organization · Reporting owner
ICAHN PARTNERS MASTER FUND III 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 II 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 II 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 II 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 II 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 II 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 II 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 II 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 II 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 II 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 II 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 II 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 II 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 II 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 II 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 |
|---|---|---|---|---|---|---|
| March 30, 2010 Filed Mar 30, 2010 23:20 UTC | BLOCKBUSTER INC BBI · Entity 13183 | SaleClass A Shares | 2,500,000 | $0.24 | $600,000.00 |
DisclosureSEC source: 0001140361-10-014209 · doc1.xml · nonDerivative · entry 4 ICAHN CARL C · CIK 0000921669 · 10% owner ICAHN ONSHORE LP · CIK 0001322826 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner 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: 10,432,190 F1 · balance_after: High River Limited Partnership ("High River") directly beneficially owns 1,475,728 Class A Shares and 530,738 Class B Shares; Barberry Corp. (?Barberry?) directly beneficially owns 340,906 Class B Shares; Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,597,282 Class A Shares and 1,640,430 Class B Shares; Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,305,631 Class A Shares and 1,846,149 Class B Shares and Mr. Icahn directly beneficially owns 71,749 Class A Shares. F2 · balance_after: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("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. F3 · balance_after: 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. The foregoing entities, together with Mr. Icahn are collectively referred to as the ?Reporting Persons.? F4 · balance_after: The number of Class A Shares assume the conversion of Preferred Shares held by all of the applicable Reporting Persons into 7,378,641 Class A Shares as further described in the Form 4 filing made by the Reporting Person on November 15, 2005. Mr. Icahn disclaims beneficial ownership of such shares for all purposes, except to the extent of his pecuniary interest therein. (Class A, Class B and Preferred Shares, collectively, the ?Shares?) F5 · balance_after: 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. Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Barberry owns. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. 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. F6 · balance_after: 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. 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. F7 · balance_after: Please reference the Form 4 filing dated March 26, 2010, filed separately by certain other related Reporting Persons. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,475,728 Class A Shares and 530,738 Class B Shares; Barberry Corp. (?Barberry?) directly beneficially owns 340,906 Class B Shares; Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,597,282 Class A Shares and 1,640,430 Class B Shares; Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,305,631 Class A Shares and 1,846,149 Class B Shares and Mr. Icahn directly beneficially owns 71,749 Class A 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. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. F3 · ownership.nature: 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. The foregoing entities, together with Mr. Icahn are collectively referred to as the ?Reporting Persons.? F4 · ownership.nature: The number of Class A Shares assume the conversion of Preferred Shares held by all of the applicable Reporting Persons into 7,378,641 Class A Shares as further described in the Form 4 filing made by the Reporting Person on November 15, 2005. Mr. Icahn disclaims beneficial ownership of such shares for all purposes, except to the extent of his pecuniary interest therein. (Class A, Class B and Preferred Shares, collectively, the ?Shares?) F5 · ownership.nature: 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. Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Barberry owns. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. 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. F6 · ownership.nature: 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. 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. F7 · ownership.nature: Please reference the Form 4 filing dated March 26, 2010, filed separately by certain other related Reporting Persons. Read SEC document |
| March 30, 2010 Filed Mar 30, 2010 23:20 UTC | BLOCKBUSTER INC BBI · Entity 13183 | SaleClass A Shares | 3,490,000 | $0.25 | $872,500.00 |
DisclosureSEC source: 0001140361-10-014209 · doc1.xml · nonDerivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner ICAHN ONSHORE LP · CIK 0001322826 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner 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: 12,932,190 F1 · balance_after: High River Limited Partnership ("High River") directly beneficially owns 1,475,728 Class A Shares and 530,738 Class B Shares; Barberry Corp. (?Barberry?) directly beneficially owns 340,906 Class B Shares; Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,597,282 Class A Shares and 1,640,430 Class B Shares; Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,305,631 Class A Shares and 1,846,149 Class B Shares and Mr. Icahn directly beneficially owns 71,749 Class A Shares. F2 · balance_after: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("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. F3 · balance_after: 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. The foregoing entities, together with Mr. Icahn are collectively referred to as the ?Reporting Persons.? F4 · balance_after: The number of Class A Shares assume the conversion of Preferred Shares held by all of the applicable Reporting Persons into 7,378,641 Class A Shares as further described in the Form 4 filing made by the Reporting Person on November 15, 2005. Mr. Icahn disclaims beneficial ownership of such shares for all purposes, except to the extent of his pecuniary interest therein. (Class A, Class B and Preferred Shares, collectively, the ?Shares?) F5 · balance_after: 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. Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Barberry owns. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. 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. F6 · balance_after: 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. 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. F7 · balance_after: Please reference the Form 4 filing dated March 26, 2010, filed separately by certain other related Reporting Persons. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,475,728 Class A Shares and 530,738 Class B Shares; Barberry Corp. (?Barberry?) directly beneficially owns 340,906 Class B Shares; Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,597,282 Class A Shares and 1,640,430 Class B Shares; Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,305,631 Class A Shares and 1,846,149 Class B Shares and Mr. Icahn directly beneficially owns 71,749 Class A 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. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. F3 · ownership.nature: 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. The foregoing entities, together with Mr. Icahn are collectively referred to as the ?Reporting Persons.? F4 · ownership.nature: The number of Class A Shares assume the conversion of Preferred Shares held by all of the applicable Reporting Persons into 7,378,641 Class A Shares as further described in the Form 4 filing made by the Reporting Person on November 15, 2005. Mr. Icahn disclaims beneficial ownership of such shares for all purposes, except to the extent of his pecuniary interest therein. (Class A, Class B and Preferred Shares, collectively, the ?Shares?) F5 · ownership.nature: 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. Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Barberry owns. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. 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. F6 · ownership.nature: 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. 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 |
| March 29, 2010 Filed Mar 30, 2010 23:20 UTC | BLOCKBUSTER INC BBI · Entity 13183 | SaleClass B Shares | 317,113 | $0.21 | $66,593.73 |
DisclosureSEC source: 0001140361-10-014209 · doc1.xml · nonDerivative · entry 7 ICAHN CARL C · CIK 0000921669 · 10% owner ICAHN ONSHORE LP · CIK 0001322826 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner 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: 4,981,123 F1 · balance_after: High River Limited Partnership ("High River") directly beneficially owns 1,475,728 Class A Shares and 530,738 Class B Shares; Barberry Corp. (?Barberry?) directly beneficially owns 340,906 Class B Shares; Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,597,282 Class A Shares and 1,640,430 Class B Shares; Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,305,631 Class A Shares and 1,846,149 Class B Shares and Mr. Icahn directly beneficially owns 71,749 Class A Shares. F2 · balance_after: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("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. F3 · balance_after: 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. The foregoing entities, together with Mr. Icahn are collectively referred to as the ?Reporting Persons.? F4 · balance_after: The number of Class A Shares assume the conversion of Preferred Shares held by all of the applicable Reporting Persons into 7,378,641 Class A Shares as further described in the Form 4 filing made by the Reporting Person on November 15, 2005. Mr. Icahn disclaims beneficial ownership of such shares for all purposes, except to the extent of his pecuniary interest therein. (Class A, Class B and Preferred Shares, collectively, the ?Shares?) F5 · balance_after: 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. Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Barberry owns. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. 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. F6 · balance_after: 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. 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. F7 · balance_after: Please reference the Form 4 filing dated March 26, 2010, filed separately by certain other related Reporting Persons. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,475,728 Class A Shares and 530,738 Class B Shares; Barberry Corp. (?Barberry?) directly beneficially owns 340,906 Class B Shares; Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,597,282 Class A Shares and 1,640,430 Class B Shares; Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,305,631 Class A Shares and 1,846,149 Class B Shares and Mr. Icahn directly beneficially owns 71,749 Class A 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. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. F3 · ownership.nature: 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. The foregoing entities, together with Mr. Icahn are collectively referred to as the ?Reporting Persons.? F4 · ownership.nature: The number of Class A Shares assume the conversion of Preferred Shares held by all of the applicable Reporting Persons into 7,378,641 Class A Shares as further described in the Form 4 filing made by the Reporting Person on November 15, 2005. Mr. Icahn disclaims beneficial ownership of such shares for all purposes, except to the extent of his pecuniary interest therein. (Class A, Class B and Preferred Shares, collectively, the ?Shares?) F5 · ownership.nature: 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. Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Barberry owns. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. 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. F6 · ownership.nature: 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. 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. F7 · ownership.nature: Please reference the Form 4 filing dated March 26, 2010, filed separately by certain other related Reporting Persons. Read SEC document |
