organization · Reporting owner
ICAHN PARTNERS MASTER FUND II L.P.
Disclosed activity across 14 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 |
| CVR ENERGY INCCVI · Entity 4008 | 10% owner · please see all footnotes | February 06, 2012 | February 07, 2012 |
| HAIN CELESTIAL GROUP INCHAIN · Entity 7055 | 10% owner | November 24, 2010 | November 29, 2010 |
| HERBALIFE LTD.HLF · Entity 4842 | 10% owner | May 03, 2013 | May 07, 2013 |
| MENTOR GRAPHICS CORPMENT · Entity 12420 | 10% owner | August 24, 2010 | August 24, 2010 |
| NAVISTAR INTERNATIONAL CORPNAV · Entity 11733 | 10% owner | July 18, 2013 | July 19, 2013 |
| Tropicana Entertainment Inc.TROP · Entity 12088 | 10% owner | November 15, 2010 | November 17, 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, HIGH RIVER LIMITED PARTNERSHIP, ICAHN PARTNERS MASTER FUND LP, 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.
CVR ENERGY INC
Report date February 06, 2012 · Filed February 07, 2012
Jointly reported with ICAHN CARL C, HIGH RIVER LIMITED PARTNERSHIP, ICAHN PARTNERS MASTER FUND LP, 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.
HAIN CELESTIAL GROUP INC
Report date November 24, 2010 · Filed November 29, 2010
Jointly reported with ICAHN CARL C, IPH GP LLC, ICAHN PARTNERS LP, ICAHN PARTNERS MASTER FUND LP, ICAHN PARTNERS MASTER FUND III 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 May 03, 2013 · Filed May 07, 2013
Jointly reported with ICAHN CARL C, HIGH RIVER LIMITED PARTNERSHIP, ICAHN PARTNERS LP, ICAHN PARTNERS MASTER FUND LP, ICAHN PARTNERS MASTER FUND III L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares, par value $0.001 per share ("Common Shares")SEC Table I · non-derivative | Indirectpleasee see all footnotes | 16,966,485 |
Reported balance
After 2013-05-03 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2013-05-03 · Purchase · Acquired 611,354 · Balance 16,966,485 F1: High River Limited Partnership ("High River") directly beneficially owns 3,393,296 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,119,296 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,403,406 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,118,195 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 932,292 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. |
Filing footnotes · ownership attribution and instrument terms
F1: High River Limited Partnership ("High River") directly beneficially owns 3,393,296 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,119,296 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,403,406 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,118,195 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 932,292 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.
MENTOR GRAPHICS CORP
Report date August 24, 2010 · Filed August 24, 2010
Jointly reported with ICAHN CARL C, HIGH RIVER LIMITED PARTNERSHIP, ICAHN PARTNERS MASTER FUND LP, 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.
NAVISTAR INTERNATIONAL CORP
Report date July 18, 2013 · Filed July 19, 2013
Jointly reported with ICAHN CARL C, HIGH RIVER LIMITED PARTNERSHIP, ICAHN PARTNERS MASTER FUND LP, ICAHN PARTNERS MASTER FUND III L.P., ICAHN PARTNERS LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 13,309,735 |
Last balance in matching sequence
After 2013-07-19 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2013-07-18 · Purchase · Acquired 654,279 · Balance 13,145,735 F1: High River Limited Partnership ("High River") directly beneficially owns 2,661,946 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,015,130 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,241,590 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,660,223 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 730,846 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. Row 2 · 2013-07-19 · Purchase · Acquired 164,000 · Balance 13,309,735 F1: High River Limited Partnership ("High River") directly beneficially owns 2,661,946 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,015,130 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,241,590 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,660,223 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 730,846 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. |
Filing footnotes · ownership attribution and instrument terms
F1: High River Limited Partnership ("High River") directly beneficially owns 2,661,946 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,015,130 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,241,590 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,660,223 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 730,846 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.
Tropicana Entertainment Inc.
Report date November 15, 2010 · Filed November 17, 2010
Jointly reported with ICAHN CARL C, ICAHN OFFSHORE LP, ICAHN ONSHORE LP, ICAHN CAPITAL LP, ICAHN ENTERPRISES G.P. INC., ICAHN ENTERPRISES HOLDINGS L.P., BECKTON CORP, ICAHN PARTNERS MASTER FUND LP, ICAHN PARTNERS MASTER FUND III L.P.
| 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 | 13,538,446 |
Reported balance
After 2010-11-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2010-11-15 · Purchase · Acquired 668,000 · Balance 13,538,446 F1: Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,006,942 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,668,033 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,064,794 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 798,677 Shares. F2: 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: 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 Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III. 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 17, 2010, filed separately by certain other related Reporting Persons. |
Filing footnotes · ownership attribution and instrument terms
F1: Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,006,942 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,668,033 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,064,794 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 798,677 Shares.
F2: 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: 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 Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III.
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 17, 2010, filed separately by certain other related Reporting Persons.
Past disclosures · reporting ended (7)
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, ICAHN PARTNERS LP, ICAHN CAPITAL LP, ICAHN PARTNERS MASTER FUND LP, ICAHN PARTNERS MASTER FUND III L.P.
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: Barberry, Beckton, High River, Hopper, Icahn Enterprises GP, Icahn Enterprises Holdings, IPH, Icahn Offshore and Icahn Onshore. 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: Barberry, Beckton, High River, Hopper, Icahn Enterprises GP, Icahn Enterprises Holdings, IPH, Icahn Offshore and Icahn Onshore. |
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: Barberry, Beckton, High River, Hopper, Icahn Enterprises GP, Icahn Enterprises Holdings, IPH, Icahn Offshore and Icahn Onshore.
BLOCKBUSTER INC
Report date March 30, 2010 · Filed April 01, 2010
Jointly reported with ICAHN CARL C, HIGH RIVER LIMITED PARTNERSHIP, Hopper Investments LLC, BARBERRY CORP., ICAHN PARTNERS MASTER FUND LP, 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.
DELL INC
Report date September 12, 2013 · Filed September 12, 2013
Jointly reported with ICAHN CARL C, HIGH RIVER LIMITED PARTNERSHIP, ICAHN PARTNERS LP, ICAHN PARTNERS MASTER FUND LP, 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.
Guaranty Financial Group Inc.
Report date October 09, 2009 · Filed October 13, 2009
Jointly reported with ICAHN CARL C, HIGH RIVER LIMITED PARTNERSHIP, ICAHN PARTNERS MASTER FUND LP, 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.
