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 |
|---|---|---|---|---|---|---|
| June 23, 2009 Filed Jun 25, 2009 21:18 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseCommon Stock, no par value per share ("Shares") | 159,600 | $5.38 | $858,057.48 |
DisclosureSEC source: 0000928475-09-000335 · form4062509_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 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: 19,781,530 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 4,022,883 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,686,892 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 6,939,511 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,505,503 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 959,623 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. Read SEC document |
| June 17, 2009 Filed Jun 17, 2009 21:01 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseShares | 1,000,000 | $5.26 | $5,260,000.00 |
DisclosureSEC source: 0000928475-09-000328 · form4061709_ex.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 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: 19,621,930 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,924,387 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,547,653 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 6,769,603 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,444,160 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 936,127 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. Read SEC document |
| June 17, 2009 Filed Jun 17, 2009 21:01 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseCommon Stock, no par value per share ("Shares") | 64,300 | $5.29 | $339,973.39 |
DisclosureSEC source: 0000928475-09-000328 · form4061709_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 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: 18,621,930 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,924,387 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,547,653 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 6,769,603 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,444,160 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 936,127 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. Read SEC document |
| June 16, 2009 Filed Jun 16, 2009 20:54 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseShares | 263,000 | $5.36 | $1,409,995.60 |
DisclosureSEC source: 0000928475-09-000325 · form4061609_ex.xml · nonDerivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 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: 18,557,630 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,711,527 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,246,746 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 6,402,418 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,311,588 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 885,351 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. Read SEC document |
| June 15, 2009 Filed Jun 16, 2009 20:54 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseShares | 107,900 | $5.40 | $582,271.56 |
DisclosureSEC source: 0000928475-09-000325 · form4061609_ex.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 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: 18,294,630 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,711,527 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,246,746 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 6,402,418 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,311,588 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 885,351 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. Read SEC document |
| June 12, 2009 Filed Jun 16, 2009 20:54 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseCommon Stock, no par value per share ("Shares") | 18,500 | $5.49 | $101,644.55 |
DisclosureSEC source: 0000928475-09-000325 · form4061609_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 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: 18,186,730 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,711,527 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,246,746 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 6,402,418 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,311,588 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 885,351 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. Read SEC document |
| June 11, 2009 Filed Jun 11, 2009 20:47 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseShares | 15,000 | $5.49 | $82,338.00 |
DisclosureSEC source: 0000928475-09-000312 · form4061109_ex.xml · nonDerivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 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: 18,168,230 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,633,647 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,136,653 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 6,268,074 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,263,083 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 866,773 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. Read SEC document |
| June 10, 2009 Filed Jun 11, 2009 20:47 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseShares | 38,200 | $5.50 | $210,199.32 |
DisclosureSEC source: 0000928475-09-000312 · form4061109_ex.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 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: 18,153,230 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,633,647 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,136,653 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 6,268,074 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,263,083 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 866,773 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. Read SEC document |
| June 09, 2009 Filed Jun 11, 2009 20:47 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseCommon Stock, no par value per share ("Shares") | 11,700 | $5.51 | $64,465.83 |
DisclosureSEC source: 0000928475-09-000312 · form4061109_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 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: 18,115,030 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,633,647 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,136,653 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 6,268,074 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,263,083 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 866,773 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. Read SEC document |
| June 05, 2009 Filed Jun 5, 2009 21:08 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseShares | 493,805 | $5.47 | $2,700,817.07 |
DisclosureSEC source: 0000928475-09-000309 · form4060509_ex.xml · nonDerivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 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: 18,103,330 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,620,667 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,118,306 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 6,245,683 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,254,997 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 863,677 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. Read SEC document |
| June 04, 2009 Filed Jun 5, 2009 21:08 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseShares | 500,000 | $5.46 | $2,730,950.00 |
DisclosureSEC source: 0000928475-09-000309 · form4060509_ex.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 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: 17,609,525 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,620,667 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,118,306 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 6,245,683 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,254,997 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 863,677 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. Read SEC document |
| June 03, 2009 Filed Jun 5, 2009 21:08 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseCommon Stock, no par value per share ("Shares") | 318,400 | $5.37 | $1,709,234.88 |
DisclosureSEC source: 0000928475-09-000309 · form4060509_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 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: 17,109,525 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,620,667 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,118,306 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 6,245,683 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,254,997 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 863,677 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. Read SEC document |
| May 04, 2009 Filed May 5, 2009 00:32 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | Purchase3.625% Convertible Senior Subordinated Notes due 2025 · Derivative | Not disclosed | $315,286.70 | $429,000.00 |
DisclosureSEC source: 0000928475-09-000213 · form4050409_ex.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner · please see footnotes 1 - 10 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see footnotes 1 - 10 ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see footnotes 1 - 10 ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see footnotes 1 - 10 ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see footnotes 1 - 10 ICAHN PARTNERS LP · CIK 0001313666 · please see footnotes 1 - 10 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: Not disclosed Underlying: Common Stock · 30,035 shares Expires 2025-03-15 F7 · security: 70.0133 shares of Common Stock per $1,000 principal amount of 3.6255% Convertible Senior Subordinated Notes due 2025 ("2025 Notes") of LGEI. F8 · security: On May 1, 2009, the Purchasers' tender offer for 2024 Notes and 2025 Notes expired pursuant to its terms. Based upon information provided to the Purchasers by the depositary for the offer, a total of $154,000 in principal amount of 2024 Notes and $429,000 in principal amount of 2025 Notes were validly tendered and not withdrawn pursuant to the offer. In accordance with the terms of the offer, the Purchasers accepted for payment and paid for the tendered notes on May 4, 2009. F7 · derivative.exercise_price: 70.0133 shares of Common Stock per $1,000 principal amount of 3.6255% Convertible Senior Subordinated Notes due 2025 ("2025 Notes") of LGEI. F8 · date: On May 1, 2009, the Purchasers' tender offer for 2024 Notes and 2025 Notes expired pursuant to its terms. Based upon information provided to the Purchasers by the depositary for the offer, a total of $154,000 in principal amount of 2024 Notes and $429,000 in principal amount of 2025 Notes were validly tendered and not withdrawn pursuant to the offer. In accordance with the terms of the offer, the Purchasers accepted for payment and paid for the tendered notes on May 4, 2009. F8 · kind: On May 1, 2009, the Purchasers' tender offer for 2024 Notes and 2025 Notes expired pursuant to its terms. Based upon information provided to the Purchasers by the depositary for the offer, a total of $154,000 in principal amount of 2024 Notes and $429,000 in principal amount of 2025 Notes were validly tendered and not withdrawn pursuant to the offer. In accordance with the terms of the offer, the Purchasers accepted for payment and paid for the tendered notes on May 4, 2009. F8 · reported_value: On May 1, 2009, the Purchasers' tender offer for 2024 Notes and 2025 Notes expired pursuant to its terms. Based upon information provided to the Purchasers by the depositary for the offer, a total of $154,000 in principal amount of 2024 Notes and $429,000 in principal amount of 2025 Notes were validly tendered and not withdrawn pursuant to the offer. In accordance with the terms of the offer, the Purchasers accepted for payment and paid for the tendered notes on May 4, 2009. F8 · price: On May 1, 2009, the Purchasers' tender offer for 2024 Notes and 2025 Notes expired pursuant to its terms. Based upon information provided to the Purchasers by the depositary for the offer, a total of $154,000 in principal amount of 2024 Notes and $429,000 in principal amount of 2025 Notes were validly tendered and not withdrawn pursuant to the offer. In accordance with the terms of the offer, the Purchasers accepted for payment and paid for the tendered notes on May 4, 2009. F10 · derivative.exercise_date: The 2025 Notes are convertible, at the option of the holder, into Common Stock, at any time before maturity, redemption or repurchase by LGEI. F7 · derivative.underlying: 70.0133 shares of Common Stock per $1,000 principal amount of 3.6255% Convertible Senior Subordinated Notes due 2025 ("2025 Notes") of LGEI. F7 · derivative.underlying_shares: 70.0133 shares of Common Stock per $1,000 principal amount of 3.6255% Convertible Senior Subordinated Notes due 2025 ("2025 Notes") of LGEI. F1 · ownership.nature: The reported securities are owned by High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), 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" and together with High River, Icahn Partners, Icahn Master and Icahn Master III, the "Purchasers"). 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 the Purchasers. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the securities which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such securities except to the extent of their pecuniary interest therein. 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 securities which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such securities except to the extent of their pecuniary interest therein. 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 securities 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 securities except to the extent of their pecuniary interest therein. Read SEC document |
