organization · Reporting owner
ICAHN OFFSHORE LP
Disclosed activity across 9 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| HAIN CELESTIAL GROUP INCHAIN · Entity 7055 | 10% owner | November 24, 2010 | November 29, 2010 |
| HOLLYWOOD ENTERTAINMENT CORPHLYW · Entity 13895 | 10% owner | March 31, 2005 | April 06, 2005 |
| Savara IncANX · Entity 4900 | 10% owner | July 27, 2005 | August 05, 2005 |
| TAKE TWO INTERACTIVE SOFTWARE INCTTWO · Entity 3076 | 10% owner | September 27, 2010 | September 29, 2010 |
| Tropicana Entertainment Inc.TROP · Entity 12088 | 10% owner | November 15, 2010 | November 17, 2010 |
| WCI COMMUNITIES INCWCIMQ · Entity 13358 | please see all footnotes | December 04, 2008 | December 05, 2008 |
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.
HAIN CELESTIAL GROUP INC
Report date November 24, 2010 · Filed November 29, 2010
Jointly reported with ICAHN CARL C, BARBERRY CORP., BECKTON CORP, HIGH RIVER LIMITED PARTNERSHIP, Hopper Investments LLC, ICAHN CAPITAL LP, ICAHN ONSHORE LP, ICAHN ENTERPRISES G.P. INC., ICAHN ENTERPRISES HOLDINGS L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per share ("Common Shares")SEC Table I · non-derivative | Indirectplease see all footnotes | 6,525,163 |
Reported balance
After 2010-11-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2010-11-24 · Purchase · Acquired 10,600 · Balance 6,525,163 F1: High River Limited Partnership ("High River") directly beneficially owns 1,307,452 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 1,985,905 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 2,248,113 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 679,014 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 316,779 Shares. F2: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. F3: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which each of Icahn Master, Icahn Master II and Icahn Master III owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F6: Please reference the Form 4 filing dated November 29, 2010, filed separately by certain other related Reporting Persons. |
| Common SharesSEC Table I · non-derivative | Indirectplease see all footnotes | 6,537,263 |
Last balance in matching sequence
After 2010-11-29 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2010-11-26 · Purchase · Acquired 6,400 · Balance 6,531,563 F1: High River Limited Partnership ("High River") directly beneficially owns 1,307,452 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 1,985,905 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 2,248,113 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 679,014 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 316,779 Shares. F2: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. F3: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which each of Icahn Master, Icahn Master II and Icahn Master III owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F6: Please reference the Form 4 filing dated November 29, 2010, filed separately by certain other related Reporting Persons. Row 3 · 2010-11-29 · Purchase · Acquired 5,700 · Balance 6,537,263 F1: High River Limited Partnership ("High River") directly beneficially owns 1,307,452 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 1,985,905 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 2,248,113 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 679,014 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 316,779 Shares. F2: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. F3: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which each of Icahn Master, Icahn Master II and Icahn Master III owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F6: Please reference the Form 4 filing dated November 29, 2010, filed separately by certain other related Reporting Persons. |
Filing footnotes · ownership attribution and instrument terms
F1: High River Limited Partnership ("High River") directly beneficially owns 1,307,452 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 1,985,905 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 2,248,113 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 679,014 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 316,779 Shares.
F2: Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III.
F3: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III. Each of Hopper, Barberry and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.
F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.
F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which each of Icahn Master, Icahn Master II and Icahn Master III owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.
F6: Please reference the Form 4 filing dated November 29, 2010, filed separately by certain other related Reporting Persons.