STARZ ENTERTAINMENT CORP /CN/
Report date October 13, 2011 · Filed October 14, 2011
Jointly reported with ICAHN CARL C, HIGH RIVER LIMITED PARTNERSHIP, ICAHN PARTNERS MASTER FUND LP, 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, HIGH RIVER LIMITED PARTNERSHIP, ICAHN PARTNERS MASTER FUND LP, 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, HIGH RIVER LIMITED PARTNERSHIP, ICAHN PARTNERS LP, ICAHN PARTNERS MASTER FUND LP, 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 |
|---|---|---|---|---|---|---|
| August 24, 2010 Filed Aug 24, 2010 17:09 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | OtherPut Option · Derivative | 8,235,066 | $0.01 Strike: $5.65 | $82,350.66 |
DisclosureSEC source: 0001104659-10-045753 · a4.xml · derivative · entry 5 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Shares · 8,235,066 shares Expires 2012-06-07 F1 · ownership.nature: 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 · 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 · 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 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 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: The exercise price upon exercise of the Call Options was $5.65 and the average premium paid for the Call Options was $3.58. Read SEC document |
| August 24, 2010 Filed Aug 24, 2010 17:09 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | OtherCall Option · Derivative | 8,235,066 | $3.58 Strike: $5.65 | $29,481,536.28 |
DisclosureSEC source: 0001104659-10-045753 · a4.xml · derivative · entry 4 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Shares · 8,235,066 shares Expires 2012-06-07 F1 · ownership.nature: 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 · 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 · 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 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 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: The exercise price upon exercise of the Call Options was $5.65 and the average premium paid for the Call Options was $3.58. Read SEC document |
| August 24, 2010 Filed Aug 24, 2010 17:09 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | OtherCommon stock, no par value (''Shares'') | 8,235,066 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-10-045753 · a4.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 16,003,889 F8 · price: 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 · ownership.nature: 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 · 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 · 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 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 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: The exercise price upon exercise of the Call Options was $5.65 and the average premium paid for the Call Options was $3.58. Read SEC document |
| August 18, 2010 Filed Aug 24, 2010 17:09 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option (''obligation to purchase'') · Derivative | 100,000 | $0.01 Strike: $5.65 | $1,000.00 |
DisclosureSEC source: 0001104659-10-045753 · a4.xml · derivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,235,066 Underlying: Shares · 100,000 shares Expires 2012-06-07 F1 · ownership.nature: 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 · 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 · 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 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 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: The exercise price upon exercise of the Call Options was $5.65 and the average premium paid for the Call Options was $3.58. Read SEC document |
| August 18, 2010 Filed Aug 24, 2010 17:09 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option (''right to purchase'') · Derivative | 100,000 | $3.77 Strike: $5.65 | $377,000.00 |
DisclosureSEC source: 0001104659-10-045753 · a4.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,235,066 Underlying: Shares · 100,000 shares Expires 2012-06-07 F1 · ownership.nature: 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 · 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 · 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 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 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: The exercise price upon exercise of the Call Options was $5.65 and the average premium paid for the Call Options was $3.58. Read SEC document |
| August 17, 2010 Filed Aug 17, 2010 17:01 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option · Derivative | 78,514 | $0.01 Strike: $5.65 | $785.14 |
DisclosureSEC source: 0001140361-10-034089 · doc1.xml · derivative · entry 6 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 8,135,066 Underlying: see footnote · 78,514 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 8,135,066 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 8,135,066 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,180,777 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,846,224 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,497,049 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,602,592 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 777,247 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,627,013 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,584,797 Call Options, Icahn Master directly beneficially owns 2,829,720 Call Options, Icahn Master II directly beneficially owns 668,888 Call Options, and Icahn Master III directly beneficially owns 424,648 Call Options. F7 · ownership.nature: High River directly wrote 1,627,013 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,584,797 Put Options, Icahn Master directly wrote 2,829,720Put Options, Icahn Master II directly wrote 668,888 Put Options, and Icahn Master III directly wrote 424,648 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 8,135,066 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 8,135,066 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 17, 2010 Filed Aug 17, 2010 17:01 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option · Derivative | 78,514 | $3.77 Strike: $5.65 | $295,997.78 |
DisclosureSEC source: 0001140361-10-034089 · doc1.xml · derivative · entry 5 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 8,135,066 Underlying: Shares · 78,514 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,180,777 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,846,224 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,497,049 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,602,592 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 777,247 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,627,013 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,584,797 Call Options, Icahn Master directly beneficially owns 2,829,720 Call Options, Icahn Master II directly beneficially owns 668,888 Call Options, and Icahn Master III directly beneficially owns 424,648 Call Options. F7 · ownership.nature: High River directly wrote 1,627,013 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,584,797 Put Options, Icahn Master directly wrote 2,829,720Put Options, Icahn Master II directly wrote 668,888 Put Options, and Icahn Master III directly wrote 424,648 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 8,135,066 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 8,135,066 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 16, 2010 Filed Aug 17, 2010 17:01 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option · Derivative | 100,000 | $0.01 Strike: $5.65 | $1,000.00 |
DisclosureSEC source: 0001140361-10-034089 · doc1.xml · derivative · entry 4 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 8,056,552 Underlying: see footnote · 100,000 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 8,135,066 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 8,135,066 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,180,777 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,846,224 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,497,049 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,602,592 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 777,247 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,627,013 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,584,797 Call Options, Icahn Master directly beneficially owns 2,829,720 Call Options, Icahn Master II directly beneficially owns 668,888 Call Options, and Icahn Master III directly beneficially owns 424,648 Call Options. F7 · ownership.nature: High River directly wrote 1,627,013 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,584,797 Put Options, Icahn Master directly wrote 2,829,720Put Options, Icahn Master II directly wrote 668,888 Put Options, and Icahn Master III directly wrote 424,648 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 8,135,066 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 8,135,066 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 16, 2010 Filed Aug 17, 2010 17:01 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option · Derivative | 100,000 | $3.56 Strike: $5.65 | $356,000.00 |
DisclosureSEC source: 0001140361-10-034089 · doc1.xml · derivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 8,056,552 Underlying: Shares · 100,000 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,180,777 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,846,224 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,497,049 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,602,592 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 777,247 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,627,013 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,584,797 Call Options, Icahn Master directly beneficially owns 2,829,720 Call Options, Icahn Master II directly beneficially owns 668,888 Call Options, and Icahn Master III directly beneficially owns 424,648 Call Options. F7 · ownership.nature: High River directly wrote 1,627,013 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,584,797 Put Options, Icahn Master directly wrote 2,829,720Put Options, Icahn Master II directly wrote 668,888 Put Options, and Icahn Master III directly wrote 424,648 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 8,135,066 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 8,135,066 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 13, 2010 Filed Aug 17, 2010 17:01 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option ("obligation to purchase") · Derivative | 100,000 | $0.01 Strike: $5.65 | $1,000.00 |