| May 04, 2009 Filed May 5, 2009 00:32 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | Purchase2.9375% Convertible Senior Subordinated Notes due 2024 · Derivative | Not disclosed | $115,738.75 | $154,000.00 |
DisclosureSEC source: 0000928475-09-000213 · form4050409_ex.xml · derivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · please see footnotes 1 - 10 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see footnotes 1 - 10 ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see footnotes 1 - 10 ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see footnotes 1 - 10 ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see footnotes 1 - 10 ICAHN PARTNERS LP · CIK 0001313666 · please see footnotes 1 - 10 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: Not disclosed Underlying: Common Stock · 13,391 shares Expires 2024-10-15 F6 · security: 86.9565 shares of common stock of Lions Gate Entertainment Corp. ("Common Stock") per $1,000 principal amount of 2.9375% Convertible Senior Subordinated Notes due 2024 ("2024 Notes") of Lions Gate Entertainment Inc. ("LGEI"). F8 · security: On May 1, 2009, the Purchasers' tender offer for 2024 Notes and 2025 Notes expired pursuant to its terms. Based upon information provided to the Purchasers by the depositary for the offer, a total of $154,000 in principal amount of 2024 Notes and $429,000 in principal amount of 2025 Notes were validly tendered and not withdrawn pursuant to the offer. In accordance with the terms of the offer, the Purchasers accepted for payment and paid for the tendered notes on May 4, 2009. F6 · derivative.exercise_price: 86.9565 shares of common stock of Lions Gate Entertainment Corp. ("Common Stock") per $1,000 principal amount of 2.9375% Convertible Senior Subordinated Notes due 2024 ("2024 Notes") of Lions Gate Entertainment Inc. ("LGEI"). F8 · date: On May 1, 2009, the Purchasers' tender offer for 2024 Notes and 2025 Notes expired pursuant to its terms. Based upon information provided to the Purchasers by the depositary for the offer, a total of $154,000 in principal amount of 2024 Notes and $429,000 in principal amount of 2025 Notes were validly tendered and not withdrawn pursuant to the offer. In accordance with the terms of the offer, the Purchasers accepted for payment and paid for the tendered notes on May 4, 2009. F8 · kind: On May 1, 2009, the Purchasers' tender offer for 2024 Notes and 2025 Notes expired pursuant to its terms. Based upon information provided to the Purchasers by the depositary for the offer, a total of $154,000 in principal amount of 2024 Notes and $429,000 in principal amount of 2025 Notes were validly tendered and not withdrawn pursuant to the offer. In accordance with the terms of the offer, the Purchasers accepted for payment and paid for the tendered notes on May 4, 2009. F8 · reported_value: On May 1, 2009, the Purchasers' tender offer for 2024 Notes and 2025 Notes expired pursuant to its terms. Based upon information provided to the Purchasers by the depositary for the offer, a total of $154,000 in principal amount of 2024 Notes and $429,000 in principal amount of 2025 Notes were validly tendered and not withdrawn pursuant to the offer. In accordance with the terms of the offer, the Purchasers accepted for payment and paid for the tendered notes on May 4, 2009. F8 · price: On May 1, 2009, the Purchasers' tender offer for 2024 Notes and 2025 Notes expired pursuant to its terms. Based upon information provided to the Purchasers by the depositary for the offer, a total of $154,000 in principal amount of 2024 Notes and $429,000 in principal amount of 2025 Notes were validly tendered and not withdrawn pursuant to the offer. In accordance with the terms of the offer, the Purchasers accepted for payment and paid for the tendered notes on May 4, 2009. F9 · derivative.exercise_date: The 2024 Notes are convertible, at the option of the holder, into Common Stock, before maturity, redemption or repurchase by LGEI, only if certain events specified in the indenture governing such notes occur. F6 · derivative.underlying: 86.9565 shares of common stock of Lions Gate Entertainment Corp. ("Common Stock") per $1,000 principal amount of 2.9375% Convertible Senior Subordinated Notes due 2024 ("2024 Notes") of Lions Gate Entertainment Inc. ("LGEI"). F6 · derivative.underlying_shares: 86.9565 shares of common stock of Lions Gate Entertainment Corp. ("Common Stock") per $1,000 principal amount of 2.9375% Convertible Senior Subordinated Notes due 2024 ("2024 Notes") of Lions Gate Entertainment Inc. ("LGEI"). F1 · ownership.nature: The reported securities are owned by High River Limited Partnership ("High River"), Icahn Partners LP ("Icahn Partners"), 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" and together with High River, Icahn Partners, Icahn Master and Icahn Master III, the "Purchasers"). 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 the Purchasers. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the securities which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such securities except to the extent of their pecuniary interest therein. 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 securities which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such securities except to the extent of their pecuniary interest therein. 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 securities 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 securities except to the extent of their pecuniary interest therein. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 22:12 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseCommon Stock, no par value per share ("Shares") | 50,276 | $5.00 | $251,405.14 |
DisclosureSEC source: 0000928475-09-000118 · form4030409_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 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: 16,791,125 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,358,226 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,691,559 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,816,824 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,110,731 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 813,785 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. Read SEC document |
| February 25, 2009 Filed Feb 25, 2009 22:05 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseShares | 200,000 | $4.64 | $928,240.00 |
DisclosureSEC source: 0000928475-09-000113 · form4022509_ex.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 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: 16,740,849 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,348,171 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,688,776 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,784,362 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,109,024 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 810,516 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. Read SEC document |
| February 23, 2009 Filed Feb 25, 2009 22:05 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseCommon Stock, no par value per share ("Shares") | 1,992,000 | $4.41 | $8,784,720.00 |
DisclosureSEC source: 0000928475-09-000113 · form4022509_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 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: 16,540,849 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,348,171 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,688,776 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,784,362 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,109,024 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 810,516 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. Read SEC document |
| February 20, 2009 Filed Feb 20, 2009 22:18 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseShares | 322,000 | $4.36 | $1,404,886.00 |
DisclosureSEC source: 0000928475-09-000107 · form4022009_ex.xml · nonDerivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 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: 14,548,849 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,909,771 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,074,841 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,026,974 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,832,875 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 704,388 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. Read SEC document |
| February 19, 2009 Filed Feb 20, 2009 22:18 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseShares | 131,455 | $4.50 | $592,047.03 |
DisclosureSEC source: 0000928475-09-000107 · form4022009_ex.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 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: 14,226,849 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,909,771 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,074,841 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,026,974 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,832,875 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 704,388 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. Read SEC document |
| February 18, 2009 Filed Feb 20, 2009 22:18 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseCommon Stock, no par value per share ("Shares") | 251,243 | $4.37 | $1,098,183.15 |
DisclosureSEC source: 0000928475-09-000107 · form4022009_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · 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: 14,095,394 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,909,771 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,074,841 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,026,974 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,832,875 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 704,388 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. Read SEC document |
| February 17, 2009 Filed Feb 17, 2009 23:51 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseCommon Stock, no par value per share ("Shares") | 560,671 | $4.21 | $2,361,265.92 |
DisclosureSEC source: 0001144204-09-009363 · v140587_ex.xml · nonDerivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner · See Footnotes 1-5 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · See Footnotes 1-5 ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · See Footnotes 1-5 ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · See Footnotes 1-5 ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · See Footnotes 1-5 ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · See Footnotes 1-5 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 13,844,151 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,768,831 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,877,469 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,783,484 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,744,097 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 670,270 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. Read SEC document |
| February 13, 2009 Filed Feb 17, 2009 23:51 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseCommon Stock, no par value per share ("Shares") | 308,300 | $4.31 | $1,327,262.33 |