| March 29, 2010 Filed Mar 30, 2010 23:20 UTC | BLOCKBUSTER INC BBI · Entity 13183 | SaleClass A Shares | 3,483,000 | $0.29 | $1,010,070.00 |
DisclosureSEC source: 0001140361-10-014209 · doc1.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner ICAHN ONSHORE LP · CIK 0001322826 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner 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: 16,422,190 F1 · balance_after: High River Limited Partnership ("High River") directly beneficially owns 1,475,728 Class A Shares and 530,738 Class B Shares; Barberry Corp. (?Barberry?) directly beneficially owns 340,906 Class B Shares; Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,597,282 Class A Shares and 1,640,430 Class B Shares; Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,305,631 Class A Shares and 1,846,149 Class B Shares and Mr. Icahn directly beneficially owns 71,749 Class A Shares. F2 · balance_after: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("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. F3 · balance_after: 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. The foregoing entities, together with Mr. Icahn are collectively referred to as the ?Reporting Persons.? F4 · balance_after: The number of Class A Shares assume the conversion of Preferred Shares held by all of the applicable Reporting Persons into 7,378,641 Class A Shares as further described in the Form 4 filing made by the Reporting Person on November 15, 2005. Mr. Icahn disclaims beneficial ownership of such shares for all purposes, except to the extent of his pecuniary interest therein. (Class A, Class B and Preferred Shares, collectively, the ?Shares?) F5 · balance_after: 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. Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Barberry owns. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. 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. F6 · balance_after: 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. 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. F7 · balance_after: Please reference the Form 4 filing dated March 26, 2010, filed separately by certain other related Reporting Persons. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,475,728 Class A Shares and 530,738 Class B Shares; Barberry Corp. (?Barberry?) directly beneficially owns 340,906 Class B Shares; Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,597,282 Class A Shares and 1,640,430 Class B Shares; Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,305,631 Class A Shares and 1,846,149 Class B Shares and Mr. Icahn directly beneficially owns 71,749 Class A 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. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. F3 · ownership.nature: 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. The foregoing entities, together with Mr. Icahn are collectively referred to as the ?Reporting Persons.? F4 · ownership.nature: The number of Class A Shares assume the conversion of Preferred Shares held by all of the applicable Reporting Persons into 7,378,641 Class A Shares as further described in the Form 4 filing made by the Reporting Person on November 15, 2005. Mr. Icahn disclaims beneficial ownership of such shares for all purposes, except to the extent of his pecuniary interest therein. (Class A, Class B and Preferred Shares, collectively, the ?Shares?) F5 · ownership.nature: 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. Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Barberry owns. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. 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. F6 · ownership.nature: 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. 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. F7 · ownership.nature: Please reference the Form 4 filing dated March 26, 2010, filed separately by certain other related Reporting Persons. Read SEC document |
| March 26, 2010 Filed Mar 30, 2010 23:20 UTC | BLOCKBUSTER INC BBI · Entity 13183 | SaleClass B Common Stock ("Class B Shares") | 267,895 | $0.22 | $58,936.90 |
DisclosureSEC source: 0001140361-10-014209 · doc1.xml · nonDerivative · entry 6 ICAHN CARL C · CIK 0000921669 · 10% owner ICAHN ONSHORE LP · CIK 0001322826 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 5,298,236 F1 · balance_after: High River Limited Partnership ("High River") directly beneficially owns 1,475,728 Class A Shares and 530,738 Class B Shares; Barberry Corp. (?Barberry?) directly beneficially owns 340,906 Class B Shares; Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,597,282 Class A Shares and 1,640,430 Class B Shares; Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,305,631 Class A Shares and 1,846,149 Class B Shares and Mr. Icahn directly beneficially owns 71,749 Class A Shares. F2 · balance_after: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("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. F3 · balance_after: 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. The foregoing entities, together with Mr. Icahn are collectively referred to as the ?Reporting Persons.? F4 · balance_after: The number of Class A Shares assume the conversion of Preferred Shares held by all of the applicable Reporting Persons into 7,378,641 Class A Shares as further described in the Form 4 filing made by the Reporting Person on November 15, 2005. Mr. Icahn disclaims beneficial ownership of such shares for all purposes, except to the extent of his pecuniary interest therein. (Class A, Class B and Preferred Shares, collectively, the ?Shares?) F5 · balance_after: 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. Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Barberry owns. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. 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. F6 · balance_after: 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. 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. F7 · balance_after: Please reference the Form 4 filing dated March 26, 2010, filed separately by certain other related Reporting Persons. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,475,728 Class A Shares and 530,738 Class B Shares; Barberry Corp. (?Barberry?) directly beneficially owns 340,906 Class B Shares; Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,597,282 Class A Shares and 1,640,430 Class B Shares; Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,305,631 Class A Shares and 1,846,149 Class B Shares and Mr. Icahn directly beneficially owns 71,749 Class A Shares. F3 · ownership.nature: 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. The foregoing entities, together with Mr. Icahn are collectively referred to as the ?Reporting Persons.? F4 · ownership.nature: The number of Class A Shares assume the conversion of Preferred Shares held by all of the applicable Reporting Persons into 7,378,641 Class A Shares as further described in the Form 4 filing made by the Reporting Person on November 15, 2005. Mr. Icahn disclaims beneficial ownership of such shares for all purposes, except to the extent of his pecuniary interest therein. (Class A, Class B and Preferred Shares, collectively, the ?Shares?) F5 · ownership.nature: 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. Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Barberry owns. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. 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. F6 · ownership.nature: 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. 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. F7 · ownership.nature: Please reference the Form 4 filing dated March 26, 2010, filed separately by certain other related Reporting Persons. Read SEC document |
| March 26, 2010 Filed Mar 30, 2010 23:20 UTC | BLOCKBUSTER INC BBI · Entity 13183 | SaleClass A Common Stock ("Class A Shares") | 700,000 | $0.30 | $210,000.00 |
DisclosureSEC source: 0001140361-10-014209 · doc1.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner ICAHN ONSHORE LP · CIK 0001322826 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 19,905,190 F1 · balance_after: High River Limited Partnership ("High River") directly beneficially owns 1,475,728 Class A Shares and 530,738 Class B Shares; Barberry Corp. (?Barberry?) directly beneficially owns 340,906 Class B Shares; Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,597,282 Class A Shares and 1,640,430 Class B Shares; Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,305,631 Class A Shares and 1,846,149 Class B Shares and Mr. Icahn directly beneficially owns 71,749 Class A Shares. F2 · balance_after: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("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. F3 · balance_after: 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. The foregoing entities, together with Mr. Icahn are collectively referred to as the ?Reporting Persons.? F4 · balance_after: The number of Class A Shares assume the conversion of Preferred Shares held by all of the applicable Reporting Persons into 7,378,641 Class A Shares as further described in the Form 4 filing made by the Reporting Person on November 15, 2005. Mr. Icahn disclaims beneficial ownership of such shares for all purposes, except to the extent of his pecuniary interest therein. (Class A, Class B and Preferred Shares, collectively, the ?Shares?) F5 · balance_after: 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. Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Barberry owns. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. 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. F6 · balance_after: 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. 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. F7 · balance_after: Please reference the Form 4 filing dated March 26, 2010, filed separately by certain other related Reporting Persons. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,475,728 Class A Shares and 530,738 Class B Shares; Barberry Corp. (?Barberry?) directly beneficially owns 340,906 Class B Shares; Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,597,282 Class A Shares and 1,640,430 Class B Shares; Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,305,631 Class A Shares and 1,846,149 Class B Shares and Mr. Icahn directly beneficially owns 71,749 Class A 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. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. F3 · ownership.nature: 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. The foregoing entities, together with Mr. Icahn are collectively referred to as the ?Reporting Persons.? F4 · ownership.nature: The number of Class A Shares assume the conversion of Preferred Shares held by all of the applicable Reporting Persons into 7,378,641 Class A Shares as further described in the Form 4 filing made by the Reporting Person on November 15, 2005. Mr. Icahn disclaims beneficial ownership of such shares for all purposes, except to the extent of his pecuniary interest therein. (Class A, Class B and Preferred Shares, collectively, the ?Shares?) F5 · ownership.nature: 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. Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Barberry owns. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. 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. F6 · ownership.nature: 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. 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. F7 · ownership.nature: Please reference the Form 4 filing dated March 26, 2010, filed separately by certain other related Reporting Persons. Read SEC document |
| March 22, 2010 Filed Mar 25, 2010 22:50 UTC | TAKE TWO INTERACTIVE SOFTWARE INC TTWO · Entity 3076 | PurchaseCommon Stock, par value $0.01 per share ("Shares") | 36,653 | $9.96 | $365,063.88 |