HOLLYWOOD ENTERTAINMENT CORP
Report date March 31, 2005 · Filed April 06, 2005
Jointly reported with ICAHN CARL C, Hopper Investments LLC, BARBERRY CORP., HIGH RIVER LIMITED PARTNERSHIP, ICAHN PARTNERS MASTER FUND LP, CCI Offshore LLC, ICAHN ONSHORE LP, CCI Onshore LLC, ICAHN PARTNERS LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectPlease see explanation below. | 6,945,201 |
Reported balance
Holding disclosure · report date 2005-03-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 6,945,201 F1: Barberry Corp. is the sole member of Hopper Investments LLC, which is the general partner of High River Limited Partnership. CCI Offshore LLC is the general partner of Icahn Offshore L.P., which is the general partner of Icahn Partners Master Fund LP. CCI Onshore LLC is the general partner of Icahn Onshore L.P., which is the general partner of Icahn Partners LP. Each of Barberry Corp., CCI Offshore LLC and CCI Onshore LLC is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position directly and indirectly to determine the investment and voting decisions made by all of the foregoing entities. continued below. F2: High River Limited Partnership owns 1,389,041 Shares. Icahn Partners Master Fund LP owns 2,295,425 Shares. Icahn Partners LP owns 3,260,735 Shares. Each of Hopper Investments LLC, Barberry Corp. and Mr. Icahn, by virtue of their relationships to High River may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns, but each of them disclaims beneficial ownership of such Shares for all other purposes. Each of Icahn Offshore L.P., CCI Offshore LLC and Mr. Icahn, by virtue of their relationships to Icahn Master may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners Master Fund LP owns, but each of them disclaims beneficial ownership of such Shares for all other purposes. F3: Each of Icahn Onshore L.P., CCI Onshore LLC and Mr. Icahn, by virtue of their relationships to Icahn Partners may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners LP owns, but each of them disclaims beneficial ownership of such Shares for all other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Barberry Corp. is the sole member of Hopper Investments LLC, which is the general partner of High River Limited Partnership. CCI Offshore LLC is the general partner of Icahn Offshore L.P., which is the general partner of Icahn Partners Master Fund LP. CCI Onshore LLC is the general partner of Icahn Onshore L.P., which is the general partner of Icahn Partners LP. Each of Barberry Corp., CCI Offshore LLC and CCI Onshore LLC is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position directly and indirectly to determine the investment and voting decisions made by all of the foregoing entities. continued below.
F2: High River Limited Partnership owns 1,389,041 Shares. Icahn Partners Master Fund LP owns 2,295,425 Shares. Icahn Partners LP owns 3,260,735 Shares. Each of Hopper Investments LLC, Barberry Corp. and Mr. Icahn, by virtue of their relationships to High River may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns, but each of them disclaims beneficial ownership of such Shares for all other purposes. Each of Icahn Offshore L.P., CCI Offshore LLC and Mr. Icahn, by virtue of their relationships to Icahn Master may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners Master Fund LP owns, but each of them disclaims beneficial ownership of such Shares for all other purposes.
F3: Each of Icahn Onshore L.P., CCI Onshore LLC and Mr. Icahn, by virtue of their relationships to Icahn Partners may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners LP owns, but each of them disclaims beneficial ownership of such Shares for all other purposes.
Savara Inc
Report date July 27, 2005 · Filed August 05, 2005
Jointly reported with ICAHN CARL C, Hopper Investments LLC, BARBERRY CORP., HIGH RIVER LIMITED PARTNERSHIP, ICAHN PARTNERS MASTER FUND LP, ICAHN ONSHORE LP, ICAHN PARTNERS LP, CCI ONSHORE LLC, CCI OFFSHORE CORP.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectPlease see explanation below | 4,324,324 |
Reported balance
Holding disclosure · report date 2005-07-27 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 4,324,324 F1: Barberry Corp. is the sole member of Hopper Investments LLC, which is the general partner of High River Limited Partnership. CCI Offshore Corp. is the general partner of Icahn Offshore LP, which is the general partner of Icahn Partners Master Fund LP. CCI Onshore Corp. is the general partner of Icahn Onshore LP, which is the general partner of Icahn Partners LP. Each of Barberry Corp., CCI Offshore Corp. and CCI Onshore Corp. is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position directly and indirectly to determine the investment and voting decisions made by all of the foregoing entities. F2: High River Limited Partnership owns 864,865 Shares. Icahn Partners Master Fund LP owns 1,798,919 Shares. Icahn Partners LP owns 1,660,540 Shares. F3: Each of Hopper Investments LLC, Barberry Corp.and Mr. Icahn, by virtue of their relationships to High River Limited Partnership may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River Limited Partnership owns, but each of them disclaims beneficial ownership of such Shares for all other purposes. F4: Each of Icahn Offshore LP, CCI Offshore Corp. and Mr. Icahn by virtue of their relationships to Icahn Master Fund LP may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners Master Fund LP owns, but each of them disclaims beneficial ownership of such Shares for all other purposes. F5: Each of Icahn Onshore LP, CCI Onshore Corp. and Mr. Icahn, by virtue of their relationships to Icahn Partners LP may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners LP owns, but each of them disclaims beneficial ownership of such Shares for all other purposes. |
