprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is lhe general partner of Icahn Capilal 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 defined in Rule 13d-3 under the Act) the Shares which High River owns. Each or Hopper. Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent or 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 lo the extent of their pecuniary interest therein. F5 · ownership.nature: Each or Icahn Offshore, lcahn Capital, IPH, lcahn Enterprises Holdings, Icahn Enlcrpriscs 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 |
| March 11, 2020 Filed Mar 11, 2020 22:44 UTC | NEWELL BRANDS INC. NWL · Entity 4339 | PurchaseCommon Stock ("Shares") | 1,168,230 | $13.54 | $15,817,834.20 |
DisclosureSEC source: 0001567619-20-006124 · doc1.xml · nonDerivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see all footnotes Disclosed balance after: 43,704,616 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 8,740,925 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 20,427,384 Shares, and Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 14,536,307 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. F6 · ownership.nature: The above reporting persons controlled by Carl C. Icahn (the "Reporting Persons") may be deemed to be members of a "group" (within the meaning of Section 13(d)(3) of the Act), with Brett Icahn. None of the Reporting Persons has any pecuniary interest in any Shares beneficially owned by Brett Icahn, and each of the Reporting Persons disclaims beneficial ownership of such Shares. Read SEC document |
| March 11, 2020 Filed Mar 12, 2020 21:35 UTC | HERTZ GLOBAL HOLDINGS, INC HTZ · Entity 5147 | PurchaseShares | 3,743,218 | $8.06 | $30,170,337.08 |
DisclosureSEC source: 0001567619-20-006205 · doc1.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see all footnotes Disclosed balance after: 48,954,191 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 11,205,754 Shares, Icahn Partners L.P ("Icahn Partners") directly beneficially owns 25,786,474 Shares, and Icahn Partners Master Fund L.P ("Icahn Master") directly beneficially owns 18,349,881 Shares. F2 · ownership.nature: Barberry Corp. ("Barberry") is the sole member of Hopper lnvestments 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 Enlerprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is lhe general partner of Icahn Capilal 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 defined in Rule 13d-3 under the Act) the Shares which High River owns. Each or Hopper. Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent or 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 lo the extent of their pecuniary interest therein. F5 · ownership.nature: Each or Icahn Offshore, lcahn Capital, IPH, lcahn Enterprises Holdings, Icahn Enlcrpriscs 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 |
| March 10, 2020 Filed Mar 11, 2020 22:44 UTC | NEWELL BRANDS INC. NWL · Entity 4339 | PurchaseCommon Stock ("Shares") | 489,308 | $13.57 | $6,639,909.56 |
DisclosureSEC source: 0001567619-20-006124 · doc1.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see all footnotes Disclosed balance after: 42,536,386 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 8,740,925 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 20,427,384 Shares, and Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 14,536,307 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. F6 · ownership.nature: The above reporting persons controlled by Carl C. Icahn (the "Reporting Persons") may be deemed to be members of a "group" (within the meaning of Section 13(d)(3) of the Act), with Brett Icahn. None of the Reporting Persons has any pecuniary interest in any Shares beneficially owned by Brett Icahn, and each of the Reporting Persons disclaims beneficial ownership of such Shares. Read SEC document |
| March 10, 2020 Filed Mar 12, 2020 21:35 UTC | HERTZ GLOBAL HOLDINGS, INC HTZ · Entity 5147 | PurchaseCommon Stock, Par Value $0.01 ("Shares") | 1,285,121 | $7.79 | $10,011,092.59 |
DisclosureSEC source: 0001567619-20-006205 · doc1.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see all footnotes Disclosed balance after: 45,210,973 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 11,205,754 Shares, Icahn Partners L.P ("Icahn Partners") directly beneficially owns 25,786,474 Shares, and Icahn Partners Master Fund L.P ("Icahn Master") directly beneficially owns 18,349,881 Shares. F2 · ownership.nature: Barberry Corp. ("Barberry") is the sole member of Hopper lnvestments 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 Enlerprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is lhe general partner of Icahn Capilal 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 defined in Rule 13d-3 under the Act) the Shares which High River owns. Each or Hopper. Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent or 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 lo the extent of their pecuniary interest therein. F5 · ownership.nature: Each or Icahn Offshore, lcahn Capital, IPH, lcahn Enterprises Holdings, Icahn Enlcrpriscs 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 |
| March 09, 2020 Filed Mar 11, 2020 22:44 UTC | NEWELL BRANDS INC. NWL · Entity 4339 | PurchaseCommon Stock ("Shares") | 927,663 | $13.15 | $12,198,768.45 |
DisclosureSEC source: 0001567619-20-006124 · doc1.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see all footnotes Disclosed balance after: 42,047,078 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 8,740,925 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 20,427,384 Shares, and Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 14,536,307 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. F6 · ownership.nature: The above reporting persons controlled by Carl C. Icahn (the "Reporting Persons") may be deemed to be members of a "group" (within the meaning of Section 13(d)(3) of the Act), with Brett Icahn. None of the Reporting Persons has any pecuniary interest in any Shares beneficially owned by Brett Icahn, and each of the Reporting Persons disclaims beneficial ownership of such Shares. Read SEC document |
| September 13, 2019 Filed Sep 13, 2019 21:44 UTC | HERTZ GLOBAL HOLDINGS, INC HTZ · Entity 5147 | OtherForward contract (obligation to purchase) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-018313 · doc1.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 1 Underlying: SHares · 327,823 shares Expires 2021-09-08 F2 · derivative.exercise_price: On September 13, 2019, High River entered into a forward contract providing for the purchase by High River of 65,565 Shares, Icahn Partners entered into a forward contract providing for the purchase by Icahn Partners of 153,280 Shares and Icahn Master entered into a forward contract providing for the purchase by Icahn Master of 108,978 Shares, in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $3.00 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F2 · kind: On September 13, 2019, High River entered into a forward contract providing for the purchase by High River of 65,565 Shares, Icahn Partners entered into a forward contract providing for the purchase by Icahn Partners of 153,280 Shares and Icahn Master entered into a forward contract providing for the purchase by Icahn Master of 108,978 Shares, in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $3.00 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F2 · price: On September 13, 2019, High River entered into a forward contract providing for the purchase by High River of 65,565 Shares, Icahn Partners entered into a forward contract providing for the purchase by Icahn Partners of 153,280 Shares and Icahn Master entered into a forward contract providing for the purchase by Icahn Master of 108,978 Shares, in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $3.00 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F2 · ownership.nature: On September 13, 2019, High River entered into a forward contract providing for the purchase by High River of 65,565 Shares, Icahn Partners entered into a forward contract providing for the purchase by Icahn Partners of 153,280 Shares and Icahn Master entered into a forward contract providing for the purchase by Icahn Master of 108,978 Shares, in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $3.00 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F3 · ownership.nature: The forward contracts provide for physical settlement, with High River, Icahn Partners and Icahn Master, respectively, retaining the right to elect cash settlement. None of the forward contracts give High River, Icahn Partners nor Icahn Master, as applicable, direct or indirect voting, investment or dispositive control over the Shares to which such contracts relate. F4 · 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. F5 · 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. F6 · 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. F7 · 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 |
| September 12, 2019 Filed Sep 13, 2019 21:44 UTC | HERTZ GLOBAL HOLDINGS, INC HTZ · Entity 5147 | OtherForward contract (obligation to purchase) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-018313 · doc1.xml · derivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 1 Underlying: Common Stock, par value $0.01 per share ("Shares") · 832,075 shares Expires 2021-09-08 F1 · derivative.exercise_price: On September 12, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 166,415 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 389,056 Shares, and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 276,604 Shares in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River and Icahn Partners paid the counterparty to the forward contracts $2.73 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners, and Icahn Master to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F1 · kind: On September 12, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 166,415 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 389,056 Shares, and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 276,604 Shares in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River and Icahn Partners paid the counterparty to the forward contracts $2.73 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners, and Icahn Master to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F1 · price: On September 12, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 166,415 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 389,056 Shares, and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 276,604 Shares in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River and Icahn Partners paid the counterparty to the forward contracts $2.73 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners, and Icahn Master to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F1 · ownership.nature: On September 12, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 166,415 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 389,056 Shares, and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 276,604 Shares in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River and Icahn Partners paid the counterparty to the forward contracts $2.73 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners, and Icahn Master to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F3 · ownership.nature: The forward contracts provide for physical settlement, with High River, Icahn Partners and Icahn Master, respectively, retaining the right to elect cash settlement. None of the forward contracts give High River, Icahn Partners nor Icahn Master, as applicable, direct or indirect voting, investment or dispositive control over the Shares to which such contracts relate. F4 · 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. F5 · 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. F6 · 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. F7 · 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 |
| September 11, 2019 Filed Sep 11, 2019 21:37 UTC | HERTZ GLOBAL HOLDINGS, INC HTZ · Entity 5147 | OtherForward contract (obligation to purchase) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-018157 · doc1.xml · derivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 1 Underlying: Shares · 244,474 shares Expires 2021-09-08 F3 · derivative.exercise_price: On September 11, 2019, High River entered into a forward contract providing for the purchase by High River of 48,895 Shares, Icahn Partners entered into a forward contract providing for the purchase by Icahn Partners of 114,308 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 81,271 Shares, in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $2.24 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F3 · kind: On September 11, 2019, High River entered into a forward contract providing for the purchase by High River of 48,895 Shares, Icahn Partners entered into a forward contract providing for the purchase by Icahn Partners of 114,308 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 81,271 Shares, in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $2.24 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F3 · price: On September 11, 2019, High River entered into a forward contract providing for the purchase by High River of 48,895 Shares, Icahn Partners entered into a forward contract providing for the purchase by Icahn Partners of 114,308 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 81,271 Shares, in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $2.24 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F3 · ownership.nature: On September 11, 2019, High River entered into a forward contract providing for the purchase by High River of 48,895 Shares, Icahn Partners entered into a forward contract providing for the purchase by Icahn Partners of 114,308 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 81,271 Shares, in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $2.24 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F4 · ownership.nature: The forward contracts provide for physical settlement, with High River, Icahn Partners and Icahn Master, respectively, retaining the right to elect cash settlement. None of the forward contracts give High River, Icahn Partners nor Icahn Master, as applicable, direct or indirect voting, investment or dispositive control over the Shares to which such contracts relate. F5 · 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. F6 · 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. F8 · 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 |