DisclosureSEC source: 0001144204-09-009363 · v140587_ex.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner · See Footnotes 1-5 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · See Footnotes 1-5 ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · See Footnotes 1-5 ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · See Footnotes 1-5 ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · See Footnotes 1-5 ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · See Footnotes 1-5 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 13,283,480 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,768,831 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,877,469 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,783,484 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,744,097 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 670,270 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. Read SEC document |
| February 12, 2009 Filed Feb 17, 2009 23:51 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseCommon Stock, no par value per share ("Shares") | 739,457 | $4.22 | $3,119,473.30 |
DisclosureSEC source: 0001144204-09-009363 · v140587_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · See Footnotes 1-5 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · See Footnotes 1-5 ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · See Footnotes 1-5 ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · See Footnotes 1-5 ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · See Footnotes 1-5 ICAHN PARTNERS LP · CIK 0001313666 · 10% owner · See Footnotes 1-5 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 12,975,180 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,768,831 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,877,469 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,783,484 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,744,097 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 670,270 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. Read SEC document |
| November 26, 2008 Filed Nov 26, 2008 23:41 UTC | ALTABA INC. YHOO · Entity 13268 | PurchaseCommon Stock, par value $0.001 per share ("Shares") | 376,843 | $10.00 | $3,767,977.79 |
DisclosureSEC source: 0000928475-08-000441 · form4112608_ex.xml · nonDerivative · entry 3 ICAHN CARL C · CIK 0000921669 · Director · please see footnotes 1 - 10 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see footnotes 1 - 10 ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see footnotes 1 - 10 ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see footnotes 1 - 10 ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see footnotes 1- 10 ICAHN PARTNERS LP · CIK 0001313666 · please see footnotes 1 - 10 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: 75,575,125 F1 · ownership.nature: High River Limited Partnership ("High River") owns 15,113,025 Shares, Icahn Partners LP ("Icahn Partners") owns 21,487,054 Shares, Icahn Partners Master Fund LP ("Icahn Master") owns 27,476,810 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") owns 8,310,918 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") owns 3,177,317 Shares. F2 · ownership.nature: Carl C. Icahn owns 10,000 restricted stock units which were granted to him on August 1, 2008 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. These units are scheduled to vest ratably, in equal quarterly installments, over a one year period following the date of grant. These units will generally be paid in Shares on the earlier of the third anniversary of the grant date or the date Mr. Icahn ceases being a member of the board. F3 · ownership.nature: Does not include 30,000 Shares that may be acquired by Mr. Icahn upon exercise of an option that was granted to him on August 1, 2008 under the Plan. The option is scheduled to become exercisable at a rate of 1/4 of the Shares underlying the option in equal quarterly installments over a one year period following the date of grant. F4 · ownership.nature: Does not include 1,050 Shares owned by Gail Golden, the spouse of Mr. Icahn. F5 · ownership.nature: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. F6 · ownership.nature: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially ownthe Shares which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F7 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own the Shares which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F8 · ownership.nature: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own 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. F9 · ownership.nature: Each of the foregoing entities disclaims beneficial ownership of the restricted stock units and the option owned by Mr. Icahn for all purposes. F10 · ownership.nature: Mr. Icahn, by virtue of his relationship to Ms. Golden, may be deemed to beneficially own the Shares which Ms. Golden owns. Mr. Icahn disclaims beneficial ownership of such Shares for all purposes. Read SEC document |
| November 25, 2008 Filed Nov 26, 2008 23:41 UTC | ALTABA INC. YHOO · Entity 13268 | PurchaseCommon Stock, par value $0.001 per share ("Shares") | 2,704,780 | $9.97 | $26,960,706.08 |
DisclosureSEC source: 0000928475-08-000441 · form4112608_ex.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · Director · please see footnotes 1 - 10 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see footnotes 1 - 10 ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see footnotes 1 - 10 ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see footnotes 1 - 10 ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see footnotes 1- 10 ICAHN PARTNERS LP · CIK 0001313666 · please see footnotes 1 - 10 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: 75,198,281 F1 · ownership.nature: High River Limited Partnership ("High River") owns 15,113,025 Shares, Icahn Partners LP ("Icahn Partners") owns 21,487,054 Shares, Icahn Partners Master Fund LP ("Icahn Master") owns 27,476,810 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") owns 8,310,918 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") owns 3,177,317 Shares. F2 · ownership.nature: Carl C. Icahn owns 10,000 restricted stock units which were granted to him on August 1, 2008 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. These units are scheduled to vest ratably, in equal quarterly installments, over a one year period following the date of grant. These units will generally be paid in Shares on the earlier of the third anniversary of the grant date or the date Mr. Icahn ceases being a member of the board. F3 · ownership.nature: Does not include 30,000 Shares that may be acquired by Mr. Icahn upon exercise of an option that was granted to him on August 1, 2008 under the Plan. The option is scheduled to become exercisable at a rate of 1/4 of the Shares underlying the option in equal quarterly installments over a one year period following the date of grant. F4 · ownership.nature: Does not include 1,050 Shares owned by Gail Golden, the spouse of Mr. Icahn. F5 · ownership.nature: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. F6 · ownership.nature: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially ownthe Shares which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F7 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own the Shares which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F8 · ownership.nature: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own 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. F9 · ownership.nature: Each of the foregoing entities disclaims beneficial ownership of the restricted stock units and the option owned by Mr. Icahn for all purposes. F10 · ownership.nature: Mr. Icahn, by virtue of his relationship to Ms. Golden, may be deemed to beneficially own the Shares which Ms. Golden owns. Mr. Icahn disclaims beneficial ownership of such Shares for all purposes. Read SEC document |
| November 24, 2008 Filed Nov 26, 2008 23:41 UTC | ALTABA INC. YHOO · Entity 13268 | PurchaseCommon Stock, par value $0.001 per share ("Shares") | 3,697,181 | $9.80 | $36,227,937.18 |
DisclosureSEC source: 0000928475-08-000441 · form4112608_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · Director · please see footnotes 1 - 10 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see footnotes 1 - 10 ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see footnotes 1 - 10 ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see footnotes 1 - 10 ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see footnotes 1- 10 ICAHN PARTNERS LP · CIK 0001313666 · please see footnotes 1 - 10 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: 72,493,501 F1 · ownership.nature: High River Limited Partnership ("High River") owns 15,113,025 Shares, Icahn Partners LP ("Icahn Partners") owns 21,487,054 Shares, Icahn Partners Master Fund LP ("Icahn Master") owns 27,476,810 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") owns 8,310,918 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") owns 3,177,317 Shares. F2 · ownership.nature: Carl C. Icahn owns 10,000 restricted stock units which were granted to him on August 1, 2008 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. These units are scheduled to vest ratably, in equal quarterly installments, over a one year period following the date of grant. These units will generally be paid in Shares on the earlier of the third anniversary of the grant date or the date Mr. Icahn ceases being a member of the board. F3 · ownership.nature: Does not include 30,000 Shares that may be acquired by Mr. Icahn upon exercise of an option that was granted to him on August 1, 2008 under the Plan. The option is scheduled to become exercisable at a rate of 1/4 of the Shares underlying the option in equal quarterly installments over a one year period following the date of grant. F4 · ownership.nature: Does not include 1,050 Shares owned by Gail Golden, the spouse of Mr. Icahn. F5 · ownership.nature: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. F6 · ownership.nature: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially ownthe Shares which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F7 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own the Shares which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F8 · ownership.nature: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own 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. F9 · ownership.nature: Each of the foregoing entities disclaims beneficial ownership of the restricted stock units and the option owned by Mr. Icahn for all purposes. F10 · ownership.nature: Mr. Icahn, by virtue of his relationship to Ms. Golden, may be deemed to beneficially own the Shares which Ms. Golden owns. Mr. Icahn disclaims beneficial ownership of such Shares for all purposes. Read SEC document |
| October 02, 2008 Filed Oct 2, 2008 21:23 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | OtherTotal Return Swap · Derivative | 0 | Not disclosed Strike: $5.35 | Not disclosed |
DisclosureSEC source: 0000928475-08-000349 · form4100208_ex.xml · derivative · entry 7 ICAHN CARL C · CIK 0000921669 · 10% owner · see footnotes 1 - 9 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes 1 - 9 ICAHN PARTNERS LP · CIK 0001313666 · see footnotes 1- 9 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: Common Stock · 1,600 shares Expires 2010-12-28 F9 · kind: On October 2, 2008, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on June 11, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 1,600 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $4.2238 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the partial termination of the Swap is being reported as a simultaneous purchase (which is exempt from the operation of Section 16(b) of the Exchange Act pursuant to Rule 16-6(b) under the Exchange Act) and sale of the reference shares. F9 · shares: On October 2, 2008, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on June 11, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 1,600 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $4.2238 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the partial termination of the Swap is being reported as a simultaneous purchase (which is exempt from the operation of Section 16(b) of the Exchange Act pursuant to Rule 16-6(b) under the Exchange Act) and sale of the reference shares. F9 · price: On October 2, 2008, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on June 11, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 1,600 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $4.2238 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the partial termination of the Swap is being reported as a simultaneous purchase (which is exempt from the operation of Section 16(b) of the Exchange Act pursuant to Rule 16-6(b) under the Exchange Act) and sale of the reference shares. F9 · derivative.exercise_date: On October 2, 2008, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on June 11, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 1,600 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $4.2238 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the partial termination of the Swap is being reported as a simultaneous purchase (which is exempt from the operation of Section 16(b) of the Exchange Act pursuant to Rule 16-6(b) under the Exchange Act) and sale of the reference shares. F9 · balance_after: On October 2, 2008, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on June 11, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 1,600 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $4.2238 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the partial termination of the Swap is being reported as a simultaneous purchase (which is exempt from the operation of Section 16(b) of the Exchange Act pursuant to Rule 16-6(b) under the Exchange Act) and sale of the reference shares. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,823,308 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,705,963 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 6,259,403 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,978,810 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 752,144 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: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of the Issuer as set forth in Table II of the Form 3 filed by the Reporting Persons on October 2, 2008 (the "Form 3") and the applicable footnotes thereto. Generally, under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II of the Form 3 and the market value of such reference shares on the applicable termination date. F7 · ownership.nature: In addition, generally under each Swap, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Form 3 and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. Read SEC document |
| October 02, 2008 Filed Oct 2, 2008 21:23 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | OtherCommon Stock | 1,600 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000928475-08-000349 · form4100208_ex.xml · nonDerivative · entry 5 ICAHN CARL C · CIK 0000921669 · 10% owner · see footnotes 1 - 9 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes 1 - 9 ICAHN PARTNERS LP · CIK 0001313666 · see footnotes 1- 9 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 18,519,628 F9 · kind: On October 2, 2008, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on June 11, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 1,600 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $4.2238 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the partial termination of the Swap is being reported as a simultaneous purchase (which is exempt from the operation of Section 16(b) of the Exchange Act pursuant to Rule 16-6(b) under the Exchange Act) and sale of the reference shares. F9 · price: On October 2, 2008, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on June 11, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 1,600 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $4.2238 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the partial termination of the Swap is being reported as a simultaneous purchase (which is exempt from the operation of Section 16(b) of the Exchange Act pursuant to Rule 16-6(b) under the Exchange Act) and sale of the reference shares. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,823,308 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,705,963 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 6,259,403 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,978,810 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 752,144 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. Read SEC document |
| October 02, 2008 Filed Oct 2, 2008 21:23 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | OtherCommon Stock | 1,600 | $5.35 | $8,560.00 |
DisclosureSEC source: 0000928475-08-000349 · form4100208_ex.xml · nonDerivative · entry 4 ICAHN CARL C · CIK 0000921669 · 10% owner · see footnotes 1 - 9 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes 1 - 9 ICAHN PARTNERS LP · CIK 0001313666 · see footnotes 1- 9 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 18,521,228 F9 · kind: On October 2, 2008, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on June 11, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 1,600 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $4.2238 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the partial termination of the Swap is being reported as a simultaneous purchase (which is exempt from the operation of Section 16(b) of the Exchange Act pursuant to Rule 16-6(b) under the Exchange Act) and sale of the reference shares. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,823,308 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,705,963 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 6,259,403 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,978,810 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 752,144 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. Read SEC document |
| October 01, 2008 Filed Oct 2, 2008 21:23 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | OtherTotal Return Swap · Derivative | 0 | Not disclosed Strike: $5.35 | Not disclosed |
DisclosureSEC source: 0000928475-08-000349 · form4100208_ex.xml · derivative · entry 6 ICAHN CARL C · CIK 0000921669 · 10% owner · see footnotes 1 - 9 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes 1 - 9 ICAHN PARTNERS LP · CIK 0001313666 · see footnotes 1- 9 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: Common Stock · 13,916 shares Expires 2010-12-28 F8 · kind: On October 1, 2008, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on June 12, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 13,916 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $4.1826 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the partial termination of the Swap is being reported as a simultaneous purchase (which is exempt from the operation of Section 16(b) of the Exchange Act pursuant to Rule 16-6(b) under the Exchange Act) and sale of the reference shares. F8 · shares: On October 1, 2008, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on June 12, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 13,916 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $4.1826 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the partial termination of the Swap is being reported as a simultaneous purchase (which is exempt from the operation of Section 16(b) of the Exchange Act pursuant to Rule 16-6(b) under the Exchange Act) and sale of the reference shares. F8 · price: On October 1, 2008, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on June 12, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 13,916 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $4.1826 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the partial termination of the Swap is being reported as a simultaneous purchase (which is exempt from the operation of Section 16(b) of the Exchange Act pursuant to Rule 16-6(b) under the Exchange Act) and sale of the reference shares. F8 · derivative.exercise_date: On October 1, 2008, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on June 12, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 13,916 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $4.1826 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the partial termination of the Swap is being reported as a simultaneous purchase (which is exempt from the operation of Section 16(b) of the Exchange Act pursuant to Rule 16-6(b) under the Exchange Act) and sale of the reference shares. F8 · balance_after: On October 1, 2008, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on June 12, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 13,916 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $4.1826 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the partial termination of the Swap is being reported as a simultaneous purchase (which is exempt from the operation of Section 16(b) of the Exchange Act pursuant to Rule 16-6(b) under the Exchange Act) and sale of the reference shares. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,823,308 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,705,963 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 6,259,403 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,978,810 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 752,144 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: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of the Issuer as set forth in Table II of the Form 3 filed by the Reporting Persons on October 2, 2008 (the "Form 3") and the applicable footnotes thereto. Generally, under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II of the Form 3 and the market value of such reference shares on the applicable termination date. F7 · ownership.nature: In addition, generally under each Swap, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Form 3 and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. Read SEC document |
| October 01, 2008 Filed Oct 2, 2008 21:23 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | OtherCommon Stock | 13,916 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000928475-08-000349 · form4100208_ex.xml · nonDerivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner · see footnotes 1 - 9 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes 1 - 9 ICAHN PARTNERS LP · CIK 0001313666 · see footnotes 1- 9 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 18,519,628 F8 · kind: On October 1, 2008, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on June 12, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 13,916 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $4.1826 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the partial termination of the Swap is being reported as a simultaneous purchase (which is exempt from the operation of Section 16(b) of the Exchange Act pursuant to Rule 16-6(b) under the Exchange Act) and sale of the reference shares. F8 · price: On October 1, 2008, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on June 12, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 13,916 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $4.1826 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the partial termination of the Swap is being reported as a simultaneous purchase (which is exempt from the operation of Section 16(b) of the Exchange Act pursuant to Rule 16-6(b) under the Exchange Act) and sale of the reference shares. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,823,308 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,705,963 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 6,259,403 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,978,810 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 752,144 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. Read SEC document |
| October 01, 2008 Filed Oct 2, 2008 21:23 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | OtherCommon Stock | 13,916 | $5.35 | $74,450.60 |
DisclosureSEC source: 0000928475-08-000349 · form4100208_ex.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner · see footnotes 1 - 9 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes 1 - 9 ICAHN PARTNERS LP · CIK 0001313666 · see footnotes 1- 9 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 18,533,544 F8 · kind: On October 1, 2008, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on June 12, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 13,916 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $4.1826 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the partial termination of the Swap is being reported as a simultaneous purchase (which is exempt from the operation of Section 16(b) of the Exchange Act pursuant to Rule 16-6(b) under the Exchange Act) and sale of the reference shares. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,823,308 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,705,963 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 6,259,403 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,978,810 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 752,144 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. Read SEC document |
| October 01, 2008 Filed Oct 2, 2008 21:23 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | SaleCommon Stock, par value $1.00 per share ("Shares") | 40,000 | $4.18 | $167,304.00 |