DisclosureSEC source: 0001144204-10-015708 · v178678_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner BARBERRY CORP. · CIK 0000860851 · 10% owner Hopper Investments LLC · CIK 0001322824 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner BECKTON CORP · CIK 0001080113 · 10% owner ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See FNS Disclosed balance after: 11,620,526 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,324,104 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,436,075 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,866,980 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,446,200 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 547,167 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: Please reference the Form 4 filing dated March 25, 2010, filed separately by certain other related Reporting Persons. Read SEC document |
| March 19, 2010 Filed Mar 22, 2010 15:17 UTC | TAKE TWO INTERACTIVE SOFTWARE INC TTWO · Entity 3076 | PurchaseShares | 660,000 | $9.93 | $6,553,800.00 |
DisclosureSEC source: 0001144204-10-014819 · v178056_ex.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner BARBERRY CORP. · CIK 0000860851 · 10% owner Hopper Investments LLC · CIK 0001322824 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner BECKTON CORP · CIK 0001080113 · 10% owner ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See FNS Disclosed balance after: 11,583,873 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,316,773 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,425,238 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,854,783 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,441,638 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 545,441 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: Please reference the Form 4 filing dated March 19, 2010, filed separately by certain other related Reporting Persons. Read SEC document |
| March 18, 2010 Filed Mar 22, 2010 15:17 UTC | TAKE TWO INTERACTIVE SOFTWARE INC TTWO · Entity 3076 | PurchaseCommon Stock, par value $0.01 per share ("Shares") | 50,840 | $10.01 | $508,908.40 |
DisclosureSEC source: 0001144204-10-014819 · v178056_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner BARBERRY CORP. · CIK 0000860851 · 10% owner Hopper Investments LLC · CIK 0001322824 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner BECKTON CORP · CIK 0001080113 · 10% owner ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See FNS Disclosed balance after: 10,923,873 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,316,773 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,425,238 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,854,783 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,441,638 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 545,441 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: Please reference the Form 4 filing dated March 19, 2010, filed separately by certain other related Reporting Persons. Read SEC document |
| March 09, 2010 Filed Mar 11, 2010 22:46 UTC | Tropicana Entertainment Inc. TROP · Entity 12088 | OtherWarrants to purchase Shares ("Warrants") · Derivative | 784,158 | $0.00 Strike: $0.01 | $0.00 |
DisclosureSEC source: 0001140361-10-011439 · doc1.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · Director · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · please see all foonotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner BECKTON CORP · CIK 0001080113 · 10% owner ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · 10% owner ICAHN ENTERPRISES HOLDINGS L.P. · CIK 0001034563 · 10% owner IPH GP LLC · CIK 0001412091 · 10% owner ICAHN CAPITAL LP · CIK 0001412093 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 0 Underlying: Common Stock · 784,158 shares Expires 2010-06-05 F1 · ownership.direct: Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,864,562 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,951,455 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 783,368 Shares. F2 · ownership.direct: Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("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.direct: 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 · ownership.direct: 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.direct: 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.direct: On March 9, 2010, each of Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised Warrants referencing an aggregate of 784,158 underlying Shares. As a result of exercising the Warrants, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III acquired in the aggregate 784,158 Shares, which are included in the 12,664,179 Shares reported in this Form 4. F7 · ownership.direct: Please reference the Form 4 filing, dated March 11 2010, filed separately by Mr. Icahn, Icahn Offshore, and Icahn Onshore. F1 · ownership.nature: Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,864,562 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,951,455 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 783,368 Shares. F2 · ownership.nature: Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("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: 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 · 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: On March 9, 2010, each of Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised Warrants referencing an aggregate of 784,158 underlying Shares. As a result of exercising the Warrants, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III acquired in the aggregate 784,158 Shares, which are included in the 12,664,179 Shares reported in this Form 4. F7 · ownership.nature: Please reference the Form 4 filing, dated March 11 2010, filed separately by Mr. Icahn, Icahn Offshore, and Icahn Onshore. Read SEC document |
| March 09, 2010 Filed Mar 11, 2010 22:46 UTC | Tropicana Entertainment Inc. TROP · Entity 12088 | OtherCommon Stock, par value $0.01 per share ("Shares") | 784,158 | $0.01 | $7,841.58 |
DisclosureSEC source: 0001140361-10-011439 · doc1.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · Director · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · please see all foonotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner BECKTON CORP · CIK 0001080113 · 10% owner ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · 10% owner ICAHN ENTERPRISES HOLDINGS L.P. · CIK 0001034563 · 10% owner IPH GP LLC · CIK 0001412091 · 10% owner ICAHN CAPITAL LP · CIK 0001412093 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 12,664,179 F1 · ownership.direct: Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,864,562 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,951,455 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 783,368 Shares. F2 · ownership.direct: Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("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.direct: 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 · ownership.direct: 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.direct: 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.direct: On March 9, 2010, each of Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised Warrants referencing an aggregate of 784,158 underlying Shares. As a result of exercising the Warrants, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III acquired in the aggregate 784,158 Shares, which are included in the 12,664,179 Shares reported in this Form 4. F7 · ownership.direct: Please reference the Form 4 filing, dated March 11 2010, filed separately by Mr. Icahn, Icahn Offshore, and Icahn Onshore. F1 · ownership.nature: Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,864,562 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,951,455 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 783,368 Shares. F2 · ownership.nature: Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("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: 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 · 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: On March 9, 2010, each of Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised Warrants referencing an aggregate of 784,158 underlying Shares. As a result of exercising the Warrants, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III acquired in the aggregate 784,158 Shares, which are included in the 12,664,179 Shares reported in this Form 4. F7 · ownership.nature: Please reference the Form 4 filing, dated March 11 2010, filed separately by Mr. Icahn, Icahn Offshore, and Icahn Onshore. Read SEC document |
| February 11, 2010 Filed Feb 11, 2010 22:21 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseShares | 317,000 | $5.16 | $1,635,466.40 |
DisclosureSEC source: 0001140361-10-005712 · doc1.xml · nonDerivative · entry 4 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all foonotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · please see all foonotes 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: 22,107,571 F1 · balance_after: High River Limited Partnership ("High River") directly beneficially owns 4,421,515 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 6,536,231 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 7,359,605 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,749,372 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 1,040,848 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. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 4,421,515 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 6,536,231 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 7,359,605 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,749,372 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 1,040,848 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 · 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 10, 2010 Filed Feb 11, 2010 22:21 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseShares | 100,000 | $5.05 | $504,500.00 |
DisclosureSEC source: 0001140361-10-005712 · doc1.xml · nonDerivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all foonotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · please see all foonotes 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: 21,790,571 F1 · balance_after: High River Limited Partnership ("High River") directly beneficially owns 4,421,515 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 6,536,231 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 7,359,605 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,749,372 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 1,040,848 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. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 4,421,515 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 6,536,231 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 7,359,605 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,749,372 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 1,040,848 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 · 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 10, 2010 Filed Feb 11, 2010 22:21 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseShares | 254,800 | $5.06 | $1,288,625.52 |
DisclosureSEC source: 0001140361-10-005712 · doc1.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all foonotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · please see all foonotes 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: 21,690,571 F1 · balance_after: High River Limited Partnership ("High River") directly beneficially owns 4,421,515 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 6,536,231 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 7,359,605 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,749,372 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 1,040,848 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. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 4,421,515 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 6,536,231 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 7,359,605 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,749,372 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 1,040,848 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 · 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 09, 2010 Filed Feb 11, 2010 22:21 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseCommon Stock, no par value per share ("Shares") | 273,339 | $5.15 | $1,406,438.49 |