| September 10, 2019 Filed Sep 11, 2019 21:37 UTC | HERTZ GLOBAL HOLDINGS, INC HTZ · Entity 5147 | OtherForward contract (obligation to purchase) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-018157 · doc1.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 1 Underlying: Shares · 571,048 shares Expires 2021-09-08 F2 · derivative.exercise_price: On September 10, 2019, High River entered into a forward contract providing for the purchase by High River of 114,210 Shares, Icahn Partners entered into a forward contract providing for the purchase by Icahn Partners of 274,910 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 181,928 Shares, in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $2.16 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F2 · kind: On September 10, 2019, High River entered into a forward contract providing for the purchase by High River of 114,210 Shares, Icahn Partners entered into a forward contract providing for the purchase by Icahn Partners of 274,910 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 181,928 Shares, in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $2.16 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F2 · price: On September 10, 2019, High River entered into a forward contract providing for the purchase by High River of 114,210 Shares, Icahn Partners entered into a forward contract providing for the purchase by Icahn Partners of 274,910 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 181,928 Shares, in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $2.16 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F2 · ownership.nature: On September 10, 2019, High River entered into a forward contract providing for the purchase by High River of 114,210 Shares, Icahn Partners entered into a forward contract providing for the purchase by Icahn Partners of 274,910 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 181,928 Shares, in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $2.16 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F3 · ownership.nature: On September 11, 2019, High River entered into a forward contract providing for the purchase by High River of 48,895 Shares, Icahn Partners entered into a forward contract providing for the purchase by Icahn Partners of 114,308 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 81,271 Shares, in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $2.24 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F4 · ownership.nature: The forward contracts provide for physical settlement, with High River, Icahn Partners and Icahn Master, respectively, retaining the right to elect cash settlement. None of the forward contracts give High River, Icahn Partners nor Icahn Master, as applicable, direct or indirect voting, investment or dispositive control over the Shares to which such contracts relate. F5 · 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. F6 · 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. F7 · 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. F8 · 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 |
| September 09, 2019 Filed Sep 9, 2019 21:00 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherForward Contracts (obligation to purchase) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-018066 · doc1.xml · derivative · entry 17 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 0 Underlying: Shares · 37,198,452 shares Expires not disclosed F6 · derivative.exercise_price: On or about the date of this Form 4 (the "Reporting Date"), the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 112,342 Shares, (ii) Icahn Partners of 262,879 Shares, and (iii) Icahn Master of 186,487 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.80 per Share at the inception of the forward contract. F7 · derivative.exercise_price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 87,983 Shares, (ii) Icahn Partners of 205,879 Shares, and (iii) Icahn Master of 146,052 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.85 per Share at the inception of the forward contract. F8 · derivative.exercise_price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 228,986 Shares, (ii) Icahn Partners of 535,827 Shares, and (iii) Icahn Master of 380,117 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.77 per Share at the inception of the forward contract. F9 · derivative.exercise_price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 124,817 Shares, (ii) Icahn Partners of 292,073 Shares, and (iii) Icahn Master of 207,195 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.96 per Share at the inception of the forward contract. F10 · derivative.exercise_price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 474,015 Shares, (ii) Icahn Partners of 1,109,193 Shares, and (iii) Icahn Master of 786,865 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.95 per Share at the inception of the forward contract. F11 · derivative.exercise_price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 227,810 Shares, (ii) Icahn Partners of 533,075 Shares, and (iii) Icahn Master of 378,164 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.99 per Share at the inception of the forward contract. F12 · derivative.exercise_price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 440,014 Shares, (ii) Icahn Partners of 1,029,633 Shares, and (iii) Icahn Master of 730,425 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.05 per Share at the inception of the forward contract. F13 · derivative.exercise_price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 1,706,313 Shares, (ii) Icahn Partners of 3,986,515 Shares, and (iii) Icahn Master of 2,838,737 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.24 per Share at the inception of the forward contract. F14 · derivative.exercise_price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 329,660 Shares, (ii) Icahn Partners of 771,105 Shares, and (iii) Icahn Master of 547,534 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.54 per Share at the inception of the forward contract. F15 · derivative.exercise_price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 654,607 Shares, (ii) Icahn Partners of 1,531,188 Shares, and (iii) Icahn Master of 1,087,240 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.50 per Share at the inception of the forward contract. F16 · derivative.exercise_price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 315,000 Shares, (ii) Icahn Partners of 736,815 Shares, and (iii) Icahn Master of 523,185 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.45 per Share at the inception of the forward contract. F17 · derivative.exercise_price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 815,110 Shares, (ii) Icahn Partners of 1,906,619 Shares, and (iii) Icahn Master of 1,353,820 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.58 per Share at the inception of the forward contract. F18 · derivative.exercise_price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 373,715 Shares, (ii) Icahn Partners of 874,156 Shares, and (iii) Icahn Master of 620,705 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.94 per Share at the inception of the forward contract. F19 · derivative.exercise_price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 658,968 Shares, (ii) Icahn Partners of 1,541,388 Shares, and (iii) Icahn Master of 1,094,483 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.99 per Share at the inception of the forward contract. F20 · derivative.exercise_price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 490,352 Shares, (ii) Icahn Partners of 1,146,979 Shares, and (iii) Icahn Master of 814,427 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.73 per Share at the inception of the forward contract. F21 · derivative.exercise_price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 400,000 Shares, (ii) Icahn Partners of 935,638 Shares, and (iii) Icahn Master of 664,362 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.74 per Share at the inception of the forward contract. F6 · kind: On or about the date of this Form 4 (the "Reporting Date"), the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 112,342 Shares, (ii) Icahn Partners of 262,879 Shares, and (iii) Icahn Master of 186,487 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.80 per Share at the inception of the forward contract. F7 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 87,983 Shares, (ii) Icahn Partners of 205,879 Shares, and (iii) Icahn Master of 146,052 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.85 per Share at the inception of the forward contract. F8 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 228,986 Shares, (ii) Icahn Partners of 535,827 Shares, and (iii) Icahn Master of 380,117 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.77 per Share at the inception of the forward contract. F9 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 124,817 Shares, (ii) Icahn Partners of 292,073 Shares, and (iii) Icahn Master of 207,195 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.96 per Share at the inception of the forward contract. F10 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 474,015 Shares, (ii) Icahn Partners of 1,109,193 Shares, and (iii) Icahn Master of 786,865 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.95 per Share at the inception of the forward contract. F11 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 227,810 Shares, (ii) Icahn Partners of 533,075 Shares, and (iii) Icahn Master of 378,164 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.99 per Share at the inception of the forward contract. F12 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 440,014 Shares, (ii) Icahn Partners of 1,029,633 Shares, and (iii) Icahn Master of 730,425 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.05 per Share at the inception of the forward contract. F13 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 1,706,313 Shares, (ii) Icahn Partners of 3,986,515 Shares, and (iii) Icahn Master of 2,838,737 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.24 per Share at the inception of the forward contract. F14 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 329,660 Shares, (ii) Icahn Partners of 771,105 Shares, and (iii) Icahn Master of 547,534 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.54 per Share at the inception of the forward contract. F15 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 654,607 Shares, (ii) Icahn Partners of 1,531,188 Shares, and (iii) Icahn Master of 1,087,240 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.50 per Share at the inception of the forward contract. F16 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 315,000 Shares, (ii) Icahn Partners of 736,815 Shares, and (iii) Icahn Master of 523,185 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.45 per Share at the inception of the forward contract. F17 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 815,110 Shares, (ii) Icahn Partners of 1,906,619 Shares, and (iii) Icahn Master of 1,353,820 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.58 per Share at the inception of the forward contract. F18 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 373,715 Shares, (ii) Icahn Partners of 874,156 Shares, and (iii) Icahn Master of 620,705 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.94 per Share at the inception of the forward contract. F19 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 658,968 Shares, (ii) Icahn Partners of 1,541,388 Shares, and (iii) Icahn Master of 1,094,483 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.99 per Share at the inception of the forward contract. F20 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 490,352 Shares, (ii) Icahn Partners of 1,146,979 Shares, and (iii) Icahn Master of 814,427 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.73 per Share at the inception of the forward contract. F21 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 400,000 Shares, (ii) Icahn Partners of 935,638 Shares, and (iii) Icahn Master of 664,362 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.74 per Share at the inception of the forward contract. F6 · shares: On or about the date of this Form 4 (the "Reporting Date"), the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 112,342 Shares, (ii) Icahn Partners of 262,879 Shares, and (iii) Icahn Master of 186,487 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.80 per Share at the inception of the forward contract. F7 · shares: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 87,983 Shares, (ii) Icahn Partners of 205,879 Shares, and (iii) Icahn Master of 146,052 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.85 per Share at the inception of the forward contract. F8 · shares: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 228,986 Shares, (ii) Icahn Partners of 535,827 Shares, and (iii) Icahn Master of 380,117 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.77 per Share at the inception of the forward contract. F9 · shares: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 124,817 Shares, (ii) Icahn Partners of 292,073 Shares, and (iii) Icahn Master of 207,195 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.96 per Share at the inception of the forward contract. F10 · shares: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 474,015 Shares, (ii) Icahn Partners of 1,109,193 Shares, and (iii) Icahn Master of 786,865 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.95 per Share at the inception of the forward contract. F11 · shares: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 227,810 Shares, (ii) Icahn Partners of 533,075 Shares, and (iii) Icahn Master of 378,164 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.99 per Share at the inception of the forward contract. F12 · shares: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 440,014 Shares, (ii) Icahn Partners of 1,029,633 Shares, and (iii) Icahn Master of 730,425 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.05 per Share at the inception of the forward contract. F13 · shares: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 1,706,313 Shares, (ii) Icahn Partners of 3,986,515 Shares, and (iii) Icahn Master of 2,838,737 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.24 per Share at the inception of the forward contract. F14 · shares: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 329,660 Shares, (ii) Icahn Partners of 771,105 Shares, and (iii) Icahn Master of 547,534 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.54 per Share at the inception of the forward contract. F15 · shares: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 654,607 Shares, (ii) Icahn Partners of 1,531,188 Shares, and (iii) Icahn Master of 1,087,240 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.50 per Share at the inception of the forward contract. F16 · shares: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 315,000 Shares, (ii) Icahn Partners of 736,815 Shares, and (iii) Icahn Master of 523,185 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.45 per Share at the inception of the forward contract. F17 · shares: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 815,110 Shares, (ii) Icahn Partners of 1,906,619 Shares, and (iii) Icahn Master of 1,353,820 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.58 per Share at the inception of the forward contract. F18 · shares: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 373,715 Shares, (ii) Icahn Partners of 874,156 Shares, and (iii) Icahn Master of 620,705 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.94 per Share at the inception of the forward contract. F19 · shares: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 658,968 Shares, (ii) Icahn Partners of 1,541,388 Shares, and (iii) Icahn Master of 1,094,483 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.99 per Share at the inception of the forward contract. F20 · shares: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 490,352 Shares, (ii) Icahn Partners of 1,146,979 Shares, and (iii) Icahn Master of 814,427 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.73 per Share at the inception of the forward contract. F21 · shares: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 400,000 Shares, (ii) Icahn Partners of 935,638 Shares, and (iii) Icahn Master of 664,362 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.74 per Share at the inception of the forward contract. F6 · price: On or about the date of this Form 4 (the "Reporting Date"), the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 112,342 Shares, (ii) Icahn Partners of 262,879 Shares, and (iii) Icahn Master of 186,487 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.80 per Share at the inception of the forward contract. F7 · price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 87,983 Shares, (ii) Icahn Partners of 205,879 Shares, and (iii) Icahn Master of 146,052 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.85 per Share at the inception of the forward contract. F8 · price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 228,986 Shares, (ii) Icahn Partners of 535,827 Shares, and (iii) Icahn Master of 380,117 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.77 per Share at the inception of the forward contract. F9 · price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 124,817 Shares, (ii) Icahn Partners of 292,073 Shares, and (iii) Icahn Master of 207,195 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.96 per Share at the inception of the forward contract. F10 · price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 474,015 Shares, (ii) Icahn Partners of 1,109,193 Shares, and (iii) Icahn Master of 786,865 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.95 per Share at the inception of the forward contract. F11 · price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 227,810 Shares, (ii) Icahn Partners of 533,075 Shares, and (iii) Icahn Master of 378,164 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.99 per Share at the inception of the forward contract. F12 · price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 440,014 Shares, (ii) Icahn Partners of 1,029,633 Shares, and (iii) Icahn Master of 730,425 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.05 per Share at the inception of the forward contract. F13 · price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 1,706,313 Shares, (ii) Icahn Partners of 3,986,515 Shares, and (iii) Icahn Master of 2,838,737 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.24 per Share at the inception of the forward contract. F14 · price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 329,660 Shares, (ii) Icahn Partners of 771,105 Shares, and (iii) Icahn Master of 547,534 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.54 per Share at the inception of the forward contract. F15 · price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 654,607 Shares, (ii) Icahn Partners of 1,531,188 Shares, and (iii) Icahn Master of 1,087,240 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.50 per Share at the inception of the forward contract. F16 · price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 315,000 Shares, (ii) Icahn Partners of 736,815 Shares, and (iii) Icahn Master of 523,185 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.45 per Share at the inception of the forward contract. F17 · price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 815,110 Shares, (ii) Icahn Partners of 1,906,619 Shares, and (iii) Icahn Master of 1,353,820 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.58 per Share at the inception of the forward contract. F18 · price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 373,715 Shares, (ii) Icahn Partners of 874,156 Shares, and (iii) Icahn Master of 620,705 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.94 per Share at the inception of the forward contract. F19 · price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 658,968 Shares, (ii) Icahn Partners of 1,541,388 Shares, and (iii) Icahn Master of 1,094,483 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.99 per Share at the inception of the forward contract. F20 · price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 490,352 Shares, (ii) Icahn Partners of 1,146,979 Shares, and (iii) Icahn Master of 814,427 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.73 per Share at the inception of the forward contract. F21 · price: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 400,000 Shares, (ii) Icahn Partners of 935,638 Shares, and (iii) Icahn Master of 664,362 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.74 per Share at the inception of the forward contract. F6 · derivative.exercise_date: On or about the date of this Form 4 (the "Reporting Date"), the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 112,342 Shares, (ii) Icahn Partners of 262,879 Shares, and (iii) Icahn Master of 186,487 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.80 per Share at the inception of the forward contract. F7 · derivative.exercise_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 87,983 Shares, (ii) Icahn Partners of 205,879 Shares, and (iii) Icahn Master of 146,052 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.85 per Share at the inception of the forward contract. F8 · derivative.exercise_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 228,986 Shares, (ii) Icahn Partners of 535,827 Shares, and (iii) Icahn Master of 380,117 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.77 per Share at the inception of the forward contract. F9 · derivative.exercise_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 124,817 Shares, (ii) Icahn Partners of 292,073 Shares, and (iii) Icahn Master of 207,195 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.96 per Share at the inception of the forward contract. F10 · derivative.exercise_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 474,015 Shares, (ii) Icahn Partners of 1,109,193 Shares, and (iii) Icahn Master of 786,865 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.95 per Share at the inception of the forward contract. F11 · derivative.exercise_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 227,810 Shares, (ii) Icahn Partners of 533,075 Shares, and (iii) Icahn Master of 378,164 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.99 per Share at the inception of the forward contract. F12 · derivative.exercise_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 440,014 Shares, (ii) Icahn Partners of 1,029,633 Shares, and (iii) Icahn Master of 730,425 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.05 per Share at the inception of the forward contract. F13 · derivative.exercise_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 1,706,313 Shares, (ii) Icahn Partners of 3,986,515 Shares, and (iii) Icahn Master of 2,838,737 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.24 per Share at the inception of the forward contract. F14 · derivative.exercise_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 329,660 Shares, (ii) Icahn Partners of 771,105 Shares, and (iii) Icahn Master of 547,534 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.54 per Share at the inception of the forward contract. F15 · derivative.exercise_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 654,607 Shares, (ii) Icahn Partners of 1,531,188 Shares, and (iii) Icahn Master of 1,087,240 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.50 per Share at the inception of the forward contract. F16 · derivative.exercise_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 315,000 Shares, (ii) Icahn Partners of 736,815 Shares, and (iii) Icahn Master of 523,185 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.45 per Share at the inception of the forward contract. F17 · derivative.exercise_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 815,110 Shares, (ii) Icahn Partners of 1,906,619 Shares, and (iii) Icahn Master of 1,353,820 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.58 per Share at the inception of the forward contract. F18 · derivative.exercise_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 373,715 Shares, (ii) Icahn Partners of 874,156 Shares, and (iii) Icahn Master of 620,705 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.94 per Share at the inception of the forward contract. F19 · derivative.exercise_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 658,968 Shares, (ii) Icahn Partners of 1,541,388 Shares, and (iii) Icahn Master of 1,094,483 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.99 per Share at the inception of the forward contract. F20 · derivative.exercise_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 490,352 Shares, (ii) Icahn Partners of 1,146,979 Shares, and (iii) Icahn Master of 814,427 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.73 per Share at the inception of the forward contract. F21 · derivative.exercise_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 400,000 Shares, (ii) Icahn Partners of 935,638 Shares, and (iii) Icahn Master of 664,362 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.74 per Share at the inception of the forward contract. F6 · derivative.expiration_date: On or about the date of this Form 4 (the "Reporting Date"), the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 112,342 Shares, (ii) Icahn Partners of 262,879 Shares, and (iii) Icahn Master of 186,487 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.80 per Share at the inception of the forward contract. F7 · derivative.expiration_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 87,983 Shares, (ii) Icahn Partners of 205,879 Shares, and (iii) Icahn Master of 146,052 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.85 per Share at the inception of the forward contract. F8 · derivative.expiration_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 228,986 Shares, (ii) Icahn Partners of 535,827 Shares, and (iii) Icahn Master of 380,117 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.77 per Share at the inception of the forward contract. F9 · derivative.expiration_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 124,817 Shares, (ii) Icahn Partners of 292,073 Shares, and (iii) Icahn Master of 207,195 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.96 per Share at the inception of the forward contract. F10 · derivative.expiration_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 474,015 Shares, (ii) Icahn Partners of 1,109,193 Shares, and (iii) Icahn Master of 786,865 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.95 per Share at the inception of the forward contract. F11 · derivative.expiration_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 227,810 Shares, (ii) Icahn Partners of 533,075 Shares, and (iii) Icahn Master of 378,164 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.99 per Share at the inception of the forward contract. F12 · derivative.expiration_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 440,014 Shares, (ii) Icahn Partners of 1,029,633 Shares, and (iii) Icahn Master of 730,425 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.05 per Share at the inception of the forward contract. F13 · derivative.expiration_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 1,706,313 Shares, (ii) Icahn Partners of 3,986,515 Shares, and (iii) Icahn Master of 2,838,737 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.24 per Share at the inception of the forward contract. F14 · derivative.expiration_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 329,660 Shares, (ii) Icahn Partners of 771,105 Shares, and (iii) Icahn Master of 547,534 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.54 per Share at the inception of the forward contract. F15 · derivative.expiration_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 654,607 Shares, (ii) Icahn Partners of 1,531,188 Shares, and (iii) Icahn Master of 1,087,240 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.50 per Share at the inception of the forward contract. F16 · derivative.expiration_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 315,000 Shares, (ii) Icahn Partners of 736,815 Shares, and (iii) Icahn Master of 523,185 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.45 per Share at the inception of the forward contract. F17 · derivative.expiration_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 815,110 Shares, (ii) Icahn Partners of 1,906,619 Shares, and (iii) Icahn Master of 1,353,820 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.58 per Share at the inception of the forward contract. F18 · derivative.expiration_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 373,715 Shares, (ii) Icahn Partners of 874,156 Shares, and (iii) Icahn Master of 620,705 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.94 per Share at the inception of the forward contract. F19 · derivative.expiration_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 658,968 Shares, (ii) Icahn Partners of 1,541,388 Shares, and (iii) Icahn Master of 1,094,483 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.99 per Share at the inception of the forward contract. F20 · derivative.expiration_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 490,352 Shares, (ii) Icahn Partners of 1,146,979 Shares, and (iii) Icahn Master of 814,427 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.73 per Share at the inception of the forward contract. F21 · derivative.expiration_date: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 400,000 Shares, (ii) Icahn Partners of 935,638 Shares, and (iii) Icahn Master of 664,362 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.74 per Share at the inception of the forward contract. 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. 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 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, if any. 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 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, if any. F22 · ownership.nature: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. Read SEC document |
| September 09, 2019 Filed Sep 9, 2019 21:00 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherShares | 2,000,000 | $5.00 | $10,000,000.00 |
DisclosureSEC source: 0001567619-19-018066 · doc1.xml · nonDerivative · entry 16 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 54,795,218 F21 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 400,000 Shares, (ii) Icahn Partners of 935,638 Shares, and (iii) Icahn Master of 664,362 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.74 per Share at the inception of the forward contract. F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. 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 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, if any. 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 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, if any. F21 · ownership.nature: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 400,000 Shares, (ii) Icahn Partners of 935,638 Shares, and (iii) Icahn Master of 664,362 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.74 per Share at the inception of the forward contract. F22 · ownership.nature: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. Read SEC document |