DisclosureSEC source: 0001140361-10-034089 · doc1.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 7,956,552 Underlying: see footnote · 100,000 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 8,135,066 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 8,135,066 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,180,777 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,846,224 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,497,049 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,602,592 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 777,247 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,627,013 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,584,797 Call Options, Icahn Master directly beneficially owns 2,829,720 Call Options, Icahn Master II directly beneficially owns 668,888 Call Options, and Icahn Master III directly beneficially owns 424,648 Call Options. F7 · ownership.nature: High River directly wrote 1,627,013 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,584,797 Put Options, Icahn Master directly wrote 2,829,720Put Options, Icahn Master II directly wrote 668,888 Put Options, and Icahn Master III directly wrote 424,648 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 8,135,066 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 8,135,066 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 13, 2010 Filed Aug 17, 2010 17:01 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option ("right to purchase") · Derivative | 100,000 | $3.27 Strike: $5.65 | $327,000.00 |
DisclosureSEC source: 0001140361-10-034089 · doc1.xml · derivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 7,956,552 Underlying: Shares · 100,000 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,180,777 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,846,224 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,497,049 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,602,592 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 777,247 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,627,013 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,584,797 Call Options, Icahn Master directly beneficially owns 2,829,720 Call Options, Icahn Master II directly beneficially owns 668,888 Call Options, and Icahn Master III directly beneficially owns 424,648 Call Options. F7 · ownership.nature: High River directly wrote 1,627,013 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,584,797 Put Options, Icahn Master directly wrote 2,829,720Put Options, Icahn Master II directly wrote 668,888 Put Options, and Icahn Master III directly wrote 424,648 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 8,135,066 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 8,135,066 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 12, 2010 Filed Aug 12, 2010 16:56 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option · Derivative | 110,617 | $0.01 Strike: $5.65 | $1,106.17 |
DisclosureSEC source: 0001140361-10-033130 · doc1.xml · derivative · entry 6 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 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: 7,856,552 Underlying: see footnote · 110,617 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 7,856,552 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,856,552 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,125,074 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,761,355 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,400,783 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,574,527 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 763,636 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,571,310 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,499,928 Call Options, Icahn Master directly beneficially owns 2,733,454 Call Options, Icahn Master II directly beneficially owns 640,823 Call Options, and Icahn Master III directly beneficially owns 411,037 Call Options. F7 · ownership.nature: High River directly wrote 1,571,310 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,499,928 Put Options, Icahn Master directly wrote 2,733,454 Put Options, Icahn Master II directly wrote 640,823 Put Options, and Icahn Master III directly wrote 411,037 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,856,552 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,856,552 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 12, 2010 Filed Aug 12, 2010 16:56 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option · Derivative | 110,617 | $3.43 Strike: $5.65 | $379,416.31 |
DisclosureSEC source: 0001140361-10-033130 · doc1.xml · derivative · entry 5 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 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: 7,856,552 Underlying: Shares · 110,617 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,125,074 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,761,355 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,400,783 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,574,527 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 763,636 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,571,310 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,499,928 Call Options, Icahn Master directly beneficially owns 2,733,454 Call Options, Icahn Master II directly beneficially owns 640,823 Call Options, and Icahn Master III directly beneficially owns 411,037 Call Options. F7 · ownership.nature: High River directly wrote 1,571,310 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,499,928 Put Options, Icahn Master directly wrote 2,733,454 Put Options, Icahn Master II directly wrote 640,823 Put Options, and Icahn Master III directly wrote 411,037 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,856,552 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,856,552 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 11, 2010 Filed Aug 12, 2010 16:56 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option · Derivative | 85,000 | $0.01 Strike: $5.65 | $850.00 |
DisclosureSEC source: 0001140361-10-033130 · doc1.xml · derivative · entry 4 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 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: 7,745,935 Underlying: see footnote · 85,000 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 7,856,552 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,856,552 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,125,074 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,761,355 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,400,783 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,574,527 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 763,636 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,571,310 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,499,928 Call Options, Icahn Master directly beneficially owns 2,733,454 Call Options, Icahn Master II directly beneficially owns 640,823 Call Options, and Icahn Master III directly beneficially owns 411,037 Call Options. F7 · ownership.nature: High River directly wrote 1,571,310 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,499,928 Put Options, Icahn Master directly wrote 2,733,454 Put Options, Icahn Master II directly wrote 640,823 Put Options, and Icahn Master III directly wrote 411,037 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,856,552 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,856,552 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 11, 2010 Filed Aug 12, 2010 16:56 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option · Derivative | 85,000 | $3.69 Strike: $5.65 | $313,650.00 |
DisclosureSEC source: 0001140361-10-033130 · doc1.xml · derivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 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: 7,745,935 Underlying: Shares · 85,000 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,125,074 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,761,355 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,400,783 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,574,527 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 763,636 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,571,310 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,499,928 Call Options, Icahn Master directly beneficially owns 2,733,454 Call Options, Icahn Master II directly beneficially owns 640,823 Call Options, and Icahn Master III directly beneficially owns 411,037 Call Options. F7 · ownership.nature: High River directly wrote 1,571,310 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,499,928 Put Options, Icahn Master directly wrote 2,733,454 Put Options, Icahn Master II directly wrote 640,823 Put Options, and Icahn Master III directly wrote 411,037 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,856,552 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,856,552 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 10, 2010 Filed Aug 11, 2010 21:45 UTC | HAIN CELESTIAL GROUP INC HAIN · Entity 7055 | OtherPut option ("obligation to purchase") · Derivative | 2,025,228 | $0.01 Strike: $11.70 | $20,252.28 |
DisclosureSEC source: 0001140361-10-032860 · doc1.xml · derivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner IPH GP LLC · CIK 0001412091 · 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 · 2,025,228 shares Expires 2012-05-07 F8 · derivative.exercise_date: The options were exercisable starting on various dates ranging from May 7, 2010 to May 25, 2010. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,130,164 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 1,645,815 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 1,939,644 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 256,182 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 · 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 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 · ownership.nature: High River directly beneficially owned 405,046 call options (the "Call Options"), Icahn Partners directly beneficially owned 589,852 Call Options, Icahn Master directly beneficially owned 695,159 Call Options, Icahn Master II directly beneficially owned 243,356 Call Options, and Icahn Master III directly beneficially owned 91,815 Call Options. On August 10, 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 405,046 Shares, 589,852 Shares, 695,159 Shares, 243,356 Shares, 91,815 Shares, respectively. F7 · ownership.nature: High River directly wrote 405,046 European-style put options (the "Put Options"), Icahn Partners directly wrote 589,852 Put Options, Icahn Master directly wrote 695,159 Put Options, Icahn Master II directly wrote 243,356 Put Options, and Icahn Master III directly wrote 91,815 Put Options. On August 10, 2010, upon exercise of the Call Options, all of the Put Options terminated. F10 · ownership.nature: Please reference the Form 4 filing dated August 11, 2010, filed separately by certain other related Reporting Persons. Read SEC document |