| Warrants to acquire shares of Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.26 · Expires 2012-07-27 | IndirectPlease see explanation below | Not disclosed |
Reported balance
Holding disclosure · report date 2005-07-27 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F1: Barberry Corp. is the sole member of Hopper Investments LLC, which is the general partner of High River Limited Partnership. CCI Offshore Corp. is the general partner of Icahn Offshore LP, which is the general partner of Icahn Partners Master Fund LP. CCI Onshore Corp. is the general partner of Icahn Onshore LP, which is the general partner of Icahn Partners LP. Each of Barberry Corp., CCI Offshore Corp. and CCI Onshore Corp. is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position directly and indirectly to determine the investment and voting decisions made by all of the foregoing entities. F6: High River Limited Partnership owns 864,865 Warrants. Icahn Partners Master Fund LP owns 1,798,919 Warrants. Icahn Partners LP owns 1,660,540 Warrants. F7: Each of Hopper Investments LLC, Barberry Corp.and Mr. Icahn, by virtue of their relationships to High River Limited Partnership may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Warrants which High River Limited Partnership owns, but each of them disclaims beneficial ownership of such Warrants for all other purposes. F8: Each of Icahn Offshore LP, CCI Offshore Corp. and Mr. Icahn by virtue of their relationships to Icahn Master Fund LP may be deemd to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Warrants which Icahn Partners Master Fund LP owns, but each of them disclaims beneficial ownership of such Warrants for all other purposes. F9: Each of Icahn Onshore LP, CCI Onshore Corp. and Mr. Icahn, by virtue of their relationships to Icahn Partners LP may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Warrants which Icahn Partners LP owns, but each of them disclaims beneficial ownership of such Warrants for all other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Barberry Corp. is the sole member of Hopper Investments LLC, which is the general partner of High River Limited Partnership. CCI Offshore Corp. is the general partner of Icahn Offshore LP, which is the general partner of Icahn Partners Master Fund LP. CCI Onshore Corp. is the general partner of Icahn Onshore LP, which is the general partner of Icahn Partners LP. Each of Barberry Corp., CCI Offshore Corp. and CCI Onshore Corp. is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position directly and indirectly to determine the investment and voting decisions made by all of the foregoing entities.
F2: High River Limited Partnership owns 864,865 Shares. Icahn Partners Master Fund LP owns 1,798,919 Shares. Icahn Partners LP owns 1,660,540 Shares.
F3: Each of Hopper Investments LLC, Barberry Corp.and Mr. Icahn, by virtue of their relationships to High River Limited Partnership may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River Limited Partnership owns, but each of them disclaims beneficial ownership of such Shares for all other purposes.
F4: Each of Icahn Offshore LP, CCI Offshore Corp. and Mr. Icahn by virtue of their relationships to Icahn Master Fund LP may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners Master Fund LP owns, but each of them disclaims beneficial ownership of such Shares for all other purposes.
F5: Each of Icahn Onshore LP, CCI Onshore Corp. and Mr. Icahn, by virtue of their relationships to Icahn Partners LP may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners LP owns, but each of them disclaims beneficial ownership of such Shares for all other purposes.
F6: High River Limited Partnership owns 864,865 Warrants. Icahn Partners Master Fund LP owns 1,798,919 Warrants. Icahn Partners LP owns 1,660,540 Warrants.
F7: Each of Hopper Investments LLC, Barberry Corp.and Mr. Icahn, by virtue of their relationships to High River Limited Partnership may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Warrants which High River Limited Partnership owns, but each of them disclaims beneficial ownership of such Warrants for all other purposes.
F8: Each of Icahn Offshore LP, CCI Offshore Corp. and Mr. Icahn by virtue of their relationships to Icahn Master Fund LP may be deemd to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Warrants which Icahn Partners Master Fund LP owns, but each of them disclaims beneficial ownership of such Warrants for all other purposes.
F9: Each of Icahn Onshore LP, CCI Onshore Corp. and Mr. Icahn, by virtue of their relationships to Icahn Partners LP may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Warrants which Icahn Partners LP owns, but each of them disclaims beneficial ownership of such Warrants for all other purposes.