DisclosureSEC source: 0000928475-08-000349 · form4100208_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · see footnotes 1 - 9 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes 1 - 9 ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes 1 - 9 ICAHN PARTNERS LP · CIK 0001313666 · see footnotes 1- 9 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 18,519,628 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,823,308 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,705,963 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 6,259,403 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,978,810 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 752,144 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. Read SEC document |
| August 01, 2008 Filed Aug 1, 2008 21:52 UTC | ALTABA INC. YHOO · Entity 13268 | GrantStock Option (right to buy) · Derivative | 30,000 | Not disclosed Strike: $19.80 | Not disclosed |
DisclosureSEC source: 0000928475-08-000293 · form4080108_ex.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · Director · see footnotes 1 - 6 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes 1 - 6 ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes 1 - 6 ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes 1 - 6 ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes 1 - 6 ICAHN PARTNERS LP · CIK 0001313666 · see footnotes 1 - 6 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2015-08-01 F9 · price: Not applicable. F8 · derivative.exercise_date: This option was granted to Carl C. Icahn under the Yahoo! Inc. 1996 Directors' Stock Plan and is scheduled to become exercisable at a rate of 1/4 of the securities underlying the option in equal quarterly installments over a one year period following the date of grant. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 13,757,264 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 20,751,624 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 23,698,519 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 7,664,729 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 2,914,184 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: Does not include 1,050 Shares owned by Gail Golden, the spouse of Mr. Icahn. Mr. Icahn, by virtue of his relationship to Ms. Golden, may be deemed to beneficially own such Shares. Mr. Icahn disclaims beneficial ownership of such Shares for all purposes. Read SEC document |
| August 01, 2008 Filed Aug 1, 2008 21:52 UTC | ALTABA INC. YHOO · Entity 13268 | GrantCommon Stock, par value $0.001 per share ("Shares") | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000928475-08-000293 · form4080108_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · Director · see footnotes 1 - 6 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes 1 - 6 ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes 1 - 6 ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes 1 - 6 ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes 1 - 6 ICAHN PARTNERS LP · CIK 0001313666 · see footnotes 1 - 6 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 68,796,320 F7 · shares: These Shares represent restricted stock units granted to Carl C. Icahn under the Yahoo! Inc. 1996 Directors' Stock Plan. Each restricted stock unit represents the contingent right to receive, upon vesting of the unit, one share of Yahoo! common stock. These units are scheduled to vest ratably, in equal quarterly installments, over a one year period following the date of grant. These units will generally be paid in shares of the Company's common stock on the earlier of the third anniversary of the grant date or the date Mr. Icahn ceases being a member of the board. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 13,757,264 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 20,751,624 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 23,698,519 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 7,664,729 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 2,914,184 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: Does not include 1,050 Shares owned by Gail Golden, the spouse of Mr. Icahn. Mr. Icahn, by virtue of his relationship to Ms. Golden, may be deemed to beneficially own such Shares. Mr. Icahn disclaims beneficial ownership of such Shares for all purposes. Read SEC document |
| April 29, 2008 Filed May 1, 2008 18:52 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | SaleCommon Stock, par value $0.001 per share ("Common Stock") | 50,683,864 | $19.38 | $981,999,865.00 |
DisclosureSEC source: 0000928475-08-000123 · form4043008ii_ex.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner · see footnotes ICAHN PARTNERS LP · CIK 0001313666 · see footnotes ICAHN CAPITAL LP · CIK 0001412093 · 10% owner · see footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes 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 F1 · shares: 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 · shares: 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 · shares: 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 · shares: 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 · shares: 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. F1 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| April 29, 2008 Filed May 1, 2008 18:52 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | SaleCommon Stock, par value $0.001 per share ("Common Stock") | 250,000 | $19.32 | $4,831,000.00 |
DisclosureSEC source: 0000928475-08-000123 · form4043008ii_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · see footnotes ICAHN PARTNERS LP · CIK 0001313666 · see footnotes ICAHN CAPITAL LP · CIK 0001412093 · 10% owner · see footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 50,683,864 F1 · shares: 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 · shares: 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 · shares: 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 · shares: 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 · shares: 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. F1 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| April 22, 2008 Filed Apr 22, 2008 21:18 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | SaleCommon Stock, par value $0.001 per share ("Common Stock") | 26,000 | $19.21 | $499,460.00 |
DisclosureSEC source: 0000928475-08-000111 · form4042208ii_ex.xml · nonDerivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner · see footnotes ICAHN PARTNERS LP · CIK 0001313666 · see footnotes ICAHN CAPITAL LP · CIK 0001412093 · 10% owner · see footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 50,933,864 F1 · shares: 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 · shares: 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 · shares: On April 18, 2008, April 21, 2008, and April 22, 2008, High River, Icahn Master, Icahn Master II and Icahn Master III sold an aggregate of 886,153 shares of Common Stock in the open market. F4 · shares: Of these 886,153 shares of Common Stock, High River sold 177,231 shares of Common Stock, Icahn Master sold 435,028 shares of Common Stock, Icahn Master II sold 206,158 shares of Common Stock and Icahn Master III sold 67,736 shares of Common Stock. F5 · shares: As a result of selling, in the aggregate, 886,153 shares of Common Stock, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III beneficially own in the aggregate 50,933,864 shares of Common Stock. Of these 50,933,864 shares of Common Stock, High River directly beneficially owns 10,186,770 shares of Common Stock, Icahn Partners directly beneficially owns 15,236,448 shares of Common Stock, Icahn Master directly beneficially owns 17,614,887 shares of Common Stock, Icahn Master II directly beneficially owns 5,720,272 shares of Common Stock and Icahn Master III directly beneficially owns 2,175,487 shares of Common Stock. F6 · shares: Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Securities Act of 1933 (the "Act")) the shares of Common Stock which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such shares of Common Stock. F7 · shares: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which Icahn Master, Icahn Master II and Icahn Master III directly beneficially own. 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. F8 · shares: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationship to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which Icahn Partners directly beneficially 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. F9 · shares: See also Form 4 filed by Carl C. Icahn et al. on April 22, 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. F1 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: On April 18, 2008, April 21, 2008, and April 22, 2008, High River, Icahn Master, Icahn Master II and Icahn Master III sold an aggregate of 886,153 shares of Common Stock in the open market. F4 · ownership.nature: Of these 886,153 shares of Common Stock, High River sold 177,231 shares of Common Stock, Icahn Master sold 435,028 shares of Common Stock, Icahn Master II sold 206,158 shares of Common Stock and Icahn Master III sold 67,736 shares of Common Stock. F5 · ownership.nature: As a result of selling, in the aggregate, 886,153 shares of Common Stock, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III beneficially own in the aggregate 50,933,864 shares of Common Stock. Of these 50,933,864 shares of Common Stock, High River directly beneficially owns 10,186,770 shares of Common Stock, Icahn Partners directly beneficially owns 15,236,448 shares of Common Stock, Icahn Master directly beneficially owns 17,614,887 shares of Common Stock, Icahn Master II directly beneficially owns 5,720,272 shares of Common Stock and Icahn Master III directly beneficially owns 2,175,487 shares of Common Stock. F6 · ownership.nature: Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Securities Act of 1933 (the "Act")) the shares of Common Stock which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such shares of Common Stock. F7 · ownership.nature: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which Icahn Master, Icahn Master II and Icahn Master III directly beneficially own. 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. F8 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationship to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which Icahn Partners directly beneficially 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. F9 · ownership.nature: See also Form 4 filed by Carl C. Icahn et al. on April 22, 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. Read SEC document |
| April 21, 2008 Filed Apr 22, 2008 21:18 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | SaleCommon Stock, par value $0.001 per share ("Common Stock") | 254,000 | $19.21 | $4,879,340.00 |