| August 10, 2010 Filed Aug 11, 2010 21:45 UTC | HAIN CELESTIAL GROUP INC HAIN · Entity 7055 | OtherCall option ("right to purchase") · Derivative | 2,025,228 | $8.77 Strike: $11.70 | $17,761,249.56 |
DisclosureSEC source: 0001140361-10-032860 · doc1.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner IPH GP LLC · CIK 0001412091 · 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 · 2,025,228 shares Expires 2012-05-07 F8 · derivative.exercise_date: The options were exercisable starting on various dates ranging from May 7, 2010 to May 25, 2010. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,130,164 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 1,645,815 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 1,939,644 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 256,182 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 · 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 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 · ownership.nature: High River directly beneficially owned 405,046 call options (the "Call Options"), Icahn Partners directly beneficially owned 589,852 Call Options, Icahn Master directly beneficially owned 695,159 Call Options, Icahn Master II directly beneficially owned 243,356 Call Options, and Icahn Master III directly beneficially owned 91,815 Call Options. On August 10, 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 405,046 Shares, 589,852 Shares, 695,159 Shares, 243,356 Shares, 91,815 Shares, respectively. F7 · ownership.nature: High River directly wrote 405,046 European-style put options (the "Put Options"), Icahn Partners directly wrote 589,852 Put Options, Icahn Master directly wrote 695,159 Put Options, Icahn Master II directly wrote 243,356 Put Options, and Icahn Master III directly wrote 91,815 Put Options. On August 10, 2010, upon exercise of the Call Options, all of the Put Options terminated. F10 · ownership.nature: Please reference the Form 4 filing dated August 11, 2010, filed separately by certain other related Reporting Persons. Read SEC document |
| August 10, 2010 Filed Aug 11, 2010 21:45 UTC | HAIN CELESTIAL GROUP INC HAIN · Entity 7055 | OtherCommon Stock, par value $0.01 per share ("Common Shares") | 2,025,228 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-10-032860 · doc1.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner IPH GP LLC · CIK 0001412091 · 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: 5,650,819 F9 · price: The exercise price upon exercise of the call option was $11.70. In addition, the premium paid for the call option was $8.77. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,130,164 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 1,645,815 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 1,939,644 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 256,182 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 · 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 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 · ownership.nature: High River directly beneficially owned 405,046 call options (the "Call Options"), Icahn Partners directly beneficially owned 589,852 Call Options, Icahn Master directly beneficially owned 695,159 Call Options, Icahn Master II directly beneficially owned 243,356 Call Options, and Icahn Master III directly beneficially owned 91,815 Call Options. On August 10, 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 405,046 Shares, 589,852 Shares, 695,159 Shares, 243,356 Shares, 91,815 Shares, respectively. F7 · ownership.nature: High River directly wrote 405,046 European-style put options (the "Put Options"), Icahn Partners directly wrote 589,852 Put Options, Icahn Master directly wrote 695,159 Put Options, Icahn Master II directly wrote 243,356 Put Options, and Icahn Master III directly wrote 91,815 Put Options. On August 10, 2010, upon exercise of the Call Options, all of the Put Options terminated. F10 · ownership.nature: Please reference the Form 4 filing dated August 11, 2010, filed separately by certain other related Reporting Persons. Read SEC document |
| August 10, 2010 Filed Aug 12, 2010 16:56 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option ("obligation to purchase") · Derivative | 53,000 | $0.01 Strike: $5.65 | $530.00 |
DisclosureSEC source: 0001140361-10-033130 · doc1.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 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: 7,660,935 Underlying: see footnote · 53,000 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 7,856,552 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,856,552 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,125,074 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,761,355 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,400,783 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,574,527 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 763,636 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,571,310 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,499,928 Call Options, Icahn Master directly beneficially owns 2,733,454 Call Options, Icahn Master II directly beneficially owns 640,823 Call Options, and Icahn Master III directly beneficially owns 411,037 Call Options. F7 · ownership.nature: High River directly wrote 1,571,310 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,499,928 Put Options, Icahn Master directly wrote 2,733,454 Put Options, Icahn Master II directly wrote 640,823 Put Options, and Icahn Master III directly wrote 411,037 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,856,552 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,856,552 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 10, 2010 Filed Aug 12, 2010 16:56 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option ("right to purchase") · Derivative | 53,000 | $4.12 Strike: $5.65 | $218,360.00 |
DisclosureSEC source: 0001140361-10-033130 · doc1.xml · derivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 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: 7,660,935 Underlying: Shares · 53,000 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,125,074 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,761,355 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,400,783 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,574,527 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 763,636 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,571,310 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,499,928 Call Options, Icahn Master directly beneficially owns 2,733,454 Call Options, Icahn Master II directly beneficially owns 640,823 Call Options, and Icahn Master III directly beneficially owns 411,037 Call Options. F7 · ownership.nature: High River directly wrote 1,571,310 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,499,928 Put Options, Icahn Master directly wrote 2,733,454 Put Options, Icahn Master II directly wrote 640,823 Put Options, and Icahn Master III directly wrote 411,037 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,856,552 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,856,552 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 09, 2010 Filed Aug 9, 2010 16:52 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option · Derivative | 44,000 | $0.01 Strike: $5.65 | $440.00 |
DisclosureSEC source: 0001140361-10-032338 · doc1.xml · derivative · entry 6 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 7,607,935 Underlying: see footnote · 44,000 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 7,607,935 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,607,935 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,075,351 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,685,596 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,314,850 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,549,474 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 751,487 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,521,587 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,424,169 Call Options, Icahn Master directly beneficially owns 2,647,521 Call Options, Icahn Master II directly beneficially owns 615,770 Call Options, and Icahn Master III directly beneficially owns 398,888 Call Options. F7 · ownership.nature: High River directly wrote 1,521,587 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,424,169 Put Options, Icahn Master directly wrote 2,647,521 Put Options, Icahn Master II directly wrote 615,770 Put Options, and Icahn Master III directly wrote 398,888 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,607,935 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,607,935 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 09, 2010 Filed Aug 9, 2010 16:52 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option · Derivative | 44,000 | $4.32 Strike: $5.65 | $190,080.00 |
DisclosureSEC source: 0001140361-10-032338 · doc1.xml · derivative · entry 5 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 7,607,935 Underlying: Shares · 44,000 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,075,351 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,685,596 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,314,850 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,549,474 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 751,487 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,521,587 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,424,169 Call Options, Icahn Master directly beneficially owns 2,647,521 Call Options, Icahn Master II directly beneficially owns 615,770 Call Options, and Icahn Master III directly beneficially owns 398,888 Call Options. F7 · ownership.nature: High River directly wrote 1,521,587 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,424,169 Put Options, Icahn Master directly wrote 2,647,521 Put Options, Icahn Master II directly wrote 615,770 Put Options, and Icahn Master III directly wrote 398,888 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,607,935 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,607,935 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 06, 2010 Filed Aug 9, 2010 16:52 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option · Derivative | 40,444 | $0.01 Strike: $5.65 | $404.44 |