TAKE TWO INTERACTIVE SOFTWARE INC
Report date September 27, 2010 · Filed September 29, 2010
Jointly reported with ICAHN CARL C, BARBERRY CORP., BECKTON CORP, HIGH RIVER LIMITED PARTNERSHIP, Hopper Investments LLC, ICAHN CAPITAL LP, ICAHN ONSHORE LP, ICAHN ENTERPRISES G.P. INC., ICAHN ENTERPRISES HOLDINGS L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per share ("Shares")SEC Table I · non-derivative | Indirectplease see footnotes | 12,305,626 |
Reported balance
After 2010-09-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2010-09-27 · Purchase · Acquired 23,300 · Balance 12,305,626 F1: High River Limited Partnership ("High River") directly beneficially owns 2,461,124 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,654,683 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,146,489 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,457,762 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 585,568 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 September 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 2,461,124 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 3,654,683 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 4,146,489 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 1,457,762 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 585,568 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 September 29, 2010, filed separately by certain other related Reporting Persons.
Tropicana Entertainment Inc.
Report date November 15, 2010 · Filed November 17, 2010
Jointly reported with ICAHN CARL C, 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., ICAHN PARTNERS MASTER FUND III L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per share ("Shares")SEC Table I · non-derivative | Indirectplease see footnotes | 13,538,446 |
Reported balance
After 2010-11-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2010-11-15 · Purchase · Acquired 668,000 · Balance 13,538,446 F1: Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,006,942 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,668,033 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,064,794 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 798,677 Shares. F2: Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. F3: Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by each of Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III. F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which each of Icahn Master, Icahn Master II and Icahn Master III owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F6: Please reference the Form 4 filing, dated November 17, 2010, filed separately by certain other related Reporting Persons. |
Filing footnotes · ownership attribution and instrument terms
F1: Icahn Partners LP ("Icahn Partners") directly beneficially owns 5,006,942 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 5,668,033 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 2,064,794 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 798,677 Shares.
F2: Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III.
F3: Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by each of Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III.
F4: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.
F5: Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which each of Icahn Master, Icahn Master II and Icahn Master III owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein.
F6: Please reference the Form 4 filing, dated November 17, 2010, filed separately by certain other related Reporting Persons.
WCI COMMUNITIES INC
Report date December 04, 2008 · Filed December 05, 2008
Jointly reported with ICAHN CARL C, HIGH RIVER LIMITED PARTNERSHIP, Hopper Investments LLC, BARBERRY CORP., BECKTON CORP, ICAHN PARTNERS LP, ICAHN ONSHORE LP, ICAHN PARTNERS MASTER FUND LP, ICAHN CAPITAL LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per share ("Common Stock")SEC Table I · non-derivative | Direct | 3,848 |
Reported balance
After 2008-12-04 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2008-12-04 · Sale · Disposed 6,096,175 · Balance 3,848 F1: Of these shares of Common Stock of WCI Communities, Inc. (the "Shares"), 1,279,725 Shares were sold by High River Limited Partnership ("High River"), 2,901,892 Shares were sold by Icahn Partners LP ("Icahn Partners"), and 1,914,558 Shares were sold by Icahn Partners Master Fund LP ("Icahn Master"). F2: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master. F3: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." As a result of the transaction being reported by this Form 4, none of the Reporting Persons (other than Carl Icahn) beneficially own any Shares. F6: Please reference the Form 4 filing dated December 5, 2008, filed separately by Mr. Icahn, IPH, Icahn Enterprises, and Icahn Enterprises GP. F5: Please note that the purchase price was $0.000000003 per share. F4: These Shares are directly beneficially owned by Carl Icahn. |
Filing footnotes · ownership attribution and instrument terms
F1: Of these shares of Common Stock of WCI Communities, Inc. (the "Shares"), 1,279,725 Shares were sold by High River Limited Partnership ("High River"), 2,901,892 Shares were sold by Icahn Partners LP ("Icahn Partners"), and 1,914,558 Shares were sold by Icahn Partners Master Fund LP ("Icahn Master").
F2: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master.
F3: Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." As a result of the transaction being reported by this Form 4, none of the Reporting Persons (other than Carl Icahn) beneficially own any Shares.
F4: These Shares are directly beneficially owned by Carl Icahn.
F5: Please note that the purchase price was $0.000000003 per share.