DisclosureSEC source: 0000928475-08-000111 · form4042208ii_ex.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner · see footnotes ICAHN PARTNERS LP · CIK 0001313666 · see footnotes ICAHN CAPITAL LP · CIK 0001412093 · 10% owner · see footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 50,959,864 F1 · shares: 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 · shares: 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 · shares: On April 18, 2008, April 21, 2008, and April 22, 2008, High River, Icahn Master, Icahn Master II and Icahn Master III sold an aggregate of 886,153 shares of Common Stock in the open market. F4 · shares: Of these 886,153 shares of Common Stock, High River sold 177,231 shares of Common Stock, Icahn Master sold 435,028 shares of Common Stock, Icahn Master II sold 206,158 shares of Common Stock and Icahn Master III sold 67,736 shares of Common Stock. F5 · shares: As a result of selling, in the aggregate, 886,153 shares of Common Stock, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III beneficially own in the aggregate 50,933,864 shares of Common Stock. Of these 50,933,864 shares of Common Stock, High River directly beneficially owns 10,186,770 shares of Common Stock, Icahn Partners directly beneficially owns 15,236,448 shares of Common Stock, Icahn Master directly beneficially owns 17,614,887 shares of Common Stock, Icahn Master II directly beneficially owns 5,720,272 shares of Common Stock and Icahn Master III directly beneficially owns 2,175,487 shares of Common Stock. F6 · shares: Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Securities Act of 1933 (the "Act")) the shares of Common Stock which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such shares of Common Stock. F7 · shares: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which Icahn Master, Icahn Master II and Icahn Master III directly beneficially own. 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. F8 · shares: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationship to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which Icahn Partners directly beneficially 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. F9 · shares: See also Form 4 filed by Carl C. Icahn et al. on April 22, 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. F1 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: On April 18, 2008, April 21, 2008, and April 22, 2008, High River, Icahn Master, Icahn Master II and Icahn Master III sold an aggregate of 886,153 shares of Common Stock in the open market. F4 · ownership.nature: Of these 886,153 shares of Common Stock, High River sold 177,231 shares of Common Stock, Icahn Master sold 435,028 shares of Common Stock, Icahn Master II sold 206,158 shares of Common Stock and Icahn Master III sold 67,736 shares of Common Stock. F5 · ownership.nature: As a result of selling, in the aggregate, 886,153 shares of Common Stock, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III beneficially own in the aggregate 50,933,864 shares of Common Stock. Of these 50,933,864 shares of Common Stock, High River directly beneficially owns 10,186,770 shares of Common Stock, Icahn Partners directly beneficially owns 15,236,448 shares of Common Stock, Icahn Master directly beneficially owns 17,614,887 shares of Common Stock, Icahn Master II directly beneficially owns 5,720,272 shares of Common Stock and Icahn Master III directly beneficially owns 2,175,487 shares of Common Stock. F6 · ownership.nature: Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Securities Act of 1933 (the "Act")) the shares of Common Stock which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such shares of Common Stock. F7 · ownership.nature: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which Icahn Master, Icahn Master II and Icahn Master III directly beneficially own. 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. F8 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationship to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which Icahn Partners directly beneficially 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. F9 · ownership.nature: See also Form 4 filed by Carl C. Icahn et al. on April 22, 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. Read SEC document |
| April 18, 2008 Filed Apr 22, 2008 21:18 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | SaleCommon Stock, par value $0.001 per share ("Common Stock") | 606,153 | $19.21 | $11,644,199.13 |
DisclosureSEC source: 0000928475-08-000111 · form4042208ii_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · see footnotes ICAHN PARTNERS LP · CIK 0001313666 · see footnotes ICAHN CAPITAL LP · CIK 0001412093 · 10% owner · see footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 51,213,864 F1 · shares: 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 · shares: 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 · shares: On April 18, 2008, April 21, 2008, and April 22, 2008, High River, Icahn Master, Icahn Master II and Icahn Master III sold an aggregate of 886,153 shares of Common Stock in the open market. F4 · shares: Of these 886,153 shares of Common Stock, High River sold 177,231 shares of Common Stock, Icahn Master sold 435,028 shares of Common Stock, Icahn Master II sold 206,158 shares of Common Stock and Icahn Master III sold 67,736 shares of Common Stock. F5 · shares: As a result of selling, in the aggregate, 886,153 shares of Common Stock, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III beneficially own in the aggregate 50,933,864 shares of Common Stock. Of these 50,933,864 shares of Common Stock, High River directly beneficially owns 10,186,770 shares of Common Stock, Icahn Partners directly beneficially owns 15,236,448 shares of Common Stock, Icahn Master directly beneficially owns 17,614,887 shares of Common Stock, Icahn Master II directly beneficially owns 5,720,272 shares of Common Stock and Icahn Master III directly beneficially owns 2,175,487 shares of Common Stock. F6 · shares: Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Securities Act of 1933 (the "Act")) the shares of Common Stock which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such shares of Common Stock. F7 · shares: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which Icahn Master, Icahn Master II and Icahn Master III directly beneficially own. 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. F8 · shares: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationship to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which Icahn Partners directly beneficially 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. F9 · shares: See also Form 4 filed by Carl C. Icahn et al. on April 22, 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. F1 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: On April 18, 2008, April 21, 2008, and April 22, 2008, High River, Icahn Master, Icahn Master II and Icahn Master III sold an aggregate of 886,153 shares of Common Stock in the open market. F4 · ownership.nature: Of these 886,153 shares of Common Stock, High River sold 177,231 shares of Common Stock, Icahn Master sold 435,028 shares of Common Stock, Icahn Master II sold 206,158 shares of Common Stock and Icahn Master III sold 67,736 shares of Common Stock. F5 · ownership.nature: As a result of selling, in the aggregate, 886,153 shares of Common Stock, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III beneficially own in the aggregate 50,933,864 shares of Common Stock. Of these 50,933,864 shares of Common Stock, High River directly beneficially owns 10,186,770 shares of Common Stock, Icahn Partners directly beneficially owns 15,236,448 shares of Common Stock, Icahn Master directly beneficially owns 17,614,887 shares of Common Stock, Icahn Master II directly beneficially owns 5,720,272 shares of Common Stock and Icahn Master III directly beneficially owns 2,175,487 shares of Common Stock. F6 · ownership.nature: Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Securities Act of 1933 (the "Act")) the shares of Common Stock which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such shares of Common Stock. F7 · ownership.nature: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which Icahn Master, Icahn Master II and Icahn Master III directly beneficially own. 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. F8 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationship to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares of Common Stock which Icahn Partners directly beneficially 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. F9 · ownership.nature: See also Form 4 filed by Carl C. Icahn et al. on April 22, 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. Read SEC document |
| November 16, 2007 Filed Nov 19, 2007 22:23 UTC | BLOCKBUSTER INC BBI · Entity 13183 | GrantClass A Common Stock ("Class A Shares") | 1,670,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000928475-07-000369 · bbiform4111907ii_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · Director · 10% owner · see footnotes ICAHN PARTNERS LP · CIK 0001313666 · see footnotes ICAHN PARTNERS HOLDING LP · CIK 0001412093 · 10% owner · see footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 20,560,117 F2 · price: On November 16, 2007, High River, Icahn Master II and Icahn Master III purchased for a price of $3.72 per Share, 334,140, 969,607 and 366,953 Class A Shares, respectively, for an aggregate consideration of $6,215,004 (including brokerage commissions paid for the purchase of such Shares) for the total of 1,670,700 Class A Shares. F1 · ownership.direct: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and 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 this Form 4 as the "Reporting Persons." F2 · ownership.direct: On November 16, 2007, High River, Icahn Master II and Icahn Master III purchased for a price of $3.72 per Share, 334,140, 969,607 and 366,953 Class A Shares, respectively, for an aggregate consideration of $6,215,004 (including brokerage commissions paid for the purchase of such Shares) for the total of 1,670,700 Class A Shares. F3 · ownership.direct: Mr. Icahn owns individually only 26,676 Class A Shares. F4 · ownership.direct: High River has sole voting power and sole dispositive power with regard to 3,208,688 Class A Shares. Each of Hopper, Barberry and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Barberry has sole voting power and sole dispositive power with regard to 898,000 Class A Shares. Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. F5 · ownership.direct: Icahn Master has sole voting power and sole dispositive power with regard to 7,381,540 Class A Shares. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Icahn Master II has sole voting power and sole dispositive power with regard to 969,607 Class A Shares. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Icahn Master III has sole voting power and sole dispositive power with regard to 366,953 Class A Shares. F6 · ownership.direct: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Icahn Partners has sole voting power and sole dispositive power with regard to 7,708,653 Class A Shares. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. F7 · ownership.direct: References to the number of Class A Shares assume the conversion into Class A Shares of the Preferred Shares held by all of the applicable Reporting Person. F8 · ownership.direct: Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Mr. Icahn by virtue of their relationships to Barberry (as disclosed in Item 2), is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Barberry directly beneficially owns. F9 · ownership.direct: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master II (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master II directly beneficially owns. F10 · ownership.direct: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master III (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master III directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. F11 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all and any Shares for all purposes, except to the extent of each such Reporting Person's pecuniary interest therein. F1 · 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"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and 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 this Form 4 as the "Reporting Persons." F2 · ownership.nature: On November 16, 2007, High River, Icahn Master II and Icahn Master III purchased for a price of $3.72 per Share, 334,140, 969,607 and 366,953 Class A Shares, respectively, for an aggregate consideration of $6,215,004 (including brokerage commissions paid for the purchase of such Shares) for the total of 1,670,700 Class A Shares. F3 · ownership.nature: Mr. Icahn owns individually only 26,676 Class A Shares. F4 · ownership.nature: High River has sole voting power and sole dispositive power with regard to 3,208,688 Class A Shares. Each of Hopper, Barberry and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Barberry has sole voting power and sole dispositive power with regard to 898,000 Class A Shares. Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. F5 · ownership.nature: Icahn Master has sole voting power and sole dispositive power with regard to 7,381,540 Class A Shares. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Icahn Master II has sole voting power and sole dispositive power with regard to 969,607 Class A Shares. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Icahn Master III has sole voting power and sole dispositive power with regard to 366,953 Class A Shares. F6 · ownership.nature: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Icahn Partners has sole voting power and sole dispositive power with regard to 7,708,653 Class A Shares. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. F7 · ownership.nature: References to the number of Class A Shares assume the conversion into Class A Shares of the Preferred Shares held by all of the applicable Reporting Person. F8 · ownership.nature: Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Mr. Icahn by virtue of their relationships to Barberry (as disclosed in Item 2), is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Barberry directly beneficially owns. F9 · ownership.nature: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master II (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master II directly beneficially owns. F10 · ownership.nature: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master III (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master III directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. F11 · ownership.nature: Each Reporting Person disclaims beneficial ownership of all and any Shares for all purposes, except to the extent of each such Reporting Person's pecuniary interest therein. Read SEC document |