DisclosureSEC source: 0001140361-10-032338 · doc1.xml · derivative · entry 4 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 7,563,935 Underlying: see footnote · 40,444 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 7,607,935 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,607,935 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,075,351 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,685,596 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,314,850 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,549,474 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 751,487 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,521,587 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,424,169 Call Options, Icahn Master directly beneficially owns 2,647,521 Call Options, Icahn Master II directly beneficially owns 615,770 Call Options, and Icahn Master III directly beneficially owns 398,888 Call Options. F7 · ownership.nature: High River directly wrote 1,521,587 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,424,169 Put Options, Icahn Master directly wrote 2,647,521 Put Options, Icahn Master II directly wrote 615,770 Put Options, and Icahn Master III directly wrote 398,888 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,607,935 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,607,935 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 06, 2010 Filed Aug 9, 2010 16:52 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option · Derivative | 40,444 | $4.05 Strike: $5.65 | $163,798.20 |
DisclosureSEC source: 0001140361-10-032338 · doc1.xml · derivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 7,563,935 Underlying: Shares · 40,444 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,075,351 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,685,596 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,314,850 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,549,474 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 751,487 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,521,587 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,424,169 Call Options, Icahn Master directly beneficially owns 2,647,521 Call Options, Icahn Master II directly beneficially owns 615,770 Call Options, and Icahn Master III directly beneficially owns 398,888 Call Options. F7 · ownership.nature: High River directly wrote 1,521,587 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,424,169 Put Options, Icahn Master directly wrote 2,647,521 Put Options, Icahn Master II directly wrote 615,770 Put Options, and Icahn Master III directly wrote 398,888 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,607,935 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,607,935 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 05, 2010 Filed Aug 9, 2010 16:52 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option ("obligation to purchase") · Derivative | 27,867 | $0.01 Strike: $5.65 | $278.67 |
DisclosureSEC source: 0001140361-10-032338 · doc1.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 7,523,491 Underlying: see footnote · 27,867 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 7,607,935 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,607,935 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,075,351 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,685,596 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,314,850 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,549,474 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 751,487 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,521,587 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,424,169 Call Options, Icahn Master directly beneficially owns 2,647,521 Call Options, Icahn Master II directly beneficially owns 615,770 Call Options, and Icahn Master III directly beneficially owns 398,888 Call Options. F7 · ownership.nature: High River directly wrote 1,521,587 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,424,169 Put Options, Icahn Master directly wrote 2,647,521 Put Options, Icahn Master II directly wrote 615,770 Put Options, and Icahn Master III directly wrote 398,888 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,607,935 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,607,935 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 05, 2010 Filed Aug 9, 2010 16:52 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option ("right to purchase") · Derivative | 27,867 | $4.16 Strike: $5.65 | $115,926.72 |
DisclosureSEC source: 0001140361-10-032338 · doc1.xml · derivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 7,523,491 Underlying: Shares · 27,867 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,075,351 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,685,596 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,314,850 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,549,474 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 751,487 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,521,587 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,424,169 Call Options, Icahn Master directly beneficially owns 2,647,521 Call Options, Icahn Master II directly beneficially owns 615,770 Call Options, and Icahn Master III directly beneficially owns 398,888 Call Options. F7 · ownership.nature: High River directly wrote 1,521,587 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,424,169 Put Options, Icahn Master directly wrote 2,647,521 Put Options, Icahn Master II directly wrote 615,770 Put Options, and Icahn Master III directly wrote 398,888 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,607,935 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,607,935 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 04, 2010 Filed Aug 4, 2010 17:02 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option · Derivative | 53,949 | $0.01 Strike: $5.65 | $539.49 |
DisclosureSEC source: 0001140361-10-031632 · doc1.xml · derivative · entry 6 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ACF INDUSTRIES HOLDING CORP · CIK 0000910627 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 7,495,624 Underlying: see footnote · 53,949 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 7,495,624 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,495,624 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,052,889 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,651,373 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,276,031 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,538,157 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 745,997 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,499,125 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,389,946 Call Options, Icahn Master directly beneficially owns 2,608,702 Call Options, Icahn Master II directly beneficially owns 604,453 Call Options, and Icahn Master III directly beneficially owns 393,398 Call Options. F7 · ownership.nature: High River directly wrote 1,499,125 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,389,946 Put Options, Icahn Master directly wrote 2,608,702 Put Options, Icahn Master II directly wrote 604,453 Put Options, and Icahn Master III directly wrote 393,398 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,495,624 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,495,624 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 04, 2010 Filed Aug 4, 2010 17:02 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option · Derivative | 53,949 | $4.23 Strike: $5.65 | $228,204.27 |
DisclosureSEC source: 0001140361-10-031632 · doc1.xml · derivative · entry 5 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ACF INDUSTRIES HOLDING CORP · CIK 0000910627 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 7,495,624 Underlying: Shares · 53,949 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,052,889 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,651,373 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,276,031 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,538,157 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 745,997 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,499,125 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,389,946 Call Options, Icahn Master directly beneficially owns 2,608,702 Call Options, Icahn Master II directly beneficially owns 604,453 Call Options, and Icahn Master III directly beneficially owns 393,398 Call Options. F7 · ownership.nature: High River directly wrote 1,499,125 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,389,946 Put Options, Icahn Master directly wrote 2,608,702 Put Options, Icahn Master II directly wrote 604,453 Put Options, and Icahn Master III directly wrote 393,398 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,495,624 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,495,624 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 03, 2010 Filed Aug 4, 2010 17:02 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option · Derivative | 35,587 | $0.01 Strike: $5.65 | $355.87 |
DisclosureSEC source: 0001140361-10-031632 · doc1.xml · derivative · entry 4 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ACF INDUSTRIES HOLDING CORP · CIK 0000910627 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 7,441,675 Underlying: see footnote · 35,587 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 7,495,624 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,495,624 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,052,889 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,651,373 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,276,031 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,538,157 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 745,997 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,499,125 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,389,946 Call Options, Icahn Master directly beneficially owns 2,608,702 Call Options, Icahn Master II directly beneficially owns 604,453 Call Options, and Icahn Master III directly beneficially owns 393,398 Call Options. F7 · ownership.nature: High River directly wrote 1,499,125 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,389,946 Put Options, Icahn Master directly wrote 2,608,702 Put Options, Icahn Master II directly wrote 604,453 Put Options, and Icahn Master III directly wrote 393,398 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,495,624 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,495,624 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 03, 2010 Filed Aug 4, 2010 17:02 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option · Derivative | 35,587 | $4.16 Strike: $5.65 | $148,041.92 |