| September 09, 2019 Filed Sep 9, 2019 21:00 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherShares | 2,451,758 | $5.00 | $12,258,790.00 |
DisclosureSEC source: 0001567619-19-018066 · doc1.xml · nonDerivative · entry 15 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 52,795,218 F20 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 490,352 Shares, (ii) Icahn Partners of 1,146,979 Shares, and (iii) Icahn Master of 814,427 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.73 per Share at the inception of the forward contract. F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. 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 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, if any. 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 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, if any. F20 · ownership.nature: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 490,352 Shares, (ii) Icahn Partners of 1,146,979 Shares, and (iii) Icahn Master of 814,427 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.73 per Share at the inception of the forward contract. F22 · ownership.nature: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. Read SEC document |
| September 09, 2019 Filed Sep 9, 2019 21:00 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherShares | 3,294,839 | $5.00 | $16,474,195.00 |
DisclosureSEC source: 0001567619-19-018066 · doc1.xml · nonDerivative · entry 14 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 50,343,460 F19 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 658,968 Shares, (ii) Icahn Partners of 1,541,388 Shares, and (iii) Icahn Master of 1,094,483 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.99 per Share at the inception of the forward contract. F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. 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 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, if any. 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 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, if any. F19 · ownership.nature: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 658,968 Shares, (ii) Icahn Partners of 1,541,388 Shares, and (iii) Icahn Master of 1,094,483 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.99 per Share at the inception of the forward contract. F22 · ownership.nature: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. Read SEC document |
| September 09, 2019 Filed Sep 9, 2019 21:00 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherShares | 1,868,576 | $5.00 | $9,342,880.00 |
DisclosureSEC source: 0001567619-19-018066 · doc1.xml · nonDerivative · entry 13 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 47,048,621 F18 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 373,715 Shares, (ii) Icahn Partners of 874,156 Shares, and (iii) Icahn Master of 620,705 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.94 per Share at the inception of the forward contract. F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. 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 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, if any. 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 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, if any. F18 · ownership.nature: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 373,715 Shares, (ii) Icahn Partners of 874,156 Shares, and (iii) Icahn Master of 620,705 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.94 per Share at the inception of the forward contract. F22 · ownership.nature: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. Read SEC document |
| September 09, 2019 Filed Sep 9, 2019 21:00 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherShares | 4,075,549 | $5.00 | $20,377,745.00 |
DisclosureSEC source: 0001567619-19-018066 · doc1.xml · nonDerivative · entry 12 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 45,180,045 F17 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 815,110 Shares, (ii) Icahn Partners of 1,906,619 Shares, and (iii) Icahn Master of 1,353,820 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.58 per Share at the inception of the forward contract. F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. 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 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, if any. 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 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, if any. F17 · ownership.nature: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 815,110 Shares, (ii) Icahn Partners of 1,906,619 Shares, and (iii) Icahn Master of 1,353,820 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.58 per Share at the inception of the forward contract. F22 · ownership.nature: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. Read SEC document |
| September 09, 2019 Filed Sep 9, 2019 21:00 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherShares | 1,575,000 | $5.00 | $7,875,000.00 |
DisclosureSEC source: 0001567619-19-018066 · doc1.xml · nonDerivative · entry 11 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 41,104,496 F16 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 315,000 Shares, (ii) Icahn Partners of 736,815 Shares, and (iii) Icahn Master of 523,185 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.45 per Share at the inception of the forward contract. F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. 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 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, if any. 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 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, if any. F16 · ownership.nature: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 315,000 Shares, (ii) Icahn Partners of 736,815 Shares, and (iii) Icahn Master of 523,185 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.45 per Share at the inception of the forward contract. F22 · ownership.nature: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. Read SEC document |
| September 09, 2019 Filed Sep 9, 2019 21:00 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherShares | 3,273,035 | $5.00 | $16,365,175.00 |
DisclosureSEC source: 0001567619-19-018066 · doc1.xml · nonDerivative · entry 10 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 39,529,496 F15 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 654,607 Shares, (ii) Icahn Partners of 1,531,188 Shares, and (iii) Icahn Master of 1,087,240 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.50 per Share at the inception of the forward contract. F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. 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 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, if any. 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 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, if any. F15 · ownership.nature: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 654,607 Shares, (ii) Icahn Partners of 1,531,188 Shares, and (iii) Icahn Master of 1,087,240 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.50 per Share at the inception of the forward contract. F22 · ownership.nature: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. Read SEC document |
| September 09, 2019 Filed Sep 9, 2019 21:00 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherShares | 1,648,299 | $5.00 | $8,241,495.00 |
DisclosureSEC source: 0001567619-19-018066 · doc1.xml · nonDerivative · entry 9 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 36,256,461 F14 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 329,660 Shares, (ii) Icahn Partners of 771,105 Shares, and (iii) Icahn Master of 547,534 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.54 per Share at the inception of the forward contract. F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. 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 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, if any. 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 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, if any. F14 · ownership.nature: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 329,660 Shares, (ii) Icahn Partners of 771,105 Shares, and (iii) Icahn Master of 547,534 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.54 per Share at the inception of the forward contract. F22 · ownership.nature: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. Read SEC document |
| September 09, 2019 Filed Sep 9, 2019 21:00 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherShares | 8,531,565 | $5.00 | $42,657,825.00 |
DisclosureSEC source: 0001567619-19-018066 · doc1.xml · nonDerivative · entry 8 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 34,608,162 F13 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 1,706,313 Shares, (ii) Icahn Partners of 3,986,515 Shares, and (iii) Icahn Master of 2,838,737 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.24 per Share at the inception of the forward contract. F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. 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 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, if any. 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 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, if any. F13 · ownership.nature: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 1,706,313 Shares, (ii) Icahn Partners of 3,986,515 Shares, and (iii) Icahn Master of 2,838,737 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.24 per Share at the inception of the forward contract. F22 · ownership.nature: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. Read SEC document |
| September 09, 2019 Filed Sep 9, 2019 21:00 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherShares | 2,200,072 | $5.00 | $11,000,360.00 |
DisclosureSEC source: 0001567619-19-018066 · doc1.xml · nonDerivative · entry 7 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 26,076,597 F12 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 440,014 Shares, (ii) Icahn Partners of 1,029,633 Shares, and (iii) Icahn Master of 730,425 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.05 per Share at the inception of the forward contract. F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. 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 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, if any. 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 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, if any. F12 · ownership.nature: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 440,014 Shares, (ii) Icahn Partners of 1,029,633 Shares, and (iii) Icahn Master of 730,425 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $1.05 per Share at the inception of the forward contract. F22 · ownership.nature: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. Read SEC document |
| September 09, 2019 Filed Sep 9, 2019 21:00 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherShares | 1,139,049 | $5.00 | $5,695,245.00 |
DisclosureSEC source: 0001567619-19-018066 · doc1.xml · nonDerivative · entry 6 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 23,876,525 F11 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 227,810 Shares, (ii) Icahn Partners of 533,075 Shares, and (iii) Icahn Master of 378,164 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.99 per Share at the inception of the forward contract. F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. 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 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, if any. 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 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, if any. F11 · ownership.nature: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 227,810 Shares, (ii) Icahn Partners of 533,075 Shares, and (iii) Icahn Master of 378,164 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.99 per Share at the inception of the forward contract. F22 · ownership.nature: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. Read SEC document |
| September 09, 2019 Filed Sep 9, 2019 21:00 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherShares | 2,370,073 | $5.00 | $11,850,365.00 |
DisclosureSEC source: 0001567619-19-018066 · doc1.xml · nonDerivative · entry 5 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 22,737,476 F10 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 474,015 Shares, (ii) Icahn Partners of 1,109,193 Shares, and (iii) Icahn Master of 786,865 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.95 per Share at the inception of the forward contract. F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. 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 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, if any. 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 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, if any. F10 · ownership.nature: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 474,015 Shares, (ii) Icahn Partners of 1,109,193 Shares, and (iii) Icahn Master of 786,865 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.95 per Share at the inception of the forward contract. F22 · ownership.nature: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. Read SEC document |
| September 09, 2019 Filed Sep 9, 2019 21:00 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherShares | 624,085 | $5.00 | $3,120,425.00 |
DisclosureSEC source: 0001567619-19-018066 · doc1.xml · nonDerivative · entry 4 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 20,367,403 F9 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 124,817 Shares, (ii) Icahn Partners of 292,073 Shares, and (iii) Icahn Master of 207,195 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.96 per Share at the inception of the forward contract. F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. 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 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, if any. 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 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, if any. F9 · ownership.nature: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 124,817 Shares, (ii) Icahn Partners of 292,073 Shares, and (iii) Icahn Master of 207,195 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.96 per Share at the inception of the forward contract. F22 · ownership.nature: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. Read SEC document |
| September 09, 2019 Filed Sep 9, 2019 21:00 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherShares | 1,144,930 | $5.00 | $5,724,650.00 |