| October 10, 2007 Filed Oct 12, 2007 19:22 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | OtherPut Option ("obligation to purchase") · Derivative | 26,047,147 | $0.00 Strike: $7.50 | $0.00 |
DisclosureSEC source: 0000928475-07-000313 · beaform4101207ii_ex.xml · derivative · entry 6 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes ICAHN PARTNERS LP · CIK 0001313666 · see footnotes ICAHN PARTNERS HOLDING LP · CIK 0001412093 · 10% owner · see footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 26,047,147 shares Expires 2009-12-10 F17 · derivative.exercise_date: High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III previously wrote European-style put options with an exercise price of $7.50 referencing an aggregate of 26,047,147 underlying Shares. The $7.50 Put Options provided that they settle in cash. F18 · ownership.direct: Please note that the "D" is inserted merely as a placeholder. As indicated in Table II, Column 9, as of October 10, 2007, the Reporting Persons no longer own any of the Derivative Securities identified in Table II. Read SEC document |
| October 10, 2007 Filed Oct 12, 2007 19:22 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | OtherCall Option ("right to purchase") · Derivative | 26,047,147 | $0.00 Strike: $7.50 | $0.00 |
DisclosureSEC source: 0000928475-07-000313 · beaform4101207ii_ex.xml · derivative · entry 5 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes ICAHN PARTNERS LP · CIK 0001313666 · see footnotes ICAHN PARTNERS HOLDING LP · CIK 0001412093 · 10% owner · see footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 26,047,147 shares Expires 2009-12-10 F1 · derivative.exercise_date: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and 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 this Form 4 as the "Reporting Persons." F6 · derivative.exercise_date: On October 10, 2007, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised American-style call options (the "$7.50 Call Options") referencing an aggregate of 26,047,147 underlying Shares. As a result of exercising the $7.50 Call Options, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III acquired in the aggregate 26,047,147 Shares. F7 · derivative.exercise_date: Of these 26,047,147 Shares, High River directly beneficially owns 4,754,004 Shares, Icahn Partners directly beneficially owns 7,745,988 Shares, Icahn Master directly beneficially owns 10,044,266 Shares, Icahn Master II directly beneficially owns 2,540,871 Shares and Icahn Master III directly beneficially owns 962,018 Shares. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares. F8 · derivative.exercise_date: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master, Icahn Master II and Icahn Master III directly beneficially owns. F9 · derivative.exercise_date: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. F18 · ownership.direct: Please note that the "D" is inserted merely as a placeholder. As indicated in Table II, Column 9, as of October 10, 2007, the Reporting Persons no longer own any of the Derivative Securities identified in Table II. Read SEC document |
| October 10, 2007 Filed Oct 12, 2007 19:22 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | OtherPut Option ("obligation to purchase") · Derivative | 8,500,000 | $0.00 Strike: $9.00 | $0.00 |
DisclosureSEC source: 0000928475-07-000313 · beaform4101207ii_ex.xml · derivative · entry 4 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes ICAHN PARTNERS LP · CIK 0001313666 · see footnotes ICAHN PARTNERS HOLDING LP · CIK 0001412093 · 10% owner · see footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,500,000 shares Expires 2008-11-03 F16 · derivative.exercise_date: High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III previously wrote European-style put options with an exercise price of $9.00 referencing an aggregate of 8,500,000 underlying Shares and expiring on November 3, 2008 (the ("$9.00 Put Options"). The $9.00 Put Options provided that they settle in cash. F18 · ownership.direct: Please note that the "D" is inserted merely as a placeholder. As indicated in Table II, Column 9, as of October 10, 2007, the Reporting Persons no longer own any of the Derivative Securities identified in Table II. Read SEC document |
| October 10, 2007 Filed Oct 12, 2007 19:22 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | OtherCall Option ("right to purchase") · Derivative | 8,500,000 | $0.00 Strike: $9.00 | $0.00 |
DisclosureSEC source: 0000928475-07-000313 · beaform4101207ii_ex.xml · derivative · entry 3 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes ICAHN PARTNERS LP · CIK 0001313666 · see footnotes ICAHN PARTNERS HOLDING LP · CIK 0001412093 · 10% owner · see footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,500,000 shares Expires 2008-11-03 F1 · derivative.exercise_date: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and 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 this Form 4 as the "Reporting Persons." F2 · derivative.exercise_date: On October 10, 2007, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised American-style call options (the " $9.00 Call Options") referencing an aggregate of 8,500,000 underlying Shares. As a result of exercising the $9.00 Call Options, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III acquired in the aggregate 8,500,000 Shares. F3 · derivative.exercise_date: Of these 8,500,000, High River directly beneficially owns 1,700,000 Shares, Icahn Partners directly beneficially owns 2,463,176 Shares, Icahn Master directly beneficially owns 2,985,026 Shares, Icahn Master II directly beneficially owns 980,608 Shares and Icahn Master III directly beneficially owns 371,190 Shares. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares. F4 · derivative.exercise_date: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master, Icahn Master II and Icahn Master III directly beneficially owns. F5 · derivative.exercise_date: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. F18 · ownership.direct: Please note that the "D" is inserted merely as a placeholder. As indicated in Table II, Column 9, as of October 10, 2007, the Reporting Persons no longer own any of the Derivative Securities identified in Table II. Read SEC document |
| October 10, 2007 Filed Oct 12, 2007 19:22 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | OtherCommon Stock | 26,047,147 | $7.50 | $195,353,602.50 |
DisclosureSEC source: 0000928475-07-000313 · beaform4101207ii_ex.xml · nonDerivative · entry 2 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes ICAHN PARTNERS LP · CIK 0001313666 · see footnotes ICAHN PARTNERS HOLDING LP · CIK 0001412093 · 10% owner · see footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 51,820,017 F1 · shares: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and 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 this Form 4 as the "Reporting Persons." F6 · shares: On October 10, 2007, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised American-style call options (the "$7.50 Call Options") referencing an aggregate of 26,047,147 underlying Shares. As a result of exercising the $7.50 Call Options, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III acquired in the aggregate 26,047,147 Shares. F7 · shares: Of these 26,047,147 Shares, High River directly beneficially owns 4,754,004 Shares, Icahn Partners directly beneficially owns 7,745,988 Shares, Icahn Master directly beneficially owns 10,044,266 Shares, Icahn Master II directly beneficially owns 2,540,871 Shares and Icahn Master III directly beneficially owns 962,018 Shares. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares. F8 · shares: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master, Icahn Master II and Icahn Master III directly beneficially owns. F9 · shares: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. F19 · shares: See also Form 4 filed by Carl C. Icahn et al. on October 12, 2007, for the name, address, and signature of each of the following Reporting Persons: Carl C. Icahn, Barberry, Beckton, High River, Hopper, Icahn Enterprises G.P., Icahn Enterprises, IPH, Icahn Offshore, and Icahn Onshore. F1 · 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"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and 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 this Form 4 as the "Reporting Persons." F13 · ownership.nature: As a result of exercising the $7.50 Call Options, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III beneficially own in the aggregate 51,820,017 Shares. Of these 51,820,017 Shares, High River directly beneficially owns 10,364,001 Shares, Icahn Partners directly beneficially owns 15,236,448 Shares, Icahn Master directly beneficially owns 18,049,915 Shares, Icahn Master II directly beneficially owns 5,926,430 Shares and Icahn Master III directly beneficially owns 2,243,223 Shares. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares. F14 · ownership.nature: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master, Icahn Master II and Icahn Master III directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. F15 · ownership.nature: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. F19 · ownership.nature: See also Form 4 filed by Carl C. Icahn et al. on October 12, 2007, for the name, address, and signature of each of the following Reporting Persons: Carl C. Icahn, Barberry, Beckton, High River, Hopper, Icahn Enterprises G.P., Icahn Enterprises, IPH, Icahn Offshore, and Icahn Onshore. Read SEC document |
| October 10, 2007 Filed Oct 12, 2007 19:22 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | OtherCommon Stock, par value $0.001 per share ("Common Stock") | 8,500,000 | $9.00 | $76,500,000.00 |
DisclosureSEC source: 0000928475-07-000313 · beaform4101207ii_ex.xml · nonDerivative · entry 1 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes ICAHN PARTNERS LP · CIK 0001313666 · see footnotes ICAHN PARTNERS HOLDING LP · CIK 0001412093 · 10% owner · see footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 25,772,870 F1 · shares: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and 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 this Form 4 as the "Reporting Persons." F2 · shares: On October 10, 2007, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised American-style call options (the " $9.00 Call Options") referencing an aggregate of 8,500,000 underlying Shares. As a result of exercising the $9.00 Call Options, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III acquired in the aggregate 8,500,000 Shares. F3 · shares: Of these 8,500,000, High River directly beneficially owns 1,700,000 Shares, Icahn Partners directly beneficially owns 2,463,176 Shares, Icahn Master directly beneficially owns 2,985,026 Shares, Icahn Master II directly beneficially owns 980,608 Shares and Icahn Master III directly beneficially owns 371,190 Shares. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares. F4 · shares: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master, Icahn Master II and Icahn Master III directly beneficially owns. F5 · shares: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. F19 · shares: See also Form 4 filed by Carl C. Icahn et al. on October 12, 2007, for the name, address, and signature of each of the following Reporting Persons: Carl C. Icahn, Barberry, Beckton, High River, Hopper, Icahn Enterprises G.P., Icahn Enterprises, IPH, Icahn Offshore, and Icahn Onshore. F1 · 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"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and 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 this Form 4 as the "Reporting Persons." F10 · ownership.nature: As a result of exercising the $9.00 Call Options, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III beneficially own in the aggregate 25,772,870 Shares. Of these 25,772,870 Shares, High River directly beneficially owns 5,609,997 Shares, Icahn Partners directly beneficially owns 7,490,460 Shares, Icahn Master directly beneficially owns 8,005,649 Shares, Icahn Master II directly beneficially owns 3,385,559 Shares and Icahn Master III directly beneficially owns 1,281,205 Shares. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares. F11 · ownership.nature: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master, Icahn Master II and Icahn Master III directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. F12 · ownership.nature: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. F19 · ownership.nature: See also Form 4 filed by Carl C. Icahn et al. on October 12, 2007, for the name, address, and signature of each of the following Reporting Persons: Carl C. Icahn, Barberry, Beckton, High River, Hopper, Icahn Enterprises G.P., Icahn Enterprises, IPH, Icahn Offshore, and Icahn Onshore. Read SEC document |