DisclosureSEC source: 0001140361-10-031632 · doc1.xml · derivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ACF INDUSTRIES HOLDING CORP · CIK 0000910627 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 7,441,675 Underlying: Shares · 35,587 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,052,889 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,651,373 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,276,031 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,538,157 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 745,997 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,499,125 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,389,946 Call Options, Icahn Master directly beneficially owns 2,608,702 Call Options, Icahn Master II directly beneficially owns 604,453 Call Options, and Icahn Master III directly beneficially owns 393,398 Call Options. F7 · ownership.nature: High River directly wrote 1,499,125 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,389,946 Put Options, Icahn Master directly wrote 2,608,702 Put Options, Icahn Master II directly wrote 604,453 Put Options, and Icahn Master III directly wrote 393,398 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,495,624 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,495,624 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 02, 2010 Filed Aug 4, 2010 17:02 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option ("obligation to purchase") · Derivative | 77,916 | $0.01 Strike: $5.65 | $779.16 |
DisclosureSEC source: 0001140361-10-031632 · doc1.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ACF INDUSTRIES HOLDING CORP · CIK 0000910627 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 7,406,088 Underlying: see footnote · 77,916 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 7,495,624 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,495,624 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,052,889 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,651,373 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,276,031 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,538,157 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 745,997 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,499,125 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,389,946 Call Options, Icahn Master directly beneficially owns 2,608,702 Call Options, Icahn Master II directly beneficially owns 604,453 Call Options, and Icahn Master III directly beneficially owns 393,398 Call Options. F7 · ownership.nature: High River directly wrote 1,499,125 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,389,946 Put Options, Icahn Master directly wrote 2,608,702 Put Options, Icahn Master II directly wrote 604,453 Put Options, and Icahn Master III directly wrote 393,398 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,495,624 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,495,624 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| August 02, 2010 Filed Aug 4, 2010 17:02 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option ("right to purchase") · Derivative | 77,916 | $4.25 Strike: $5.65 | $331,143.00 |
DisclosureSEC source: 0001140361-10-031632 · doc1.xml · derivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ACF INDUSTRIES HOLDING CORP · CIK 0000910627 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 7,406,088 Underlying: Shares · 77,916 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,052,889 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,651,373 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,276,031 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,538,157 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 745,997 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,499,125 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,389,946 Call Options, Icahn Master directly beneficially owns 2,608,702 Call Options, Icahn Master II directly beneficially owns 604,453 Call Options, and Icahn Master III directly beneficially owns 393,398 Call Options. F7 · ownership.nature: High River directly wrote 1,499,125 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,389,946 Put Options, Icahn Master directly wrote 2,608,702 Put Options, Icahn Master II directly wrote 604,453 Put Options, and Icahn Master III directly wrote 393,398 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,495,624 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,495,624 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| July 30, 2010 Filed Jul 30, 2010 17:07 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option · Derivative | 75,000 | $0.01 Strike: $5.65 | $750.00 |
DisclosureSEC source: 0001140361-10-030891 · doc1.xml · derivative · entry 6 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 7,328,172 Underlying: see footnote · 75,000 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 7,328,172 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,328,172 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,019,399 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,613,365 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,219,607 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,503,876 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 740,748 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,465,635 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,351,938 Call Options, Icahn Master directly beneficially owns 2,552,278 Call Options, Icahn Master II directly beneficially owns 570,172 Call Options, and Icahn Master III directly beneficially owns 388,149 Call Options. F7 · ownership.nature: High River directly wrote 1,465,635 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,351,938 Put Options, Icahn Master directly wrote 2,552,278 Put Options, Icahn Master II directly wrote 570,172 Put Options, and Icahn Master III directly wrote 388,149 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,328,172 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,328,172 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| July 30, 2010 Filed Jul 30, 2010 17:07 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option · Derivative | 75,000 | $4.04 Strike: $5.65 | $303,000.00 |
DisclosureSEC source: 0001140361-10-030891 · doc1.xml · derivative · entry 5 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 7,328,172 Underlying: Shares · 75,000 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,019,399 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,613,365 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,219,607 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,503,876 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 740,748 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,465,635 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,351,938 Call Options, Icahn Master directly beneficially owns 2,552,278 Call Options, Icahn Master II directly beneficially owns 570,172 Call Options, and Icahn Master III directly beneficially owns 388,149 Call Options. F7 · ownership.nature: High River directly wrote 1,465,635 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,351,938 Put Options, Icahn Master directly wrote 2,552,278 Put Options, Icahn Master II directly wrote 570,172 Put Options, and Icahn Master III directly wrote 388,149 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,328,172 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,328,172 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| July 29, 2010 Filed Jul 30, 2010 17:07 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option · Derivative | 350,000 | $0.01 Strike: $5.65 | $3,500.00 |
DisclosureSEC source: 0001140361-10-030891 · doc1.xml · derivative · entry 4 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 7,253,172 Underlying: see footnote · 350,000 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 7,328,172 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,328,172 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,019,399 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,613,365 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,219,607 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,503,876 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 740,748 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,465,635 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,351,938 Call Options, Icahn Master directly beneficially owns 2,552,278 Call Options, Icahn Master II directly beneficially owns 570,172 Call Options, and Icahn Master III directly beneficially owns 388,149 Call Options. F7 · ownership.nature: High River directly wrote 1,465,635 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,351,938 Put Options, Icahn Master directly wrote 2,552,278 Put Options, Icahn Master II directly wrote 570,172 Put Options, and Icahn Master III directly wrote 388,149 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,328,172 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,328,172 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| July 29, 2010 Filed Jul 30, 2010 17:07 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option · Derivative | 350,000 | $3.94 Strike: $5.65 | $1,379,000.00 |
DisclosureSEC source: 0001140361-10-030891 · doc1.xml · derivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 7,253,172 Underlying: Shares · 350,000 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,019,399 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,613,365 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,219,607 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,503,876 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 740,748 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,465,635 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,351,938 Call Options, Icahn Master directly beneficially owns 2,552,278 Call Options, Icahn Master II directly beneficially owns 570,172 Call Options, and Icahn Master III directly beneficially owns 388,149 Call Options. F7 · ownership.nature: High River directly wrote 1,465,635 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,351,938 Put Options, Icahn Master directly wrote 2,552,278 Put Options, Icahn Master II directly wrote 570,172 Put Options, and Icahn Master III directly wrote 388,149 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,328,172 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,328,172 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| July 28, 2010 Filed Jul 30, 2010 17:07 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option ("obligation to purchase") · Derivative | 70,123 | $0.01 Strike: $5.65 | $701.23 |
DisclosureSEC source: 0001140361-10-030891 · doc1.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 6,903,172 Underlying: see footnote · 70,123 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 7,328,172 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,328,172 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,019,399 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,613,365 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,219,607 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,503,876 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 740,748 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,465,635 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,351,938 Call Options, Icahn Master directly beneficially owns 2,552,278 Call Options, Icahn Master II directly beneficially owns 570,172 Call Options, and Icahn Master III directly beneficially owns 388,149 Call Options. F7 · ownership.nature: High River directly wrote 1,465,635 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,351,938 Put Options, Icahn Master directly wrote 2,552,278 Put Options, Icahn Master II directly wrote 570,172 Put Options, and Icahn Master III directly wrote 388,149 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,328,172 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,328,172 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| July 28, 2010 Filed Jul 30, 2010 17:07 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option ("right to purchase") · Derivative | 70,123 | $4.11 Strike: $5.65 | $288,205.53 |