DisclosureSEC source: 0001140361-10-005712 · doc1.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner · please see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner · please see all foonotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner · please see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · please see all foonotes 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: 21,435,771 F1 · balance_after: High River Limited Partnership ("High River") directly beneficially owns 4,421,515 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 6,536,231 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 7,359,605 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,749,372 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 1,040,848 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. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 4,421,515 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 6,536,231 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 7,359,605 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,749,372 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 1,040,848 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 · 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 08, 2010 Filed Feb 9, 2010 23:49 UTC | TAKE TWO INTERACTIVE SOFTWARE INC TTWO · Entity 3076 | PurchaseShares | 800 | $9.21 | $7,368.00 |
DisclosureSEC source: 0001140361-10-005111 · doc1.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner BARBERRY CORP. · CIK 0000860851 · 10% owner BECKTON CORP · CIK 0001080113 · 10% owner Hopper Investments LLC · CIK 0001322824 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 10,873,033 F1 · ownership.direct: High River Limited Partnership ("High River") directly beneficially owns 2,174,605 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,214,621 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,617,793 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,353,896 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 512,118 Shares. F2 · 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 Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("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.direct: 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. F5 · ownership.direct: 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.direct: Please reference the Form 4 filing dated February 9, 2010, filed separately by Mr. Icahn, Icahn Enterprises Holdings, IPH, Icahn Capital, Icahn Offshore, and Icahn Onshore. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,174,605 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,214,621 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,617,793 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,353,896 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 512,118 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: Please reference the Form 4 filing dated February 9, 2010, filed separately by Mr. Icahn, Icahn Enterprises Holdings, IPH, Icahn Capital, Icahn Offshore, and Icahn Onshore. Read SEC document |
| February 05, 2010 Filed Feb 5, 2010 22:53 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseCommon stock, no par value per share ("Shares") | 291,799 | $4.97 | $1,449,657.43 |
DisclosureSEC source: 0001140361-10-004495 · doc1.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · please see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see footnotes 1 - 5 ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see footnotes 1 - 5 ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see footnotes 1 - 5 ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see footnotes 1 - 5 ICAHN PARTNERS LP · CIK 0001313666 · please see footnotes 1 - 5 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: 21,162,432 F1 · balance_after: High River Limited Partnership ("High River") directly beneficially owns 4,232,487 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 6,129,032 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 7,194,310 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,608,861 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 997,742 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. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 4,232,487 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 6,129,032 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 7,194,310 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,608,861 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 997,742 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 · 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 05, 2010 Filed Feb 9, 2010 23:49 UTC | TAKE TWO INTERACTIVE SOFTWARE INC TTWO · Entity 3076 | PurchaseCommon Stock, par value $0.01 per share ("Shares") | 300,000 | $9.18 | $2,754,000.00 |
DisclosureSEC source: 0001140361-10-005111 · doc1.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner BARBERRY CORP. · CIK 0000860851 · 10% owner BECKTON CORP · CIK 0001080113 · 10% owner Hopper Investments LLC · CIK 0001322824 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 10,872,233 F1 · ownership.direct: High River Limited Partnership ("High River") directly beneficially owns 2,174,605 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,214,621 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,617,793 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,353,896 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 512,118 Shares. F2 · 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 Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("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.direct: 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.direct: 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.direct: 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.direct: Please reference the Form 4 filing dated February 9, 2010, filed separately by Mr. Icahn, Icahn Enterprises Holdings, IPH, Icahn Capital, Icahn Offshore, and Icahn Onshore. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,174,605 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,214,621 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,617,793 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,353,896 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 512,118 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: Please reference the Form 4 filing dated February 9, 2010, filed separately by Mr. Icahn, Icahn Enterprises Holdings, IPH, Icahn Capital, Icahn Offshore, and Icahn Onshore. Read SEC document |
| February 04, 2010 Filed Feb 4, 2010 22:53 UTC | TAKE TWO INTERACTIVE SOFTWARE INC TTWO · Entity 3076 | PurchaseShares | 280,000 | $9.24 | $2,587,200.00 |
DisclosureSEC source: 0001140361-10-004226 · doc1.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner BARBERRY CORP. · CIK 0000860851 · 10% owner BECKTON CORP · CIK 0001080113 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner Hopper Investments LLC · CIK 0001322824 · 10% owner ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner 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: 10,572,233 F1 · ownership.direct: High River Limited Partnership ("High River") directly beneficially owns 2,114,445 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,101,401 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,490,373 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,353,896 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 512,118 Shares. F2 · 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 Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("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.direct: 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. F5 · ownership.direct: 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.direct: Please reference the Form 4 filing dated February 4, 2010, filed separately by Mr. Icahn, Icahn Enterprises Holdings, IPH, Icahn Capital, Icahn Offshore, and Icahn Onshore. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,114,445 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,101,401 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,490,373 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,353,896 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 512,118 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: Please reference the Form 4 filing dated February 4, 2010, filed separately by Mr. Icahn, Icahn Enterprises Holdings, IPH, Icahn Capital, Icahn Offshore, and Icahn Onshore. Read SEC document |
| February 02, 2010 Filed Feb 4, 2010 22:53 UTC | TAKE TWO INTERACTIVE SOFTWARE INC TTWO · Entity 3076 | PurchaseCommon Stock, par value $0.01 per share ("Shares") | 78,681 | $9.21 | $724,652.01 |
DisclosureSEC source: 0001140361-10-004226 · doc1.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner BARBERRY CORP. · CIK 0000860851 · 10% owner BECKTON CORP · CIK 0001080113 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · 10% owner Hopper Investments LLC · CIK 0001322824 · 10% owner ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · 10% owner ICAHN PARTNERS LP · CIK 0001313666 · 10% owner ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · 10% owner ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · 10% owner ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · 10% owner 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: 10,292,233 F1 · ownership.direct: High River Limited Partnership ("High River") directly beneficially owns 2,114,445 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,101,401 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,490,373 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,353,896 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 512,118 Shares. F2 · 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 Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("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.direct: 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.direct: 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.direct: 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.direct: Please reference the Form 4 filing dated February 4, 2010, filed separately by Mr. Icahn, Icahn Enterprises Holdings, IPH, Icahn Capital, Icahn Offshore, and Icahn Onshore. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 2,114,445 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,101,401 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,490,373 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,353,896 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 512,118 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: Please reference the Form 4 filing dated February 4, 2010, filed separately by Mr. Icahn, Icahn Enterprises Holdings, IPH, Icahn Capital, Icahn Offshore, and Icahn Onshore. Read SEC document |
| January 21, 2010 Filed Jan 25, 2010 23:48 UTC | TAKE TWO INTERACTIVE SOFTWARE INC TTWO · Entity 3076 | OtherPut Options "obligation to purchase" · Derivative | 783,479 | $0.00 Strike: $5.25 | $0.00 |