DisclosureSEC source: 0001567619-19-018066 · doc1.xml · nonDerivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 19,743,318 F8 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 228,986 Shares, (ii) Icahn Partners of 535,827 Shares, and (iii) Icahn Master of 380,117 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.77 per Share at the inception of the forward contract. F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. 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 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, if any. 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 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, if any. F8 · ownership.nature: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 228,986 Shares, (ii) Icahn Partners of 535,827 Shares, and (iii) Icahn Master of 380,117 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.77 per Share at the inception of the forward contract. F22 · ownership.nature: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. Read SEC document |
| September 09, 2019 Filed Sep 9, 2019 21:00 UTC | Cloudera, Inc. CLDR · Entity 11702 | PurchaseShares | 439,914 | $5.00 | $2,199,570.00 |
DisclosureSEC source: 0001567619-19-018066 · doc1.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 18,598,388 F7 · kind: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 87,983 Shares, (ii) Icahn Partners of 205,879 Shares, and (iii) Icahn Master of 146,052 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.85 per Share at the inception of the forward contract. F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. 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 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, if any. 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 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, if any. F7 · ownership.nature: On or about the Reporting Date, the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 87,983 Shares, (ii) Icahn Partners of 205,879 Shares, and (iii) Icahn Master of 146,052 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.85 per Share at the inception of the forward contract. F22 · ownership.nature: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. Read SEC document |
| September 09, 2019 Filed Sep 9, 2019 21:00 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherCommon Stock, par value $0.00005 per share ("Shares") | 561,708 | $5.00 | $2,808,540.00 |
DisclosureSEC source: 0001567619-19-018066 · doc1.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 18,158,474 F6 · kind: On or about the date of this Form 4 (the "Reporting Date"), the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 112,342 Shares, (ii) Icahn Partners of 262,879 Shares, and (iii) Icahn Master of 186,487 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.80 per Share at the inception of the forward contract. F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.00005 par value per share (the "Shares"), of Cloudera, Inc. 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, if any. 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 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, if any. 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 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, if any. F6 · ownership.nature: On or about the date of this Form 4 (the "Reporting Date"), the Reporting Persons obtained direct ownership of Shares previously purchased pursuant to a forward contract. The forward contract provided for the purchase by (i) High River of 112,342 Shares, (ii) Icahn Partners of 262,879 Shares, and (iii) Icahn Master of 186,487 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, the Reporting Persons paid the counterparty to the forward contract $0.80 per Share at the inception of the forward contract. F22 · ownership.nature: On or about the Reporting Date and after all of the transactions reported on this Form 4, High River directly beneficially owns 10,959,045 Shares, Icahn Partners directly beneficially owns 25,634,245 Shares, and Icahn Master directly beneficially owns 18,201,928 Shares. Read SEC document |
| September 09, 2019 Filed Sep 11, 2019 21:37 UTC | HERTZ GLOBAL HOLDINGS, INC HTZ · Entity 5147 | OtherForward contract (obligation to purchase) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-018157 · doc1.xml · derivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 1 Underlying: Common Stock, par value $0.01 per share ("Shares" · 55,117 shares Expires 2021-09-08 F1 · derivative.exercise_price: On September 9, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 11,023 Shares and Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 44,094 Shares, in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River and Icahn Partners paid the counterparty to the forward contracts $1.24 per Share upon establishing the forward contracts. Subject to the rights of High River and Icahn Partners to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F1 · kind: On September 9, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 11,023 Shares and Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 44,094 Shares, in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River and Icahn Partners paid the counterparty to the forward contracts $1.24 per Share upon establishing the forward contracts. Subject to the rights of High River and Icahn Partners to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F1 · price: On September 9, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 11,023 Shares and Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 44,094 Shares, in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River and Icahn Partners paid the counterparty to the forward contracts $1.24 per Share upon establishing the forward contracts. Subject to the rights of High River and Icahn Partners to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F1 · ownership.nature: On September 9, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 11,023 Shares and Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 44,094 Shares, in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River and Icahn Partners paid the counterparty to the forward contracts $1.24 per Share upon establishing the forward contracts. Subject to the rights of High River and Icahn Partners to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F3 · ownership.nature: On September 11, 2019, High River entered into a forward contract providing for the purchase by High River of 48,895 Shares, Icahn Partners entered into a forward contract providing for the purchase by Icahn Partners of 114,308 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 81,271 Shares, in each case at a forward price of $12.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $2.24 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on September 8, 2021. F4 · ownership.nature: The forward contracts provide for physical settlement, with High River, Icahn Partners and Icahn Master, respectively, retaining the right to elect cash settlement. None of the forward contracts give High River, Icahn Partners nor Icahn Master, as applicable, direct or indirect voting, investment or dispositive control over the Shares to which such contracts relate. F5 · 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. F6 · 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. F7 · 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. F8 · 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 |
| August 14, 2019 Filed Aug 16, 2019 20:45 UTC | CONDUENT Inc CNDT · Entity 1191 | PurchaseCommon Stock, par value $0.01 per share (the "Shares") | 1,941,101 | $6.57 | $12,753,033.57 |
DisclosureSEC source: 0001567619-19-017206 · doc1.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 38,149,336 F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.01 par value shares (the "Shares") of Conduent Incorporated 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, if any. 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 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, if any. 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 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, if any. F6 · ownership.nature: Each of the purchase transactions as set forth on this Form 4 were purchases effected in ordinary course brokerage transactions. F7 · ownership.nature: On or about the date of this Form 4 and after all of the transactions reported on this Form 4, High River directly beneficially owns 7,629,868 Shares, Icahn Partners directly beneficially owns 17,846,985 Shares, and Icahn Master directly beneficially owns 12,672,483 Shares. Read SEC document |
| August 13, 2019 Filed Aug 13, 2019 21:19 UTC | CONDUENT Inc CNDT · Entity 1191 | PurchaseShares | 1,496,143 | $6.59 | $9,859,582.37 |
DisclosureSEC source: 0001567619-19-016589 · doc1.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 36,208,235 F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.01 par value shares (the "Shares") of Conduent Incorporated 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, if any. 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 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, if any. 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 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, if any. F6 · ownership.nature: Each of the purchase transactions as set forth on this Form 4 were purchases effected in ordinary course brokerage transactions. F7 · ownership.nature: On or about the date of this Form 4 and after all of the transactions reported on this Form 4, High River directly beneficially owns 7,241,648 Shares, Icahn Partners directly beneficially owns 16,938,901 Shares, and Icahn Master directly beneficially owns 12,027,686 Shares. Read SEC document |
| August 13, 2019 Filed Aug 13, 2019 21:20 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherForward contract (obligation to purchase) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-016591 · doc1.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 1 Underlying: Shares · 2,000,000 shares Expires 2021-07-22 F2 · derivative.exercise_price: On August 13, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 400,000 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 935,638 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 664,362 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.74 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F2 · kind: On August 13, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 400,000 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 935,638 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 664,362 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.74 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F2 · price: On August 13, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 400,000 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 935,638 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 664,362 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.74 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F2 · ownership.nature: On August 13, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 400,000 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 935,638 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 664,362 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.74 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F3 · ownership.nature: The forward contracts provide for physical settlement, with High River, Icahn Partners and Icahn Master, respectively, retaining the right to elect cash settlement. None of the forward contracts give High River, Icahn Partners nor Icahn Master, as applicable, direct or indirect voting, investment or dispositive control over the Shares to which such contracts relate. F4 · 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. F5 · 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. F6 · 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. F7 · 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 |
| August 12, 2019 Filed Aug 13, 2019 21:19 UTC | CONDUENT Inc CNDT · Entity 1191 | PurchaseCommon Stock, par value $0.01 per share (the "Shares") | 3,076,378 | $6.43 | $19,781,110.54 |
DisclosureSEC source: 0001567619-19-016589 · doc1.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 34,712,092 F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.01 par value shares (the "Shares") of Conduent Incorporated 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, if any. 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 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, if any. 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 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, if any. F6 · ownership.nature: Each of the purchase transactions as set forth on this Form 4 were purchases effected in ordinary course brokerage transactions. F7 · ownership.nature: On or about the date of this Form 4 and after all of the transactions reported on this Form 4, High River directly beneficially owns 7,241,648 Shares, Icahn Partners directly beneficially owns 16,938,901 Shares, and Icahn Master directly beneficially owns 12,027,686 Shares. Read SEC document |
| August 12, 2019 Filed Aug 13, 2019 21:20 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherForward contract (obligation to purchase) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-016591 · doc1.xml · derivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 1 Underlying: Common Stock, par value $0.005 per share ("Shares" · 2,451,758 shares Expires 2021-07-22 F1 · derivative.exercise_price: On August 12, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 490,352 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 1,146,979 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 814,427 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.73 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F1 · kind: On August 12, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 490,352 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 1,146,979 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 814,427 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.73 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F1 · price: On August 12, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 490,352 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 1,146,979 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 814,427 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.73 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F1 · ownership.nature: On August 12, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 490,352 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 1,146,979 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 814,427 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.73 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F3 · ownership.nature: The forward contracts provide for physical settlement, with High River, Icahn Partners and Icahn Master, respectively, retaining the right to elect cash settlement. None of the forward contracts give High River, Icahn Partners nor Icahn Master, as applicable, direct or indirect voting, investment or dispositive control over the Shares to which such contracts relate. F4 · 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. F5 · 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. F6 · 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. F7 · 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 |