F6: Please reference the Form 4 filing dated December 5, 2008, filed separately by Mr. Icahn, IPH, Icahn Enterprises, and Icahn Enterprises GP.
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
BEA SYSTEMS INC
Report date April 29, 2008 · Filed May 01, 2008
Jointly reported with ICAHN CARL C, BARBERRY CORP., BECKTON CORP, HIGH RIVER LIMITED PARTNERSHIP, Hopper Investments LLC, IPH GP LLC, ICAHN ENTERPRISES G.P. INC., ICAHN ENTERPRISES HOLDINGS L.P., ICAHN ONSHORE LP
Section 16 reporting ended · disclosed 2008-05-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.001 per share ("Common Stock")SEC Table I · non-derivative | Indirectsee footnotes | 0 |
Last balance in matching sequence
After 2008-04-29 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2008-04-29 · Sale · Disposed 250,000 · Balance 50,683,864 F1: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River Limited Partnership ("High River"). Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). F2: Icahn Onshore is the general partner of Icahn Partners LP ("Icahn Partners"). Icahn Offshore is the general partner of each of Icahn Partners Master Fund LP ("Icahn Master"), Icahn Partners Master Fund II LP ("Icahn Master II") and Icahn Partners Master Fund III LP ("Icahn Master III"). Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in the Form 4 as the "Reporting Persons." F3: On April 29, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II, and Icahn Master III sold 250,000 shares of Common Stock in the open market. Of these 250,000 shares of Common Stock, High River sold 50,000 shares of Common Stock, Icahn Master sold 138,022 shares of Common Stock, Icahn Master II sold 44,908 shares of Common Stock, and Icahn Master III sold 17,070 shares of Common Stock. F4: On April 29, 2008, Oracle Corporation announced that it had completed its acquisition of BEA Systems, Inc. and that each share of Common Stock issued and outstanding immediately prior to the effective time of the merger was cancelled and automatically converted into the right to receive $19.375 in cash. F5: See also Form 4 filed by Carl C. Icahn et al. on May 1, 2008, for the name, address and signature of each of the following Reporting Persons: Icahn Partners, Icahn Capital, Icahn Master, Icahn Master II, and Icahn Master III. Row 2 · 2008-04-29 · Sale · Disposed 50,683,864 · Balance 0 F1: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River Limited Partnership ("High River"). Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). F2: Icahn Onshore is the general partner of Icahn Partners LP ("Icahn Partners"). Icahn Offshore is the general partner of each of Icahn Partners Master Fund LP ("Icahn Master"), Icahn Partners Master Fund II LP ("Icahn Master II") and Icahn Partners Master Fund III LP ("Icahn Master III"). Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in the Form 4 as the "Reporting Persons." F3: On April 29, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II, and Icahn Master III sold 250,000 shares of Common Stock in the open market. Of these 250,000 shares of Common Stock, High River sold 50,000 shares of Common Stock, Icahn Master sold 138,022 shares of Common Stock, Icahn Master II sold 44,908 shares of Common Stock, and Icahn Master III sold 17,070 shares of Common Stock. F4: On April 29, 2008, Oracle Corporation announced that it had completed its acquisition of BEA Systems, Inc. and that each share of Common Stock issued and outstanding immediately prior to the effective time of the merger was cancelled and automatically converted into the right to receive $19.375 in cash. F5: See also Form 4 filed by Carl C. Icahn et al. on May 1, 2008, for the name, address and signature of each of the following Reporting Persons: Icahn Partners, Icahn Capital, Icahn Master, Icahn Master II, and Icahn Master III. |
Filing footnotes · ownership attribution and instrument terms
F1: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River Limited Partnership ("High River"). Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore").
F2: Icahn Onshore is the general partner of Icahn Partners LP ("Icahn Partners"). Icahn Offshore is the general partner of each of Icahn Partners Master Fund LP ("Icahn Master"), Icahn Partners Master Fund II LP ("Icahn Master II") and Icahn Partners Master Fund III LP ("Icahn Master III"). Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in the Form 4 as the "Reporting Persons."
F3: On April 29, 2008, High River, Icahn Partners, Icahn Master, Icahn Master II, and Icahn Master III sold 250,000 shares of Common Stock in the open market. Of these 250,000 shares of Common Stock, High River sold 50,000 shares of Common Stock, Icahn Master sold 138,022 shares of Common Stock, Icahn Master II sold 44,908 shares of Common Stock, and Icahn Master III sold 17,070 shares of Common Stock.