DisclosureSEC source: 0001140361-10-002613 · doc1.xml · derivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see footnotes BARBERRY CORP. · CIK 0000860851 · please see footnotes Hopper Investments LLC · CIK 0001322824 · please see footnotes ICAHN PARTNERS LP · CIK 0001313666 · please see footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see footnotes BECKTON CORP · CIK 0001080113 · please see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · please see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 0 Underlying: Common Stock · 783,479 shares Expires 2011-12-16 F1 · ownership.direct: High River Limited Partnership ("High River") directly beneficially owns 1,831,695 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,636,815 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,135,434 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,127,017 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 427,518 Shares. F2 · 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 Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("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.direct: 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.direct: 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.direct: 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.direct: On January 21, 2010, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised American-style call options (the " Call Options") referencing an aggregate of 783,479 underlying Shares. As a result of exercising the Call Options, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III acquired in the aggregate 783,479 Shares, which are included in the 9,158,479 Shares reported in this Form 4. F7 · ownership.direct: Please reference the Form 4 filing dated January 25, 2010, filed separately by Mr. Icahn, Icahn Enterprises Holdings, IPH, Icahn Capital, Icahn Offshore, and Icahn Onshore. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,831,695 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,636,815 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,135,434 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,127,017 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 427,518 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: On January 21, 2010, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised American-style call options (the " Call Options") referencing an aggregate of 783,479 underlying Shares. As a result of exercising the Call Options, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III acquired in the aggregate 783,479 Shares, which are included in the 9,158,479 Shares reported in this Form 4. F7 · ownership.nature: Please reference the Form 4 filing dated January 25, 2010, filed separately by Mr. Icahn, Icahn Enterprises Holdings, IPH, Icahn Capital, Icahn Offshore, and Icahn Onshore. Read SEC document |
| January 21, 2010 Filed Jan 25, 2010 23:48 UTC | TAKE TWO INTERACTIVE SOFTWARE INC TTWO · Entity 3076 | OtherCall Options "right to purchase" · Derivative | 783,479 | $0.00 Strike: $5.25 | $0.00 |
DisclosureSEC source: 0001140361-10-002613 · doc1.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see footnotes BARBERRY CORP. · CIK 0000860851 · please see footnotes Hopper Investments LLC · CIK 0001322824 · please see footnotes ICAHN PARTNERS LP · CIK 0001313666 · please see footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see footnotes BECKTON CORP · CIK 0001080113 · please see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · please see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · please see footnotes Disclosed balance after: 0 Underlying: Common Stock · 783,479 shares Expires 2011-12-16 F1 · ownership.direct: High River Limited Partnership ("High River") directly beneficially owns 1,831,695 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,636,815 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,135,434 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,127,017 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 427,518 Shares. F2 · 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 Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("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.direct: 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.direct: 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.direct: 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.direct: On January 21, 2010, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised American-style call options (the " Call Options") referencing an aggregate of 783,479 underlying Shares. As a result of exercising the Call Options, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III acquired in the aggregate 783,479 Shares, which are included in the 9,158,479 Shares reported in this Form 4. F7 · ownership.direct: Please reference the Form 4 filing dated January 25, 2010, filed separately by Mr. Icahn, Icahn Enterprises Holdings, IPH, Icahn Capital, Icahn Offshore, and Icahn Onshore. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,831,695 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,636,815 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,135,434 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,127,017 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 427,518 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: On January 21, 2010, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised American-style call options (the " Call Options") referencing an aggregate of 783,479 underlying Shares. As a result of exercising the Call Options, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III acquired in the aggregate 783,479 Shares, which are included in the 9,158,479 Shares reported in this Form 4. F7 · ownership.nature: Please reference the Form 4 filing dated January 25, 2010, filed separately by Mr. Icahn, Icahn Enterprises Holdings, IPH, Icahn Capital, Icahn Offshore, and Icahn Onshore. Read SEC document |
| January 21, 2010 Filed Jan 25, 2010 23:48 UTC | TAKE TWO INTERACTIVE SOFTWARE INC TTWO · Entity 3076 | OtherCommon Stock, par value $0.01 per share ("Shares") | 783,479 | $5.25 | $4,113,264.75 |
DisclosureSEC source: 0001140361-10-002613 · doc1.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · please see footnotes BARBERRY CORP. · CIK 0000860851 · please see footnotes Hopper Investments LLC · CIK 0001322824 · please see footnotes ICAHN PARTNERS LP · CIK 0001313666 · please see footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · please see footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · please see footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · please see footnotes BECKTON CORP · CIK 0001080113 · please see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · please see footnotes 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: 9,158,479 F1 · ownership.direct: High River Limited Partnership ("High River") directly beneficially owns 1,831,695 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,636,815 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,135,434 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,127,017 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 427,518 Shares. F2 · 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 Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("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.direct: 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.direct: 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.direct: 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.direct: On January 21, 2010, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised American-style call options (the " Call Options") referencing an aggregate of 783,479 underlying Shares. As a result of exercising the Call Options, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III acquired in the aggregate 783,479 Shares, which are included in the 9,158,479 Shares reported in this Form 4. F7 · ownership.direct: Please reference the Form 4 filing dated January 25, 2010, filed separately by Mr. Icahn, Icahn Enterprises Holdings, IPH, Icahn Capital, Icahn Offshore, and Icahn Onshore. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 1,831,695 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,636,815 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 3,135,434 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,127,017 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 427,518 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: On January 21, 2010, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised American-style call options (the " Call Options") referencing an aggregate of 783,479 underlying Shares. As a result of exercising the Call Options, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III acquired in the aggregate 783,479 Shares, which are included in the 9,158,479 Shares reported in this Form 4. F7 · ownership.nature: Please reference the Form 4 filing dated January 25, 2010, filed separately by Mr. Icahn, Icahn Enterprises Holdings, IPH, Icahn Capital, Icahn Offshore, and Icahn Onshore. Read SEC document |
| October 09, 2009 Filed Oct 13, 2009 21:06 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | SaleCommon Stock, par value $1.00 per share ("Common Stock") | 8,050,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000928475-09-000454 · form4101209_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 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 footnotes Disclosed balance after: 7,054,135 F6 · price: 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 · ownership.nature: 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 · 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 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 · 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 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 · 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 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. Read SEC document |
| August 31, 2009 Filed Aug 31, 2009 23:01 UTC | ALTABA INC. YHOO · Entity 13268 | SaleCommon Stock | 99,800 | $14.75 | $1,471,930.24 |
DisclosureSEC source: 0001104659-09-052698 · a4.xml · nonDerivative · entry 3 ICAHN CARL C · CIK 0000921669 · Director HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · Director ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · Director ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · Director ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · Director ICAHN PARTNERS LP · CIK 0001313666 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 62,873,572 F1 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: Does not include 1,050 shares of Common Stock 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 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 · 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 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 · 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 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 · 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 of Common Stock which Ms. Golden owns. Mr. Icahn disclaims beneficial ownership of such shares of Common Stock for all purposes. Read SEC document |
| August 28, 2009 Filed Aug 31, 2009 23:01 UTC | ALTABA INC. YHOO · Entity 13268 | SaleCommon Stock | 8,552,789 | $14.88 | $127,297,145.64 |
DisclosureSEC source: 0001104659-09-052698 · a4.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · Director HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · Director ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · Director ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · Director ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · Director ICAHN PARTNERS LP · CIK 0001313666 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 62,973,372 F1 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: Does not include 1,050 shares of Common Stock 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 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 · 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 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 · 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 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 · 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 of Common Stock which Ms. Golden owns. Mr. Icahn disclaims beneficial ownership of such shares of Common Stock for all purposes. Read SEC document |
| August 27, 2009 Filed Aug 31, 2009 23:01 UTC | ALTABA INC. YHOO · Entity 13268 | SaleCommon Stock, par value $0.001 per share (''Common Stock'') | 4,053,963 | $14.92 | $60,500,127.62 |
DisclosureSEC source: 0001104659-09-052698 · a4.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · Director HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · Director ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · Director ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · Director ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · Director ICAHN PARTNERS LP · CIK 0001313666 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 71,526,161 F1 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: Does not include 1,050 shares of Common Stock 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 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 · 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 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 · 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 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 · 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 of Common Stock which Ms. Golden owns. Mr. Icahn disclaims beneficial ownership of such shares of Common Stock for all purposes. Read SEC document |