| August 09, 2019 Filed Aug 9, 2019 21:21 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherForward contract (obligation to purchase) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-016178 · doc1.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 1 Underlying: Shares · 3,294,839 shares Expires 2021-07-22 F2 · derivative.exercise_price: On August 9, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 658,968 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 1,541,388 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 1,094,483 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.99 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F2 · kind: On August 9, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 658,968 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 1,541,388 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 1,094,483 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.99 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F2 · price: On August 9, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 658,968 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 1,541,388 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 1,094,483 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.99 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F2 · ownership.nature: On August 9, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 658,968 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 1,541,388 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 1,094,483 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.99 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F3 · ownership.nature: The forward contracts provide for physical settlement, with High River, Icahn Partners and Icahn Master, respectively, retaining the right to elect cash settlement. None of the forward contracts give High River, Icahn Partners nor Icahn Master, as applicable, direct or indirect voting, investment or dispositive control over the Shares to which such contracts relate. F4 · 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. F5 · 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. F6 · 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. F7 · 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 |
| August 08, 2019 Filed Aug 8, 2019 17:19 UTC | CAESARS HOLDINGS, INC. CZR · Entity 11848 | OtherForward contracts (obligation to buy) · Derivative | 15,000,000 | Not disclosed Strike: $8.45 | Not disclosed |
DisclosureSEC source: 0001567619-19-016082 · doc1.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 15,000,000 shares Expires 2020-03-11 F1 · derivative.exercise_price: On August 8, 2019, certain of the reporting persons exercised and physically settled forward contracts (the "Forwards") that were entered into on March 10, 2019 with a securities dealer (the "Seller"), purchasing from the Seller an aggregate of 15,000,000 shares of common stock, par value $0.01 per share, of Caesars Entertainment Corporation (the "Issuer"), at a forward price of $8.45 per share. The exercise and settlement of the Forwards and the reported acquisition of Issuer shares in connection therewith are deemed exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-6(b) thereunder. F2 · derivative.exercise_price: The Forwards were held and exercised by the following reporting persons in the respective quantities indicated: High River Limited Partnership ("High River") (as to 3,000,000 shares), Icahn Partners LP ("Icahn Partners") (as to 7,025,220 shares), and Icahn Partners Master Fund LP ("Icahn Master") (as to 4,974,780 shares). The Forwards provided for an expiration date of March 11, 2020, unless earlier exercise and settlement were elected. F1 · kind: On August 8, 2019, certain of the reporting persons exercised and physically settled forward contracts (the "Forwards") that were entered into on March 10, 2019 with a securities dealer (the "Seller"), purchasing from the Seller an aggregate of 15,000,000 shares of common stock, par value $0.01 per share, of Caesars Entertainment Corporation (the "Issuer"), at a forward price of $8.45 per share. The exercise and settlement of the Forwards and the reported acquisition of Issuer shares in connection therewith are deemed exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-6(b) thereunder. F2 · kind: The Forwards were held and exercised by the following reporting persons in the respective quantities indicated: High River Limited Partnership ("High River") (as to 3,000,000 shares), Icahn Partners LP ("Icahn Partners") (as to 7,025,220 shares), and Icahn Partners Master Fund LP ("Icahn Master") (as to 4,974,780 shares). The Forwards provided for an expiration date of March 11, 2020, unless earlier exercise and settlement were elected. F1 · price: On August 8, 2019, certain of the reporting persons exercised and physically settled forward contracts (the "Forwards") that were entered into on March 10, 2019 with a securities dealer (the "Seller"), purchasing from the Seller an aggregate of 15,000,000 shares of common stock, par value $0.01 per share, of Caesars Entertainment Corporation (the "Issuer"), at a forward price of $8.45 per share. The exercise and settlement of the Forwards and the reported acquisition of Issuer shares in connection therewith are deemed exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-6(b) thereunder. F2 · price: The Forwards were held and exercised by the following reporting persons in the respective quantities indicated: High River Limited Partnership ("High River") (as to 3,000,000 shares), Icahn Partners LP ("Icahn Partners") (as to 7,025,220 shares), and Icahn Partners Master Fund LP ("Icahn Master") (as to 4,974,780 shares). The Forwards provided for an expiration date of March 11, 2020, unless earlier exercise and settlement were elected. F1 · derivative.exercise_date: On August 8, 2019, certain of the reporting persons exercised and physically settled forward contracts (the "Forwards") that were entered into on March 10, 2019 with a securities dealer (the "Seller"), purchasing from the Seller an aggregate of 15,000,000 shares of common stock, par value $0.01 per share, of Caesars Entertainment Corporation (the "Issuer"), at a forward price of $8.45 per share. The exercise and settlement of the Forwards and the reported acquisition of Issuer shares in connection therewith are deemed exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-6(b) thereunder. F2 · derivative.exercise_date: The Forwards were held and exercised by the following reporting persons in the respective quantities indicated: High River Limited Partnership ("High River") (as to 3,000,000 shares), Icahn Partners LP ("Icahn Partners") (as to 7,025,220 shares), and Icahn Partners Master Fund LP ("Icahn Master") (as to 4,974,780 shares). The Forwards provided for an expiration date of March 11, 2020, unless earlier exercise and settlement were elected. F1 · derivative.expiration_date: On August 8, 2019, certain of the reporting persons exercised and physically settled forward contracts (the "Forwards") that were entered into on March 10, 2019 with a securities dealer (the "Seller"), purchasing from the Seller an aggregate of 15,000,000 shares of common stock, par value $0.01 per share, of Caesars Entertainment Corporation (the "Issuer"), at a forward price of $8.45 per share. The exercise and settlement of the Forwards and the reported acquisition of Issuer shares in connection therewith are deemed exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-6(b) thereunder. F2 · derivative.expiration_date: The Forwards were held and exercised by the following reporting persons in the respective quantities indicated: High River Limited Partnership ("High River") (as to 3,000,000 shares), Icahn Partners LP ("Icahn Partners") (as to 7,025,220 shares), and Icahn Partners Master Fund LP ("Icahn Master") (as to 4,974,780 shares). The Forwards provided for an expiration date of March 11, 2020, unless earlier exercise and settlement were elected. F1 · ownership.nature: On August 8, 2019, certain of the reporting persons exercised and physically settled forward contracts (the "Forwards") that were entered into on March 10, 2019 with a securities dealer (the "Seller"), purchasing from the Seller an aggregate of 15,000,000 shares of common stock, par value $0.01 per share, of Caesars Entertainment Corporation (the "Issuer"), at a forward price of $8.45 per share. The exercise and settlement of the Forwards and the reported acquisition of Issuer shares in connection therewith are deemed exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-6(b) thereunder. F2 · ownership.nature: The Forwards were held and exercised by the following reporting persons in the respective quantities indicated: High River Limited Partnership ("High River") (as to 3,000,000 shares), Icahn Partners LP ("Icahn Partners") (as to 7,025,220 shares), and Icahn Partners Master Fund LP ("Icahn Master") (as to 4,974,780 shares). The Forwards provided for an expiration date of March 11, 2020, unless earlier exercise and settlement were elected. F3 · 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. F4 · 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 securities which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such securities except to the extent of their pecuniary interest therein. F5 · 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 securities 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 securities except to the extent of their pecuniary interest therein. F6 · 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 securities 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 securities except to the extent of their pecuniary interest therein. Read SEC document |
| August 08, 2019 Filed Aug 8, 2019 17:19 UTC | CAESARS HOLDINGS, INC. CZR · Entity 11848 | OtherCommon Stock, $0.01 par value per share | 15,000,000 | $8.45 | $126,750,000.00 |
DisclosureSEC source: 0001567619-19-016082 · doc1.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 114,250,942 F1 · kind: On August 8, 2019, certain of the reporting persons exercised and physically settled forward contracts (the "Forwards") that were entered into on March 10, 2019 with a securities dealer (the "Seller"), purchasing from the Seller an aggregate of 15,000,000 shares of common stock, par value $0.01 per share, of Caesars Entertainment Corporation (the "Issuer"), at a forward price of $8.45 per share. The exercise and settlement of the Forwards and the reported acquisition of Issuer shares in connection therewith are deemed exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-6(b) thereunder. F2 · kind: The Forwards were held and exercised by the following reporting persons in the respective quantities indicated: High River Limited Partnership ("High River") (as to 3,000,000 shares), Icahn Partners LP ("Icahn Partners") (as to 7,025,220 shares), and Icahn Partners Master Fund LP ("Icahn Master") (as to 4,974,780 shares). The Forwards provided for an expiration date of March 11, 2020, unless earlier exercise and settlement were elected. F1 · price: On August 8, 2019, certain of the reporting persons exercised and physically settled forward contracts (the "Forwards") that were entered into on March 10, 2019 with a securities dealer (the "Seller"), purchasing from the Seller an aggregate of 15,000,000 shares of common stock, par value $0.01 per share, of Caesars Entertainment Corporation (the "Issuer"), at a forward price of $8.45 per share. The exercise and settlement of the Forwards and the reported acquisition of Issuer shares in connection therewith are deemed exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-6(b) thereunder. F2 · price: The Forwards were held and exercised by the following reporting persons in the respective quantities indicated: High River Limited Partnership ("High River") (as to 3,000,000 shares), Icahn Partners LP ("Icahn Partners") (as to 7,025,220 shares), and Icahn Partners Master Fund LP ("Icahn Master") (as to 4,974,780 shares). The Forwards provided for an expiration date of March 11, 2020, unless earlier exercise and settlement were elected. F1 · ownership.nature: On August 8, 2019, certain of the reporting persons exercised and physically settled forward contracts (the "Forwards") that were entered into on March 10, 2019 with a securities dealer (the "Seller"), purchasing from the Seller an aggregate of 15,000,000 shares of common stock, par value $0.01 per share, of Caesars Entertainment Corporation (the "Issuer"), at a forward price of $8.45 per share. The exercise and settlement of the Forwards and the reported acquisition of Issuer shares in connection therewith are deemed exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-6(b) thereunder. F2 · ownership.nature: The Forwards were held and exercised by the following reporting persons in the respective quantities indicated: High River Limited Partnership ("High River") (as to 3,000,000 shares), Icahn Partners LP ("Icahn Partners") (as to 7,025,220 shares), and Icahn Partners Master Fund LP ("Icahn Master") (as to 4,974,780 shares). The Forwards provided for an expiration date of March 11, 2020, unless earlier exercise and settlement were elected. F3 · 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. F4 · 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 securities which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such securities except to the extent of their pecuniary interest therein. F5 · 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 securities 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 securities except to the extent of their pecuniary interest therein. F6 · 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 securities 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 securities except to the extent of their pecuniary interest therein. Read SEC document |