F4: On April 29, 2008, Oracle Corporation announced that it had completed its acquisition of BEA Systems, Inc. and that each share of Common Stock issued and outstanding immediately prior to the effective time of the merger was cancelled and automatically converted into the right to receive $19.375 in cash.
F5: See also Form 4 filed by Carl C. Icahn et al. on May 1, 2008, for the name, address and signature of each of the following Reporting Persons: Icahn Partners, Icahn Capital, Icahn Master, Icahn Master II, and Icahn Master III.
BKF CAPITAL GROUP INC
Report date July 25, 2008 · Filed July 28, 2008
Jointly reported with ICAHN CARL C, Hopper Investments LLC, BARBERRY CORP., HIGH RIVER LIMITED PARTNERSHIP, ICAHN PARTNERS MASTER FUND LP, ICAHN CAPITAL LP, ICAHN PARTNERS LP, ICAHN ONSHORE LP, IPH GP LLC
Section 16 reporting ended · disclosed 2008-07-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $1.00 ("Shares")SEC Table I · non-derivative | Indirectsee footnotes | 0 |
Reported balance
After 2008-07-25 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2008-07-25 · Disposition to issuer · Disposed 1,194,100 · Balance 0 F1: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River Limited Partnership ("High River"). Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). F2: Icahn Onshore is the general partner of Icahn Partners LP ("Icahn Partners"). Icahn Offshore is the general partner of Icahn Partners Master Fund LP ("Icahn Master"). Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in the Form 4 as the "Reporting Persons." F3: Please reference separate Form 4 filing made July 28, 2008, by Mr. Icahn, Icahn Enterprises Holding, Icahn Enterprises GP, and Beckton. |
Filing footnotes · ownership attribution and instrument terms
F1: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River Limited Partnership ("High River"). Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore").
F2: Icahn Onshore is the general partner of Icahn Partners LP ("Icahn Partners"). Icahn Offshore is the general partner of Icahn Partners Master Fund LP ("Icahn Master"). Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in the Form 4 as the "Reporting Persons."
F3: Please reference separate Form 4 filing made July 28, 2008, by Mr. Icahn, Icahn Enterprises Holding, Icahn Enterprises GP, and Beckton.
BLOCKBUSTER INC
Report date March 30, 2010 · Filed April 01, 2010
Jointly reported with ICAHN CARL C, HIGH RIVER LIMITED PARTNERSHIP, Hopper Investments LLC, BARBERRY CORP., ICAHN PARTNERS MASTER FUND LP, ICAHN PARTNERS MASTER FUND II L.P., ICAHN PARTNERS MASTER FUND III L.P., ICAHN 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.
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 |
|---|---|---|---|---|---|---|
| December 11, 2007 Filed Dec 13, 2007 23:16 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | OtherTRS · Derivative | 96,660 | Not disclosed Strike: $19.80 | Not disclosed |
DisclosureSEC source: 0000928475-07-000391 · form4121207c_ex.xml · derivative · entry 15 ICAHN CARL C · CIK 0000921669 · Director · 10% owner BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · see footnotes ICAHN CAPITAL LP · CIK 0001412093 · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 0 Underlying: Common Stock · 96,660 shares Expires 2008-12-17 F13 · kind: On December 11, 2007, Icahn Master and the applicable counterparty settled a Swap entered into by such parties on January 11, 2007. In accordance with the terms of such Swap, Icahn Master paid to the applicable counterparty an amount representing, for each of the 96,660 Shares subject to this Swap, the decrease between $19.80 (the initial reference price) and $3.83 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the termination of this 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(b)-6(b) under the Exchange Act) and sale of the reference shares. F13 · price: On December 11, 2007, Icahn Master and the applicable counterparty settled a Swap entered into by such parties on January 11, 2007. In accordance with the terms of such Swap, Icahn Master paid to the applicable counterparty an amount representing, for each of the 96,660 Shares subject to this Swap, the decrease between $19.80 (the initial reference price) and $3.83 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the termination of this 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(b)-6(b) under the Exchange Act) and sale of the reference shares. F13 · derivative.exercise_date: On December 11, 2007, Icahn Master and the applicable counterparty settled a Swap entered into by such parties on January 11, 2007. In accordance with the terms of such Swap, Icahn Master paid to the applicable counterparty an amount representing, for each of the 96,660 Shares subject to this Swap, the decrease between $19.80 (the initial reference price) and $3.83 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the termination of this 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(b)-6(b) under the Exchange Act) and sale of the reference shares. F3 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, 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 Hopper, Barberry and Mr. Icahn, by virtue of its relationship to High River, is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F6 · ownership.nature: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II of the Forms 3 and 4 filed by the Reporting Persons on January 12, 2007 ("Original Forms") or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and in each case the applicable footnotes thereto. F7 · ownership.nature: Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. F8 · ownership.nature: In addition, under each Swap, each of High River, Icahn Partners or Ichan Master, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. F15 · ownership.nature: Please note that this is the fifth part of a 6-part filing. Read SEC document |