| October 03, 2007 Filed Oct 5, 2007 18:29 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | PurchasePut Options (obligation to buy) · Derivative | 8,500,000 | $0.01 Strike: $9.00 | $85,000.00 |
DisclosureSEC source: 0000928475-07-000305 · beaform4100407ii_ex.xml · derivative · entry 2 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes ICAHN PARTNERS LP · CIK 0001313666 · see footnotes ICAHN PARTNERS HOLDING LP · CIK 0001412093 · 10% owner · see footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 8,500,000 Underlying: Common Stock · 8,500,000 shares Expires 2008-11-03 F1 · derivative.exercise_date: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and 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 this Form 4 as the "Reporting Persons." F10 · derivative.exercise_date: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III have written European-style Put Options with an exercise price of $9.00 ("$9.00 Put Options") referencing an aggregate of 8,500,000 underlying Shares (the "Underlying Shares"), which expire on November 3, 2008. The $9.00 Put Options provide that they settle in cash. Except to the extent of their pecuniary interest therein, the Reporting Persons disclaim any beneficial ownership in any Underlying Shares or other securities, if any, which may be owned by the counterparties to such $9.00 Put Options. Of these $9.00 Put Options, High River directly beneficially owns 1,700,000 $9.00 Put Options, Icahn Partners directly beneficially owns 2,463,176 $9.00 Put Options, Icahn Master directly beneficially owns 2,985,026 $9.00 Put Options, Icahn Master II directly beneficially owns 980,608 $9.00 Put Options and Icahn Master III directly beneficially owns 371,190 $9.00 Put Options. F11 · derivative.exercise_date: Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the $9.00 Put Options which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such $9.00 Put Options except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the $9.00 Put Options which Icahn Master, Icahn Master II and Icahn Master III directly beneficially owns. F12 · derivative.exercise_date: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such $9.00 Put Options except to the extent of their pecuniary interest therein. F13 · derivative.exercise_date: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the $9.00 Put Options which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such $9.00 Put Options except to the extent of their pecuniary interest therein. F1 · 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"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and 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 this Form 4 as the "Reporting Persons." F14 · ownership.nature: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III have written Put Options (as defined) referencing an aggregate of 34,547,147 Underlying Shares, of which 8,500,000 are $9.00 Put Options and 26,047,147 are European-style put options with a $7.50 exercise price (the "$7.50 Put Options" and together with the $9.00 Put Options, the "Put Options"). Of these Put Options, High River directly beneficially owns 6,454,004 Put Options, Icahn Partners directly beneficially owns 10,209,164 Put Options, Icahn Master directly beneficially owns 13,029,292 Put Options, Icahn Master II directly beneficially owns 3,521,479 Put Options, and Icahn Master III directly beneficially owns 1,333,208 Put Options. F15 · ownership.nature: Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. F16 · ownership.nature: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II, and Icahn Master III are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which Icahn Master, Icahn Master II, and Icahn Master III directly beneficially owns. F17 · ownership.nature: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. F18 · ownership.nature: See also Form 4 filed by Carl C. Icahn et al. on October 5, 2007, for the name, address, and signature of each of the following Reporting Persons: Carl C. Icahn, Barberry, Beckton, High River, Hopper, IPH, Icahn Enterprises G.P., Icahn Enterprise, Icahn Offshore, and Icahn Onshore. Read SEC document |
| October 03, 2007 Filed Oct 5, 2007 18:29 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | PurchaseCall Options (right to purchase) · Derivative | 8,500,000 | $4.84 Strike: $9.00 | $41,140,000.00 |
DisclosureSEC source: 0000928475-07-000305 · beaform4100407ii_ex.xml · derivative · entry 1 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes ICAHN PARTNERS LP · CIK 0001313666 · see footnotes ICAHN PARTNERS HOLDING LP · CIK 0001412093 · 10% owner · see footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 8,500,000 Underlying: Common Stock · 8,500,000 shares Expires 2008-11-03 F1 · derivative.exercise_date: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and 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 this Form 4 as the "Reporting Persons." F2 · derivative.exercise_date: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III purchased American-style Call Options with a $9.00 exercise price (the "$9.00 Call Options") referencing an aggregate of 8,500,000 underlying Shares (the "Underlying Shares"), which expire on November 3, 2008. The $9.00 Call Options provide for physical settlement (unless the High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III, as applicable, opts for a cash settlement). Except to the extent of their pecuniary interest therein, the Reporting Persons disclaim any beneficial ownership in any Underlying Shares or other securities, if any, which may be owned by the counterparties to such $9.00 Call Options. F3 · derivative.exercise_date: Of these $9.00 Call Options, High River directly beneficially owns 1,700,000 $9.00 Call Options, Icahn Partners directly beneficially owns 2,463,176 $9.00 Call Options, Icahn Master directly beneficially owns 2,985,026 $9.00 Call Options, Icahn Master II directly beneficially owns 980,608 $9.00 Call Options and Icahn Master III directly beneficially owns 371,190 $9.00 Call Options. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the $9.00 Call Options which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such $9.00 Call Options except to the extent of their pecuniary interest therein. F4 · derivative.exercise_date: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the $9.00 Call Options which Icahn Master, Icahn Master II and Icahn Master III directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such $9.00 Call Options except to the extent of their pecuniary interest therein. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the $9.00 Call Options which Icahn Partners directly beneficially owns. F5 · derivative.exercise_date: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such $9.00 Call Options except to the extent of their pecuniary interest therein. F1 · 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"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and 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 this Form 4 as the "Reporting Persons." F6 · ownership.nature: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III have purchased Call Options (as defined) referencing an aggregate of 34,547,147 Underlying Shares, of which 8,500,000 are $9.00 Call Options and 26,047,147 are American-style call options with a $7.50 exercise price (the "$7.50 Call Options" and together with the $9.00 Call Options, the "Call Options"). Of these Call Options, High River directly beneficially owns 6,454,004 Call Options, Icahn Partners directly beneficially owns 10,209,164 Call Options, Icahn Master directly beneficially owns 13,029,292 Call Options, Icahn Master II directly beneficially owns 3,521,479 Call Options, and Icahn Master III directly beneficially owns 1,333,208 Call Options. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Call Options which High River directly beneficially owns. F7 · ownership.nature: Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Call Options except to the extent of their pecuniary interest therein. F8 · ownership.nature: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Call Options which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Call Options except to the extent of their pecuniary interest therein. F9 · ownership.nature: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II, and Icahn Master III are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Call Options which Icahn Master, Icahn Master II, and Icahn Master III directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Call Options except to the extent of their pecuniary interest therein. F18 · ownership.nature: See also Form 4 filed by Carl C. Icahn et al. on October 5, 2007, for the name, address, and signature of each of the following Reporting Persons: Carl C. Icahn, Barberry, Beckton, High River, Hopper, IPH, Icahn Enterprises G.P., Icahn Enterprise, Icahn Offshore, and Icahn Onshore. Read SEC document |
| October 02, 2007 Filed Oct 3, 2007 20:42 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | PurchasePut Options · Derivative | 1,500,000 | $0.01 Strike: $7.50 | $15,000.00 |
DisclosureSEC source: 0000928475-07-000288 · form4100207_ex.xml · derivative · entry 4 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes ICAHN PARTNERS LP · CIK 0001313666 · see footnotes ICAHN PARTNERS HOLDING LP · CIK 0001412093 · see footnotes Icahn Partners Master Fund LP · CIK 0001322827 · see footnotes ICAHN PARTNERS MASTER FUND II LP · CIK 0001414181 · see footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 26,047,147 Underlying: Common Stock · 1,500,000 shares Expires 2009-12-10 F1 · derivative.exercise_date: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and 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 this Form 3 as the "Reporting Persons." F19 · derivative.exercise_date: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III purchased Put Options referencing an aggregate of 1,500,000 underlying Shares. Of these Put Options, High River directly beneficially owns 300,000 Put Options, Icahn Partners directly beneficially owns 438,699 Put Options, Icahn Master directly beneficially owns 531,643 Put Options, Icahn Master II directly beneficially owns 165,373 Put Options and Icahn Master III directly beneficially owns 64,285 Put Options. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. F20 · derivative.exercise_date: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II, and Icahn Master III are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which Icahn Master, Icahn Master II, and Icahn Master III directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. F21 · derivative.exercise_date: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. F1 · 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"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and 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 this Form 3 as the "Reporting Persons." F22 · ownership.nature: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III have purchased Put Options referencing an aggregate of 26,047,147 Underlying Shares. Of these Put Options, High River directly beneficially owns 4,754,004 Put Options, Icahn Partners directly beneficially owns 7,745,988 Put Options, Icahn Master directly beneficially owns 10,044,266 Put Options, Icahn Master II directly beneficially owns 2,540,871 Put Options, and Icahn Master III directly beneficially owns 962,018 Put Options. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. F23 · ownership.nature: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II, and Icahn Master III are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which Icahn Master, Icahn Master II, and Icahn Master III directly beneficially owns. F24 · ownership.nature: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. F25 · ownership.nature: See also Form 4 filed by Carl C. Icahn et al. on October 3, 2007, for the name, address, and signature of each of the following Reporting Persons: Carl C. Icahn, Barberry, Beckton, High River, Hopper, Icahn Enterprises G.P., Icahn Enterprises, IPH, Icahn Offshore, and Icahn Onshore. 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.