| August 08, 2019 Filed Aug 9, 2019 21:21 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherForward contract (obligation to purchase) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-016178 · doc1.xml · derivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 1 Underlying: Common Stock, par value $0.005 per share ("Shares" · 1,868,576 shares Expires 2021-07-22 F1 · derivative.exercise_price: On August 8, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 373,715 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 874,156 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 620,705 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.94 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F1 · kind: On August 8, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 373,715 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 874,156 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 620,705 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.94 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F1 · price: On August 8, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 373,715 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 874,156 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 620,705 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.94 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F1 · ownership.nature: On August 8, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 373,715 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 874,156 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 620,705 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.94 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F3 · ownership.nature: The forward contracts provide for physical settlement, with High River, Icahn Partners and Icahn Master, respectively, retaining the right to elect cash settlement. None of the forward contracts give High River, Icahn Partners nor Icahn Master, as applicable, direct or indirect voting, investment or dispositive control over the Shares to which such contracts relate. F4 · 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. F5 · 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. F6 · 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. F7 · 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 |
| August 07, 2019 Filed Aug 7, 2019 21:02 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherForward contract (obligation to purchase) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-015948 · doc1.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 1 Underlying: Shares · 4,075,549 shares Expires 2021-07-22 F2 · derivative.exercise_price: On August 7, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 815,110 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 1,906,619 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 1,353,820 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.58 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F2 · kind: On August 7, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 815,110 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 1,906,619 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 1,353,820 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.58 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F2 · price: On August 7, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 815,110 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 1,906,619 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 1,353,820 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.58 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F2 · ownership.nature: On August 7, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 815,110 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 1,906,619 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 1,353,820 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.58 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F3 · ownership.nature: The forward contracts provide for physical settlement, with High River, Icahn Partners and Icahn Master, respectively, retaining the right to elect cash settlement. None of the forward contracts give High River, Icahn Partners nor Icahn Master, as applicable, direct or indirect voting, investment or dispositive control over the Shares to which such contracts relate. F4 · 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. F5 · 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. F6 · 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. F7 · 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 |
| August 06, 2019 Filed Aug 7, 2019 21:02 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherForward contract (obligation to purchase) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-015948 · doc1.xml · derivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 1 Underlying: Common Stock, par value $0.005 per share ("Shares" · 1,575,000 shares Expires 2021-07-22 F1 · derivative.exercise_price: On August 6, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 315,000 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 736,815 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 523,185 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.45 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F1 · kind: On August 6, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 315,000 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 736,815 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 523,185 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.45 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F1 · price: On August 6, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 315,000 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 736,815 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 523,185 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.45 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F1 · ownership.nature: On August 6, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 315,000 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 736,815 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 523,185 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.45 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F3 · ownership.nature: The forward contracts provide for physical settlement, with High River, Icahn Partners and Icahn Master, respectively, retaining the right to elect cash settlement. None of the forward contracts give High River, Icahn Partners nor Icahn Master, as applicable, direct or indirect voting, investment or dispositive control over the Shares to which such contracts relate. F4 · 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. F5 · 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. F6 · 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. F7 · 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 |
| August 05, 2019 Filed Aug 5, 2019 21:04 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherForward contract (obligation to purchase) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-015811 · doc1.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 1 Underlying: Shares · 3,273,035 shares Expires 2021-07-22 F2 · derivative.exercise_price: On August 5, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 654,607 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 1,531,188 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 1,087,240 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.50 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F2 · kind: On August 5, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 654,607 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 1,531,188 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 1,087,240 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.50 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F2 · price: On August 5, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 654,607 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 1,531,188 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 1,087,240 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.50 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F2 · ownership.nature: On August 5, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 654,607 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 1,531,188 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 1,087,240 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.50 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F3 · ownership.nature: The forward contracts provide for physical settlement, with High River, Icahn Partners and Icahn Master, respectively, retaining the right to elect cash settlement. None of the forward contracts give High River, Icahn Partners nor Icahn Master, as applicable, direct or indirect voting, investment or dispositive control over the Shares to which such contracts relate. F4 · 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. F5 · 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. F6 · 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. F7 · 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 |
| August 02, 2019 Filed Aug 5, 2019 21:04 UTC | Cloudera, Inc. CLDR · Entity 11702 | OtherForward contract (obligation to purchase) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-015811 · doc1.xml · derivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 1 Underlying: Common Stock, par value $0.005 per share ("Shares" · 1,648,299 shares Expires 2021-07-22 F1 · derivative.exercise_price: On August 2, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 329,660 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 771,105 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 547,534 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.54 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F1 · kind: On August 2, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 329,660 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 771,105 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 547,534 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.54 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F1 · price: On August 2, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 329,660 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 771,105 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 547,534 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.54 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F1 · ownership.nature: On August 2, 2019, High River Limited Partnership ("High River") entered into a forward contract providing for the purchase by High River of 329,660 Shares, Icahn Partners LP ("Icahn Partners") entered into a forward contract providing for the purchase by Icahn Partners of 771,105 Shares and Icahn Partners Master Fund LP ("Icahn Master") entered into a forward contract providing for the purchase by Icahn Master of 547,534 Shares, in each case at a forward price of $5.00 per Share, plus a financing charge. In addition, as part of the purchase price for the Shares, each of High River, Icahn Partners and Icahn Master paid the counterparty to the forward contracts $1.54 per Share upon establishing the forward contracts. Subject to the rights of High River, Icahn Partners and Icahn Master to accelerate the settlement dates, the forward contracts will settle on July 22, 2021. F3 · ownership.nature: The forward contracts provide for physical settlement, with High River, Icahn Partners and Icahn Master, respectively, retaining the right to elect cash settlement. None of the forward contracts give High River, Icahn Partners nor Icahn Master, as applicable, direct or indirect voting, investment or dispositive control over the Shares to which such contracts relate. F4 · 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. F5 · 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. F6 · 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. F7 · 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 |
| July 12, 2019 Filed Jul 16, 2019 20:35 UTC | HERTZ GLOBAL HOLDINGS, INC HTZ · Entity 5147 | OtherSubscription rights (right to buy) · Derivative | 16,700,456 | $0.00 Strike: $12.95 | $0.00 |
DisclosureSEC source: 0001567619-19-014858 · doc1.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see all footnotes Disclosed balance after: 0 Underlying: Common Stock · 16,700,456 shares Expires 2019-07-12 F1 · kind: Represents the exercise on July 12, 2019 of an aggregate of 16,700,456 basic subscription rights (consisting of 3,340,090 subscription rights exercised by High River Limited Partnership ("High River"), 7,821,643 subscription rights exercised by Icahn Partners LP ("Icahn Partners"), and 5,538,723 subscription rights exercised by Icahn Partners Master Fund LP ("Icahn Master")). The subscription rights, each of which entitled its holder to purchase 0.688285 shares of common stock ("Shares") of Hertz Global Holdings, Inc. (the "Issuer") at a subscription price equal to $12.95 per whole Share, were distributed to all holders of Shares of the Issuer on a pro rata basis on the June 24, 2019 record date for the Issuer's rights offering. Pursuant to the pro rata over-subscription rights made available to all holders in connection with the Issuer's rights offering, also on July 12, 2019, the reporting persons subscribed for additional Shares that remain unsubscribed as a result of any unexerci F1 · shares: Represents the exercise on July 12, 2019 of an aggregate of 16,700,456 basic subscription rights (consisting of 3,340,090 subscription rights exercised by High River Limited Partnership ("High River"), 7,821,643 subscription rights exercised by Icahn Partners LP ("Icahn Partners"), and 5,538,723 subscription rights exercised by Icahn Partners Master Fund LP ("Icahn Master")). The subscription rights, each of which entitled its holder to purchase 0.688285 shares of common stock ("Shares") of Hertz Global Holdings, Inc. (the "Issuer") at a subscription price equal to $12.95 per whole Share, were distributed to all holders of Shares of the Issuer on a pro rata basis on the June 24, 2019 record date for the Issuer's rights offering. Pursuant to the pro rata over-subscription rights made available to all holders in connection with the Issuer's rights offering, also on July 12, 2019, the reporting persons subscribed for additional Shares that remain unsubscribed as a result of any unexerci F1 · ownership.nature: Represents the exercise on July 12, 2019 of an aggregate of 16,700,456 basic subscription rights (consisting of 3,340,090 subscription rights exercised by High River Limited Partnership ("High River"), 7,821,643 subscription rights exercised by Icahn Partners LP ("Icahn Partners"), and 5,538,723 subscription rights exercised by Icahn Partners Master Fund LP ("Icahn Master")). The subscription rights, each of which entitled its holder to purchase 0.688285 shares of common stock ("Shares") of Hertz Global Holdings, Inc. (the "Issuer") at a subscription price equal to $12.95 per whole Share, were distributed to all holders of Shares of the Issuer on a pro rata basis on the June 24, 2019 record date for the Issuer's rights offering. Pursuant to the pro rata over-subscription rights made available to all holders in connection with the Issuer's rights offering, also on July 12, 2019, the reporting persons subscribed for additional Shares that remain unsubscribed as a result of any unexerci F2 · ownership.nature: High River directly beneficially owns 8,192,863 Shares, Icahn Partners directly beneficially owns 19,185,603 Shares, and Icahn Master directly beneficially owns 13,585,859 Shares. F3 · 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. F4 · 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. F5 · 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. F6 · 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 |
| July 12, 2019 Filed Jul 16, 2019 20:35 UTC | HERTZ GLOBAL HOLDINGS, INC HTZ · Entity 5147 | OtherCommon Stock | 16,700,456 | $12.95 | $216,270,905.20 |