DisclosureSEC source: 0001140361-10-030891 · doc1.xml · derivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · please see all footnotes 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: 6,903,172 Underlying: Shares · 70,123 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,019,399 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,613,365 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,219,607 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,503,876 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 740,748 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,465,635 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,351,938 Call Options, Icahn Master directly beneficially owns 2,552,278 Call Options, Icahn Master II directly beneficially owns 570,172 Call Options, and Icahn Master III directly beneficially owns 388,149 Call Options. F7 · ownership.nature: High River directly wrote 1,465,635 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,351,938 Put Options, Icahn Master directly wrote 2,552,278 Put Options, Icahn Master II directly wrote 570,172 Put Options, and Icahn Master III directly wrote 388,149 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 7,328,172 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 7,328,172 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| July 27, 2010 Filed Jul 27, 2010 16:44 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option · Derivative | 200,000 | $0.01 Strike: $5.65 | $2,000.00 |
DisclosureSEC source: 0001140361-10-030482 · doc1.xml · derivative · entry 6 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 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: 6,833,049 Underlying: see footnote · 200,000 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 6,833,049 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 6,833,049 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,920,374 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,462,066 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,048,425 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,454,553 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 716,454 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,366,610 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,200,639 Call Options, Icahn Master directly beneficially owns 2,381,096 Call Options, Icahn Master II directly beneficially owns 520,849 Call Options, and Icahn Master III directly beneficially owns 363,855 Call Options. F7 · ownership.nature: High River directly wrote 1,366,610 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,200,639 Put Options, Icahn Master directly wrote 2,381,096 Put Options, Icahn Master II directly wrote 520,849 Put Options, and Icahn Master III directly wrote 363,855 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 6,833,049 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 6,833,049 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| July 27, 2010 Filed Jul 27, 2010 16:44 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option · Derivative | 200,000 | $4.14 Strike: $5.65 | $828,000.00 |
DisclosureSEC source: 0001140361-10-030482 · doc1.xml · derivative · entry 5 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 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: 6,833,049 Underlying: Shares · 200,000 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,920,374 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,462,066 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,048,425 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,454,553 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 716,454 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,366,610 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,200,639 Call Options, Icahn Master directly beneficially owns 2,381,096 Call Options, Icahn Master II directly beneficially owns 520,849 Call Options, and Icahn Master III directly beneficially owns 363,855 Call Options. F7 · ownership.nature: High River directly wrote 1,366,610 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,200,639 Put Options, Icahn Master directly wrote 2,381,096 Put Options, Icahn Master II directly wrote 520,849 Put Options, and Icahn Master III directly wrote 363,855 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 6,833,049 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 6,833,049 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| July 26, 2010 Filed Jul 27, 2010 16:44 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option · Derivative | 238,293 | $0.01 Strike: $5.65 | $2,382.93 |
DisclosureSEC source: 0001140361-10-030482 · doc1.xml · derivative · entry 4 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 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: 6,633,049 Underlying: see footnote · 238,293 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 6,833,049 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 6,833,049 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,920,374 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,462,066 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,048,425 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,454,553 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 716,454 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,366,610 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,200,639 Call Options, Icahn Master directly beneficially owns 2,381,096 Call Options, Icahn Master II directly beneficially owns 520,849 Call Options, and Icahn Master III directly beneficially owns 363,855 Call Options. F7 · ownership.nature: High River directly wrote 1,366,610 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,200,639 Put Options, Icahn Master directly wrote 2,381,096 Put Options, Icahn Master II directly wrote 520,849 Put Options, and Icahn Master III directly wrote 363,855 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 6,833,049 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 6,833,049 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| July 26, 2010 Filed Jul 27, 2010 16:44 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option · Derivative | 238,293 | $4.14 Strike: $5.65 | $986,533.02 |
DisclosureSEC source: 0001140361-10-030482 · doc1.xml · derivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 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: 6,633,049 Underlying: Shares · 238,293 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,920,374 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,462,066 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,048,425 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,454,553 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 716,454 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,366,610 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,200,639 Call Options, Icahn Master directly beneficially owns 2,381,096 Call Options, Icahn Master II directly beneficially owns 520,849 Call Options, and Icahn Master III directly beneficially owns 363,855 Call Options. F7 · ownership.nature: High River directly wrote 1,366,610 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,200,639 Put Options, Icahn Master directly wrote 2,381,096 Put Options, Icahn Master II directly wrote 520,849 Put Options, and Icahn Master III directly wrote 363,855 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 6,833,049 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 6,833,049 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| July 23, 2010 Filed Jul 27, 2010 16:44 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option ("obligation to purchase") · Derivative | 200,000 | $0.01 Strike: $5.65 | $2,000.00 |
DisclosureSEC source: 0001140361-10-030482 · doc1.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 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: 6,394,756 Underlying: see footnote · 200,000 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 6,833,049 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 6,833,049 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,920,374 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,462,066 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,048,425 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,454,553 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 716,454 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,366,610 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,200,639 Call Options, Icahn Master directly beneficially owns 2,381,096 Call Options, Icahn Master II directly beneficially owns 520,849 Call Options, and Icahn Master III directly beneficially owns 363,855 Call Options. F7 · ownership.nature: High River directly wrote 1,366,610 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,200,639 Put Options, Icahn Master directly wrote 2,381,096 Put Options, Icahn Master II directly wrote 520,849 Put Options, and Icahn Master III directly wrote 363,855 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 6,833,049 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 6,833,049 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| July 23, 2010 Filed Jul 27, 2010 16:44 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option ("right to purchase") · Derivative | 200,000 | $4.02 Strike: $5.65 | $804,000.00 |
DisclosureSEC source: 0001140361-10-030482 · doc1.xml · derivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 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: 6,394,756 Underlying: Shares · 200,000 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,920,374 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,462,066 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,048,425 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,454,553 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 716,454 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,366,610 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,200,639 Call Options, Icahn Master directly beneficially owns 2,381,096 Call Options, Icahn Master II directly beneficially owns 520,849 Call Options, and Icahn Master III directly beneficially owns 363,855 Call Options. F7 · ownership.nature: High River directly wrote 1,366,610 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,200,639 Put Options, Icahn Master directly wrote 2,381,096 Put Options, Icahn Master II directly wrote 520,849 Put Options, and Icahn Master III directly wrote 363,855 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 6,833,049 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 6,833,049 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| July 22, 2010 Filed Jul 22, 2010 17:20 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option · Derivative | 200,000 | $0.01 Strike: $5.65 | $2,000.00 |