| August 26, 2009 Filed Aug 26, 2009 22:56 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | OtherTotal Return Swap · Derivative | 0 | Not disclosed Strike: $5.35 | Not disclosed |
DisclosureSEC source: 0000928475-09-000415 · form4082609_ex.xml · derivative · entry 16 ICAHN CARL C · CIK 0000921669 · 10% owner · see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · see all 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 Underlying: Common Stock · 131,737 shares Expires 2010-12-28 F11 · kind: On August 26, 2009, upon the partial termination of a Swap entered into by High River on June 12, 2008, High River paid to the counterparty an amount representing, for 131,737 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1307 (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. F11 · shares: On August 26, 2009, upon the partial termination of a Swap entered into by High River on June 12, 2008, High River paid to the counterparty an amount representing, for 131,737 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1307 (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. F11 · price: On August 26, 2009, upon the partial termination of a Swap entered into by High River on June 12, 2008, High River paid to the counterparty an amount representing, for 131,737 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1307 (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. F11 · derivative.exercise_date: On August 26, 2009, upon the partial termination of a Swap entered into by High River on June 12, 2008, High River paid to the counterparty an amount representing, for 131,737 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1307 (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. F11 · balance_after: On August 26, 2009, upon the partial termination of a Swap entered into by High River on June 12, 2008, High River paid to the counterparty an amount representing, for 131,737 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1307 (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. F12 · balance_after: As a result of the transactions described in footnotes 8, 9, 10 and 11 above, all of the remaining Swaps were terminated. As a result, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III no longer have economic exposure to any shares of Common Stock through such agreements. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,020,827 shares of Common Stock, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,556,468 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,204,285 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,682,713 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 639,842 shares of Common Stock. 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 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 · 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 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 · 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 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 · ownership.nature: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III previously 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 was obligated to pay to High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III, as applicable, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II 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, was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Form 3 and the market value of such reference shares on the applicable termination date. None of the Swaps provided 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 |
| August 26, 2009 Filed Aug 26, 2009 22:56 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | OtherCommon Stock | 131,737 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000928475-09-000415 · form4082609_ex.xml · nonDerivative · entry 12 ICAHN CARL C · CIK 0000921669 · 10% owner · see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · see all 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: 15,104,135 F11 · kind: On August 26, 2009, upon the partial termination of a Swap entered into by High River on June 12, 2008, High River paid to the counterparty an amount representing, for 131,737 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1307 (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. F11 · price: On August 26, 2009, upon the partial termination of a Swap entered into by High River on June 12, 2008, High River paid to the counterparty an amount representing, for 131,737 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1307 (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 3,020,827 shares of Common Stock, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,556,468 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,204,285 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,682,713 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 639,842 shares of Common Stock. 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 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 · 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 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 · 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 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. Read SEC document |
| August 26, 2009 Filed Aug 26, 2009 22:56 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | OtherCommon Stock | 131,737 | $5.35 | $704,792.95 |
DisclosureSEC source: 0000928475-09-000415 · form4082609_ex.xml · nonDerivative · entry 11 ICAHN CARL C · CIK 0000921669 · 10% owner · see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · see all 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: 15,235,872 F11 · kind: On August 26, 2009, upon the partial termination of a Swap entered into by High River on June 12, 2008, High River paid to the counterparty an amount representing, for 131,737 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1307 (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 3,020,827 shares of Common Stock, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,556,468 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,204,285 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,682,713 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 639,842 shares of Common Stock. 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 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 · 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 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 · 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 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. Read SEC document |
| August 26, 2009 Filed Aug 26, 2009 22:56 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | SaleCommon Stock | 526,948 | $0.14 | $71,664.93 |
DisclosureSEC source: 0000928475-09-000415 · form4082609_ex.xml · nonDerivative · entry 4 ICAHN CARL C · CIK 0000921669 · 10% owner · see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · see all 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: 15,104,135 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,020,827 shares of Common Stock, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,556,468 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,204,285 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,682,713 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 639,842 shares of Common Stock. 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 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 · 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 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 · 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 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. Read SEC document |
| August 26, 2009 Filed Aug 26, 2009 22:56 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | SaleCommon Stock | 2,588,786 | $0.13 | $331,364.61 |
DisclosureSEC source: 0000928475-09-000415 · form4082609_ex.xml · nonDerivative · entry 3 ICAHN CARL C · CIK 0000921669 · 10% owner · see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · see all footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotets Disclosed balance after: 15,631,083 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,020,827 shares of Common Stock, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,556,468 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,204,285 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,682,713 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 639,842 shares of Common Stock. 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 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 · 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 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 · 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 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. Read SEC document |
| August 25, 2009 Filed Aug 26, 2009 22:56 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | OtherTotal Return Swap · Derivative | 0 | Not disclosed Strike: $5.35 | Not disclosed |
DisclosureSEC source: 0000928475-09-000415 · form4082609_ex.xml · derivative · entry 15 ICAHN CARL C · CIK 0000921669 · 10% owner · see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · see all 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 Underlying: Common Stock · 726,741 shares Expires 2010-12-28 F10 · kind: On August 25, 2009, 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 726,741 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1262 (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. F10 · shares: On August 25, 2009, 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 726,741 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1262 (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. F10 · price: On August 25, 2009, 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 726,741 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1262 (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. F10 · derivative.exercise_date: On August 25, 2009, 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 726,741 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1262 (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. F10 · balance_after: On August 25, 2009, 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 726,741 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1262 (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. F12 · balance_after: As a result of the transactions described in footnotes 8, 9, 10 and 11 above, all of the remaining Swaps were terminated. As a result, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III no longer have economic exposure to any shares of Common Stock through such agreements. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,020,827 shares of Common Stock, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,556,468 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,204,285 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,682,713 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 639,842 shares of Common Stock. 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 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 · 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 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 · 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 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 · ownership.nature: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III previously 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 was obligated to pay to High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III, as applicable, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II 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, was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Form 3 and the market value of such reference shares on the applicable termination date. None of the Swaps provided 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 |