DisclosureSEC source: 0001567619-19-014858 · doc1.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see footnotes Disclosed balance after: 40,964,325 F1 · kind: Represents the exercise on July 12, 2019 of an aggregate of 16,700,456 basic subscription rights (consisting of 3,340,090 subscription rights exercised by High River Limited Partnership ("High River"), 7,821,643 subscription rights exercised by Icahn Partners LP ("Icahn Partners"), and 5,538,723 subscription rights exercised by Icahn Partners Master Fund LP ("Icahn Master")). The subscription rights, each of which entitled its holder to purchase 0.688285 shares of common stock ("Shares") of Hertz Global Holdings, Inc. (the "Issuer") at a subscription price equal to $12.95 per whole Share, were distributed to all holders of Shares of the Issuer on a pro rata basis on the June 24, 2019 record date for the Issuer's rights offering. Pursuant to the pro rata over-subscription rights made available to all holders in connection with the Issuer's rights offering, also on July 12, 2019, the reporting persons subscribed for additional Shares that remain unsubscribed as a result of any unexerci F1 · shares: Represents the exercise on July 12, 2019 of an aggregate of 16,700,456 basic subscription rights (consisting of 3,340,090 subscription rights exercised by High River Limited Partnership ("High River"), 7,821,643 subscription rights exercised by Icahn Partners LP ("Icahn Partners"), and 5,538,723 subscription rights exercised by Icahn Partners Master Fund LP ("Icahn Master")). The subscription rights, each of which entitled its holder to purchase 0.688285 shares of common stock ("Shares") of Hertz Global Holdings, Inc. (the "Issuer") at a subscription price equal to $12.95 per whole Share, were distributed to all holders of Shares of the Issuer on a pro rata basis on the June 24, 2019 record date for the Issuer's rights offering. Pursuant to the pro rata over-subscription rights made available to all holders in connection with the Issuer's rights offering, also on July 12, 2019, the reporting persons subscribed for additional Shares that remain unsubscribed as a result of any unexerci F1 · ownership.nature: Represents the exercise on July 12, 2019 of an aggregate of 16,700,456 basic subscription rights (consisting of 3,340,090 subscription rights exercised by High River Limited Partnership ("High River"), 7,821,643 subscription rights exercised by Icahn Partners LP ("Icahn Partners"), and 5,538,723 subscription rights exercised by Icahn Partners Master Fund LP ("Icahn Master")). The subscription rights, each of which entitled its holder to purchase 0.688285 shares of common stock ("Shares") of Hertz Global Holdings, Inc. (the "Issuer") at a subscription price equal to $12.95 per whole Share, were distributed to all holders of Shares of the Issuer on a pro rata basis on the June 24, 2019 record date for the Issuer's rights offering. Pursuant to the pro rata over-subscription rights made available to all holders in connection with the Issuer's rights offering, also on July 12, 2019, the reporting persons subscribed for additional Shares that remain unsubscribed as a result of any unexerci F2 · ownership.nature: High River directly beneficially owns 8,192,863 Shares, Icahn Partners directly beneficially owns 19,185,603 Shares, and Icahn Master directly beneficially owns 13,585,859 Shares. F3 · 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. F4 · 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. F5 · 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. F6 · 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 |
| July 12, 2019 Filed Jul 18, 2019 21:20 UTC | HERTZ GLOBAL HOLDINGS, INC HTZ · Entity 5147 | OtherSubscription rights (right to buy) · Derivative | 930,990 | $0.00 Strike: $12.95 | $0.00 |
DisclosureSEC source: 0001567619-19-014989 · doc1.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see all footnotes Disclosed balance after: 0 Underlying: Common Stock · 930,990 shares Expires 2019-07-12 F1 · kind: Represents the exercise of an aggregate of 930,990 over subscription rights (consisting of 323,531 over subscription rights exercised by High River Limited Partnership ("High River"), 296,963 over subscription rights exercised by Icahn Partners LP ("Icahn Partners"), and 310,496 over subscription rights exercised by Icahn Partners Master Fund LP ("Icahn Master")). The over subscription rights, each of which entitled its holder to purchase 0.688285 shares of common stock ("Shares") of Hertz Global Holdings, Inc. (the "Issuer") at a subscription price equal to $12.95 per whole Share, were available to all holders of Shares of the Issuer on a pro rata basis on the June 24, 2019 record date for the Issuer's rights offering. The Issuer allocated the over subscription rights, on a pro rata basis, on July 18, 2019. F1 · shares: Represents the exercise of an aggregate of 930,990 over subscription rights (consisting of 323,531 over subscription rights exercised by High River Limited Partnership ("High River"), 296,963 over subscription rights exercised by Icahn Partners LP ("Icahn Partners"), and 310,496 over subscription rights exercised by Icahn Partners Master Fund LP ("Icahn Master")). The over subscription rights, each of which entitled its holder to purchase 0.688285 shares of common stock ("Shares") of Hertz Global Holdings, Inc. (the "Issuer") at a subscription price equal to $12.95 per whole Share, were available to all holders of Shares of the Issuer on a pro rata basis on the June 24, 2019 record date for the Issuer's rights offering. The Issuer allocated the over subscription rights, on a pro rata basis, on July 18, 2019. F1 · ownership.nature: Represents the exercise of an aggregate of 930,990 over subscription rights (consisting of 323,531 over subscription rights exercised by High River Limited Partnership ("High River"), 296,963 over subscription rights exercised by Icahn Partners LP ("Icahn Partners"), and 310,496 over subscription rights exercised by Icahn Partners Master Fund LP ("Icahn Master")). The over subscription rights, each of which entitled its holder to purchase 0.688285 shares of common stock ("Shares") of Hertz Global Holdings, Inc. (the "Issuer") at a subscription price equal to $12.95 per whole Share, were available to all holders of Shares of the Issuer on a pro rata basis on the June 24, 2019 record date for the Issuer's rights offering. The Issuer allocated the over subscription rights, on a pro rata basis, on July 18, 2019. F2 · ownership.nature: High River directly beneficially owns 8,516,394 Shares, Icahn Partners directly beneficially owns 19,482,566 Shares, and Icahn Master directly beneficially owns 13,896,355 Shares. F3 · 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. F4 · ownership.nature: 4. 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. F5 · 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. F6 · 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 |
| July 12, 2019 Filed Jul 18, 2019 21:20 UTC | HERTZ GLOBAL HOLDINGS, INC HTZ · Entity 5147 | OtherCommon Stock | 930,990 | $12.95 | $12,056,320.50 |
DisclosureSEC source: 0001567619-19-014989 · doc1.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see footnotes Disclosed balance after: 41,895,315 F1 · kind: Represents the exercise of an aggregate of 930,990 over subscription rights (consisting of 323,531 over subscription rights exercised by High River Limited Partnership ("High River"), 296,963 over subscription rights exercised by Icahn Partners LP ("Icahn Partners"), and 310,496 over subscription rights exercised by Icahn Partners Master Fund LP ("Icahn Master")). The over subscription rights, each of which entitled its holder to purchase 0.688285 shares of common stock ("Shares") of Hertz Global Holdings, Inc. (the "Issuer") at a subscription price equal to $12.95 per whole Share, were available to all holders of Shares of the Issuer on a pro rata basis on the June 24, 2019 record date for the Issuer's rights offering. The Issuer allocated the over subscription rights, on a pro rata basis, on July 18, 2019. F1 · shares: Represents the exercise of an aggregate of 930,990 over subscription rights (consisting of 323,531 over subscription rights exercised by High River Limited Partnership ("High River"), 296,963 over subscription rights exercised by Icahn Partners LP ("Icahn Partners"), and 310,496 over subscription rights exercised by Icahn Partners Master Fund LP ("Icahn Master")). The over subscription rights, each of which entitled its holder to purchase 0.688285 shares of common stock ("Shares") of Hertz Global Holdings, Inc. (the "Issuer") at a subscription price equal to $12.95 per whole Share, were available to all holders of Shares of the Issuer on a pro rata basis on the June 24, 2019 record date for the Issuer's rights offering. The Issuer allocated the over subscription rights, on a pro rata basis, on July 18, 2019. F1 · ownership.nature: Represents the exercise of an aggregate of 930,990 over subscription rights (consisting of 323,531 over subscription rights exercised by High River Limited Partnership ("High River"), 296,963 over subscription rights exercised by Icahn Partners LP ("Icahn Partners"), and 310,496 over subscription rights exercised by Icahn Partners Master Fund LP ("Icahn Master")). The over subscription rights, each of which entitled its holder to purchase 0.688285 shares of common stock ("Shares") of Hertz Global Holdings, Inc. (the "Issuer") at a subscription price equal to $12.95 per whole Share, were available to all holders of Shares of the Issuer on a pro rata basis on the June 24, 2019 record date for the Issuer's rights offering. The Issuer allocated the over subscription rights, on a pro rata basis, on July 18, 2019. F2 · ownership.nature: High River directly beneficially owns 8,516,394 Shares, Icahn Partners directly beneficially owns 19,482,566 Shares, and Icahn Master directly beneficially owns 13,896,355 Shares. F3 · 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. F4 · ownership.nature: 4. 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. F5 · 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. F6 · 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 |
| May 22, 2019 Filed May 23, 2019 21:00 UTC | CONDUENT Inc CNDT · Entity 1191 | PurchaseShares | 16,270 | $9.00 | $146,430.00 |
DisclosureSEC source: 0001567619-19-011978 · doc1.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 31,635,714 F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.01 par value shares (the "Shares") of Conduent Incorporated 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, if any. 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 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, if any. 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 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, if any. F6 · ownership.nature: Each of the purchase transactions as set forth on this Form 4 were purchases effected in ordinary course brokerage transactions. F7 · ownership.nature: On or about the date of this Form 4 and after all of the transactions reported on this Form 4, High River directly beneficially owns 6,327,143 Shares, Icahn Partners directly beneficially owns 14,810,317 Shares, and Icahn Master directly beneficially owns 10,498,254 Shares. Read SEC document |
| May 21, 2019 Filed May 23, 2019 21:00 UTC | CONDUENT Inc CNDT · Entity 1191 | PurchaseCommon Stock, par value $0.01 per share (the "Shares") | 194,889 | $9.00 | $1,754,001.00 |
DisclosureSEC source: 0001567619-19-011978 · doc1.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 31,619,444 F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.01 par value shares (the "Shares") of Conduent Incorporated 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, if any. 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 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, if any. 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 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, if any. F6 · ownership.nature: Each of the purchase transactions as set forth on this Form 4 were purchases effected in ordinary course brokerage transactions. F7 · ownership.nature: On or about the date of this Form 4 and after all of the transactions reported on this Form 4, High River directly beneficially owns 6,327,143 Shares, Icahn Partners directly beneficially owns 14,810,317 Shares, and Icahn Master directly beneficially owns 10,498,254 Shares. Read SEC document |
| May 20, 2019 Filed May 20, 2019 21:01 UTC | CONDUENT Inc CNDT · Entity 1191 | PurchaseShares | 607,174 | $8.89 | $5,397,776.86 |
DisclosureSEC source: 0001567619-19-011665 · doc1.xml · nonDerivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 31,424,555 F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.01 par value shares (the "Shares") of Conduent Incorporated 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, if any. 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 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, if any. 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 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, if any. F6 · ownership.nature: Each of the purchase transactions as set forth on this Form 4 were purchases effected in ordinary course brokerage transactions. F7 · ownership.nature: On or about the date of this Form 4 and after all of the transactions reported on this Form 4, High River directly beneficially owns 6,284,911 Shares, Icahn Partners directly beneficially owns 14,711,463 Shares, and Icahn Master directly beneficially owns 10,428,181 Shares. Read SEC document |
| May 17, 2019 Filed May 20, 2019 21:01 UTC | CONDUENT Inc CNDT · Entity 1191 | PurchaseShares | 1,350,000 | $8.82 | $11,907,000.00 |
DisclosureSEC source: 0001567619-19-011665 · doc1.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 30,817,381 F1 · ownership.nature: This Form 4 is being filed by, and on behalf of, Mr. Carl C. Icahn, High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), and Icahn Partners Master Fund LP ("Icahn Master," and, collectively with Mr. Icahn, High River, and Icahn Partners, the "Reporting Persons"). 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 Mr. 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 Securities Exchange Act of 1934, as amended (the "Act")), the common stock, $0.01 par value shares (the "Shares") of Conduent Incorporated 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, if any. 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 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, if any. 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 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, if any. F6 · ownership.nature: Each of the purchase transactions as set forth on this Form 4 were purchases effected in ordinary course brokerage transactions. F7 · ownership.nature: On or about the date of this Form 4 and after all of the transactions reported on this Form 4, High River directly beneficially owns 6,284,911 Shares, Icahn Partners directly beneficially owns 14,711,463 Shares, and Icahn Master directly beneficially owns 10,428,181 Shares. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.