DisclosureSEC source: 0001140361-10-030057 · doc1.xml · derivative · entry 6 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 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: 6,194,756 Underlying: see footnotes · 200,000 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 6,194,756 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 6,194,756 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,792,715 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,266,547 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,827,214 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,392,042 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 685,061 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,238,951 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,005,120 Call Options, Icahn Master directly beneficially owns 2,159,885 Call Options, Icahn Master II directly beneficially owns 458,338 Call Options, and Icahn Master III directly beneficially owns 332,462 Call Options. F7 · ownership.nature: High River directly wrote 1,238,951 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,005,120 Put Options, Icahn Master directly wrote 2,159,885 Put Options, Icahn Master II directly wrote 458,338 Put Options, and Icahn Master III directly wrote 332,462 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 6,194,756 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 6,194,756 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| July 22, 2010 Filed Jul 22, 2010 17:20 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option · Derivative | 200,000 | $3.76 Strike: $5.65 | $752,000.00 |
DisclosureSEC source: 0001140361-10-030057 · doc1.xml · derivative · entry 5 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 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: 6,194,756 Underlying: Shares · 200,000 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,792,715 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,266,547 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,827,214 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,392,042 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 685,061 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,238,951 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,005,120 Call Options, Icahn Master directly beneficially owns 2,159,885 Call Options, Icahn Master II directly beneficially owns 458,338 Call Options, and Icahn Master III directly beneficially owns 332,462 Call Options. F7 · ownership.nature: High River directly wrote 1,238,951 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,005,120 Put Options, Icahn Master directly wrote 2,159,885 Put Options, Icahn Master II directly wrote 458,338 Put Options, and Icahn Master III directly wrote 332,462 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 6,194,756 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 6,194,756 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| July 21, 2010 Filed Jul 22, 2010 17:20 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option · Derivative | 100,000 | $0.01 Strike: $5.65 | $1,000.00 |
DisclosureSEC source: 0001140361-10-030057 · doc1.xml · derivative · entry 4 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 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: 5,994,756 Underlying: see footnote · 100,000 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 6,194,756 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 6,194,756 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,792,715 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,266,547 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,827,214 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,392,042 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 685,061 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,238,951 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,005,120 Call Options, Icahn Master directly beneficially owns 2,159,885 Call Options, Icahn Master II directly beneficially owns 458,338 Call Options, and Icahn Master III directly beneficially owns 332,462 Call Options. F7 · ownership.nature: High River directly wrote 1,238,951 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,005,120 Put Options, Icahn Master directly wrote 2,159,885 Put Options, Icahn Master II directly wrote 458,338 Put Options, and Icahn Master III directly wrote 332,462 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 6,194,756 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 6,194,756 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| July 21, 2010 Filed Jul 22, 2010 17:20 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option · Derivative | 100,000 | $3.40 Strike: $5.65 | $340,000.00 |
DisclosureSEC source: 0001140361-10-030057 · doc1.xml · derivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 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: 5,994,756 Underlying: Shares · 100,000 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,792,715 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,266,547 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,827,214 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,392,042 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 685,061 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,238,951 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,005,120 Call Options, Icahn Master directly beneficially owns 2,159,885 Call Options, Icahn Master II directly beneficially owns 458,338 Call Options, and Icahn Master III directly beneficially owns 332,462 Call Options. F7 · ownership.nature: High River directly wrote 1,238,951 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,005,120 Put Options, Icahn Master directly wrote 2,159,885 Put Options, Icahn Master II directly wrote 458,338 Put Options, and Icahn Master III directly wrote 332,462 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 6,194,756 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 6,194,756 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| July 20, 2010 Filed Jul 22, 2010 17:20 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchasePut Option ("obligation to purchase") · Derivative | 100,000 | $0.01 Strike: $5.65 | $1,000.00 |
DisclosureSEC source: 0001140361-10-030057 · doc1.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 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: 5,894,756 Underlying: see footnote · 100,000 shares Expires 2012-06-07 F8 · derivative.underlying: The Call Options reference an aggregate of 6,194,756 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 6,194,756 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,792,715 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,266,547 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,827,214 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,392,042 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 685,061 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,238,951 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,005,120 Call Options, Icahn Master directly beneficially owns 2,159,885 Call Options, Icahn Master II directly beneficially owns 458,338 Call Options, and Icahn Master III directly beneficially owns 332,462 Call Options. F7 · ownership.nature: High River directly wrote 1,238,951 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,005,120 Put Options, Icahn Master directly wrote 2,159,885 Put Options, Icahn Master II directly wrote 458,338 Put Options, and Icahn Master III directly wrote 332,462 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 6,194,756 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 6,194,756 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. Read SEC document |
| July 20, 2010 Filed Jul 22, 2010 17:20 UTC | MENTOR GRAPHICS CORP MENT · Entity 12420 | PurchaseCall Option ("right to purchase") · Derivative | 100,000 | $3.30 Strike: $5.65 | $330,000.00 |
DisclosureSEC source: 0001140361-10-030057 · doc1.xml · derivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 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: 5,894,756 Underlying: Shares · 100,000 shares Expires 2012-06-07 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,792,715 Shares (including shares underlying Call Options (as defined below)), Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,266,547 Shares (including shares underlying Call Options), Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,827,214 Shares (including shares underlying Call Options), Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,392,042 Shares (including shares underlying Call Options), and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 685,061 Shares (including shares underlying Call Options). 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 each of Icahn Master, Icahn Master II and Icahn Master III. 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, 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 (including shares underlying Call Options) which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) 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 (including shares underlying Call Options) except to the extent of their pecuniary interest therein. F6 · ownership.nature: High River directly beneficially owns 1,238,951 call options (the "Call Options"), Icahn Partners directly beneficially owns 2,005,120 Call Options, Icahn Master directly beneficially owns 2,159,885 Call Options, Icahn Master II directly beneficially owns 458,338 Call Options, and Icahn Master III directly beneficially owns 332,462 Call Options. F7 · ownership.nature: High River directly wrote 1,238,951 European-style put options (the "Put Options"), Icahn Partners directly wrote 2,005,120 Put Options, Icahn Master directly wrote 2,159,885 Put Options, Icahn Master II directly wrote 458,338 Put Options, and Icahn Master III directly wrote 332,462 Put Options. F8 · ownership.nature: The Call Options reference an aggregate of 6,194,756 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide for physical settlement. The Put Options reference an aggregate of 6,194,756 Shares, have an exercise price of $5.65, expire on June 7, 2012, and provide that they settle in cash. 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.