| August 25, 2009 Filed Aug 26, 2009 22:56 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | OtherTotal Return Swap · Derivative | 0 | Not disclosed Strike: $5.35 | Not disclosed |
DisclosureSEC source: 0000928475-09-000415 · form4082609_ex.xml · derivative · entry 14 ICAHN CARL C · CIK 0000921669 · 10% owner · see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · see all 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 Underlying: Common Stock · 600,000 shares Expires 2010-12-28 F9 · kind: On August 25, 2009, 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 600,000 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1309 (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 August 25, 2009, 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 600,000 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1309 (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 August 25, 2009, 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 600,000 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1309 (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 August 25, 2009, 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 600,000 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1309 (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 August 25, 2009, 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 600,000 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1309 (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. F12 · balance_after: As a result of the transactions described in footnotes 8, 9, 10 and 11 above, all of the remaining Swaps were terminated. As a result, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III no longer have economic exposure to any shares of Common Stock through such agreements. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,020,827 shares of Common Stock, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,556,468 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,204,285 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,682,713 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 639,842 shares of Common Stock. 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 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 · 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 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 · 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 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 · ownership.nature: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III previously 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 was obligated to pay to High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III, as applicable, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II 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, was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Form 3 and the market value of such reference shares on the applicable termination date. None of the Swaps provided 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 |
| August 25, 2009 Filed Aug 26, 2009 22:56 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | OtherTotal Return Swap · Derivative | 0 | Not disclosed Strike: $15.63 | Not disclosed |
DisclosureSEC source: 0000928475-09-000415 · form4082609_ex.xml · derivative · entry 13 ICAHN CARL C · CIK 0000921669 · 10% owner · see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · see all 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 Underlying: Common Stock · 49,999 shares Expires 2010-12-28 F8 · kind: On August 25, 2009, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on December 12, 2007, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 49,999 of the shares of Common Stock subject to the Swap, the decrease between $15.627 (the initial reference price) and $0.1309 (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 August 25, 2009, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on December 12, 2007, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 49,999 of the shares of Common Stock subject to the Swap, the decrease between $15.627 (the initial reference price) and $0.1309 (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 August 25, 2009, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on December 12, 2007, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 49,999 of the shares of Common Stock subject to the Swap, the decrease between $15.627 (the initial reference price) and $0.1309 (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 August 25, 2009, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on December 12, 2007, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 49,999 of the shares of Common Stock subject to the Swap, the decrease between $15.627 (the initial reference price) and $0.1309 (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 August 25, 2009, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on December 12, 2007, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 49,999 of the shares of Common Stock subject to the Swap, the decrease between $15.627 (the initial reference price) and $0.1309 (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. F12 · balance_after: As a result of the transactions described in footnotes 8, 9, 10 and 11 above, all of the remaining Swaps were terminated. As a result, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III no longer have economic exposure to any shares of Common Stock through such agreements. F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,020,827 shares of Common Stock, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,556,468 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,204,285 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,682,713 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 639,842 shares of Common Stock. 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 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 · 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 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 · 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 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 · ownership.nature: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III previously 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 was obligated to pay to High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III, as applicable, in cash, amounts that were determined in part by reference to any increase between an initial reference price per share as set forth in Table II 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, was obligated to pay to the counterparty, in cash, amounts that were determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Form 3 and the market value of such reference shares on the applicable termination date. None of the Swaps provided 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 |
| August 25, 2009 Filed Aug 26, 2009 22:56 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | OtherCommon Stock | 726,741 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000928475-09-000415 · form4082609_ex.xml · nonDerivative · entry 10 ICAHN CARL C · CIK 0000921669 · 10% owner · see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · see all 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: 15,104,135 F10 · kind: On August 25, 2009, 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 726,741 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1262 (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. F10 · price: On August 25, 2009, 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 726,741 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1262 (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 3,020,827 shares of Common Stock, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,556,468 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,204,285 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,682,713 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 639,842 shares of Common Stock. 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 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 · 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 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 · 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 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. Read SEC document |
| August 25, 2009 Filed Aug 26, 2009 22:56 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | OtherCommon Stock | 726,741 | $5.35 | $3,888,064.35 |
DisclosureSEC source: 0000928475-09-000415 · form4082609_ex.xml · nonDerivative · entry 9 ICAHN CARL C · CIK 0000921669 · 10% owner · see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · see all 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: 15,830,876 F10 · kind: On August 25, 2009, 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 726,741 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1262 (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 3,020,827 shares of Common Stock, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,556,468 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,204,285 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,682,713 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 639,842 shares of Common Stock. 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 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 · 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 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 · 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 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. Read SEC document |
| August 25, 2009 Filed Aug 26, 2009 22:56 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | OtherCommon Stock | 600,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000928475-09-000415 · form4082609_ex.xml · nonDerivative · entry 8 ICAHN CARL C · CIK 0000921669 · 10% owner · see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · see all 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: 15,104,135 F9 · kind: On August 25, 2009, 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 600,000 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1309 (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 August 25, 2009, 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 600,000 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1309 (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 3,020,827 shares of Common Stock, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,556,468 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,204,285 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,682,713 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 639,842 shares of Common Stock. 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 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 · 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 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 · 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 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. Read SEC document |
| August 25, 2009 Filed Aug 26, 2009 22:56 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | OtherCommon Stock | 600,000 | $5.35 | $3,210,000.00 |
DisclosureSEC source: 0000928475-09-000415 · form4082609_ex.xml · nonDerivative · entry 7 ICAHN CARL C · CIK 0000921669 · 10% owner · see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · see all 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: 15,704,135 F9 · kind: On August 25, 2009, 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 600,000 of the shares of Common Stock subject to the Swap, the decrease between $5.35 (the initial reference price) and $0.1309 (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 3,020,827 shares of Common Stock, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,556,468 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,204,285 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,682,713 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 639,842 shares of Common Stock. 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 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 · 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 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 · 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 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. Read SEC document |
| August 25, 2009 Filed Aug 26, 2009 22:56 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | OtherCommon Stock | 49,999 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000928475-09-000415 · form4082609_ex.xml · nonDerivative · entry 6 ICAHN CARL C · CIK 0000921669 · 10% owner · see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · see all 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: 15,104,135 F8 · kind: On August 25, 2009, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on December 12, 2007, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 49,999 of the shares of Common Stock subject to the Swap, the decrease between $15.627 (the initial reference price) and $0.1309 (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 August 25, 2009, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on December 12, 2007, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 49,999 of the shares of Common Stock subject to the Swap, the decrease between $15.627 (the initial reference price) and $0.1309 (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 3,020,827 shares of Common Stock, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,556,468 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,204,285 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,682,713 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 639,842 shares of Common Stock. 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 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 · 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 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 · 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 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. Read SEC document |
| August 25, 2009 Filed Aug 26, 2009 22:56 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | OtherCommon Stock | 49,999 | $15.63 | $781,334.37 |
DisclosureSEC source: 0000928475-09-000415 · form4082609_ex.xml · nonDerivative · entry 5 ICAHN CARL C · CIK 0000921669 · 10% owner · see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · see all 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: 15,154,134 F8 · kind: On August 25, 2009, upon the partial termination of a Swap entered into by High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III on December 12, 2007, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III paid to the counterparty an amount representing, for 49,999 of the shares of Common Stock subject to the Swap, the decrease between $15.627 (the initial reference price) and $0.1309 (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 3,020,827 shares of Common Stock, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,556,468 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,204,285 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,682,713 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 639,842 shares of Common Stock. 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 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 · 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 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 · 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 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. Read SEC document |
| August 25, 2009 Filed Aug 26, 2009 22:56 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | SaleCommon Stock | 149,759 | $0.13 | $18,899.59 |
DisclosureSEC source: 0000928475-09-000415 · form4082609_ex.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · 10% owner · see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · see all 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: 18,219,869 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,020,827 shares of Common Stock, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,556,468 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,204,285 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,682,713 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 639,842 shares of Common Stock. 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 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 · 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 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 · 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 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. Read SEC document |
| August 25, 2009 Filed Aug 26, 2009 22:56 UTC | Guaranty Financial Group Inc. GFG · Entity 13250 | SaleCommon Stock, par value $1.00 per share ("Common Stock") | 150,000 | $0.13 | $19,635.00 |
DisclosureSEC source: 0000928475-09-000415 · form4082609_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · 10% owner · see all footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see all footnotes ICAHN PARTNERS MASTER FUND LP · CIK 0001322827 · see all footnotes ICAHN PARTNERS MASTER FUND II L.P. · CIK 0001414181 · see all footnotes ICAHN PARTNERS MASTER FUND III L.P. · CIK 0001414179 · see all footnotes ICAHN PARTNERS LP · CIK 0001313666 · see all 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: 18,369,628 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 3,020,827 shares of Common Stock, Icahn Partners LP ("Icahn Partners") directly beneficially owns 4,556,468 shares of Common Stock, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,204,285 shares of Common Stock, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,682,713 shares of Common Stock, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 639,842 shares of Common Stock. 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 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 · 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 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 · 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 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. Read SEC document |
| July 06, 2009 Filed Jul 8, 2009 20:47 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseCommon Stock, no par value per share ("Shares") | 17,600 | $5.26 | $92,576.00 |
DisclosureSEC source: 0000928475-09-000351 · form4070809_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: 20,740,251 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 4,148,051 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,858,857 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 7,149,354 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,592,524 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 991,465 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 29, 2009 Filed Jun 30, 2009 20:50 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseShares | 597,500 | $5.43 | $3,244,425.00 |
DisclosureSEC source: 0000928475-09-000342 · form4063009_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: 20,722,651 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 4,144,531 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,858,857 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 7,149,354 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,581,267 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 988,642 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 26, 2009 Filed Jun 30, 2009 20:50 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseCommon Stock, no par value per share ("Shares") | 10,739 | $5.26 | $56,487.14 |
DisclosureSEC source: 0000928475-09-000342 · form4063009_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: 20,125,151 F1 · ownership.nature: High River Limited Partnership ("High River") directly beneficially owns 4,144,531 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,858,857 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 7,149,354 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,581,267 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 988,642 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 25, 2009 Filed Jun 25, 2009 21:18 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseShares | 172,882 | $5.22 | $902,910.82 |
DisclosureSEC source: 0000928475-09-000335 · form4062509_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: 20,114,412 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 25, 2009 Filed Jun 29, 2009 20:50 UTC | ALTABA INC. YHOO · Entity 13268 | GrantDirector Stock Option (right to buy) · Derivative | 15,000 | Not disclosed Strike: $15.53 | Not disclosed |
DisclosureSEC source: 0000928475-09-000340 · form4062909_ex.xml · derivative · entry 2 ICAHN CARL C · CIK 0000921669 · Director · 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: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2016-06-25 F13 · price: Not applicable. F12 · derivative.exercise_date: This option was granted to Carl C. Icahn automatically on the date of the annual meeting of stockholders under the Yahoo! Inc. 1996 Directors' Stock Plan. This option is scheduled to become exercisable in equal quarterly installments over the one-year period following the date of grant, subject to continuous status as a director. Read SEC document |
| June 25, 2009 Filed Jun 29, 2009 20:50 UTC | ALTABA INC. YHOO · Entity 13268 | GrantCommon Stock, par value $0.001 per share ("Shares") | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000928475-09-000340 · form4062909_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · Director · 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 footnotes 1 - 10 Disclosed balance after: 75,580,124 F11 · shares: These Shares represent an automatic award of 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. 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 an equivalent number of Shares on the earlier of the date the director's service terminates and the third anniversary of the date of grant. F1 · ownership.direct: 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.direct: 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. 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 on the earlier of the date the director's service terminates and the third anniversary of the grant date. F3 · ownership.direct: Does not include (i) 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 and (ii) 15,000 Shares 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 underlying such option in equal quarterly installments over a one year period following the date of grant. F4 · ownership.direct: Does not include 1,050 Shares owned by Gail Golden, the spouse of Mr. Icahn. F5 · 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 Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("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.direct: 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 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.direct: 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.direct: 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.direct: 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.direct: 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. 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 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. 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 on the earlier of the date the director's service terminates and the third anniversary of the grant date. F3 · ownership.nature: Does not include (i) 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 and (ii) 15,000 Shares 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 underlying such 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 own the Shares which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F7 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own 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 |
| June 24, 2009 Filed Jun 25, 2009 21:18 UTC | STARZ ENTERTAINMENT CORP /CN/ LGF · Entity 5541 | PurchaseShares | 160,000 | $5.25 | $840,400.00 |
DisclosureSEC source: 0000928475-09-000335 · form4062509_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: 19,941,530 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.