| December 11, 2007 Filed Dec 13, 2007 23:16 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | OtherTRS · Derivative | 205,853 | Not disclosed Strike: $19.45 | Not disclosed |
DisclosureSEC source: 0000928475-07-000391 · form4121207c_ex.xml · derivative · entry 14 ICAHN CARL C · CIK 0000921669 · Director · 10% owner BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · see footnotes ICAHN CAPITAL LP · CIK 0001412093 · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 96,600 Underlying: Common Stock · 205,853 shares Expires 2008-12-17 F12 · kind: On December 11, 2007, Icahn Master and the applicable counterparty settled a Swap entered into by such parties on January 10, 2007. In accordance with the terms of such Swap, Icahn Master paid to the applicable counterparty an amount representing, for each of the 205,853 Shares subject to this Swap, the decrease between $19.45 (the initial reference price) and $3.83 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the termination of this 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(b)-6(b) under the Exchange Act) and sale of the reference shares. F12 · price: On December 11, 2007, Icahn Master and the applicable counterparty settled a Swap entered into by such parties on January 10, 2007. In accordance with the terms of such Swap, Icahn Master paid to the applicable counterparty an amount representing, for each of the 205,853 Shares subject to this Swap, the decrease between $19.45 (the initial reference price) and $3.83 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the termination of this 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(b)-6(b) under the Exchange Act) and sale of the reference shares. F12 · derivative.exercise_date: On December 11, 2007, Icahn Master and the applicable counterparty settled a Swap entered into by such parties on January 10, 2007. In accordance with the terms of such Swap, Icahn Master paid to the applicable counterparty an amount representing, for each of the 205,853 Shares subject to this Swap, the decrease between $19.45 (the initial reference price) and $3.83 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the termination of this 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(b)-6(b) under the Exchange Act) and sale of the reference shares. F3 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, 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 Hopper, Barberry and Mr. Icahn, by virtue of its relationship to High River, is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F6 · ownership.nature: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II of the Forms 3 and 4 filed by the Reporting Persons on January 12, 2007 ("Original Forms") or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and in each case the applicable footnotes thereto. F7 · ownership.nature: Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. F8 · ownership.nature: In addition, under each Swap, each of High River, Icahn Partners or Ichan Master, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. F15 · ownership.nature: Please note that this is the fifth part of a 6-part filing. Read SEC document |
| December 11, 2007 Filed Dec 13, 2007 23:16 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | OtherTRS · Derivative | 1,000 | Not disclosed Strike: $17.62 | Not disclosed |
DisclosureSEC source: 0000928475-07-000391 · form4121207c_ex.xml · derivative · entry 13 ICAHN CARL C · CIK 0000921669 · Director · 10% owner BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · see footnotes ICAHN CAPITAL LP · CIK 0001412093 · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 302,513 Underlying: Common Stock · 1,000 shares Expires 2008-12-17 F11 · kind: On December 11, 2007, each of High River, Icahn Partners and Icahn Master and the applicable counterparty, settled a Swap entered into by such parties on December 20, 2006. In accordance with the terms of such Swap, each of High River, Icahn Partners and Icahn Master, as applicable, paid to the applicable counterparty an amount representing, for each of the 1,000 Shares subject to this Swap, the decrease between $17.62 (the initial reference price) and $3.83 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the termination of this 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(b)-6(b) under the Exchange Act) and sale of the reference shares. F11 · price: On December 11, 2007, each of High River, Icahn Partners and Icahn Master and the applicable counterparty, settled a Swap entered into by such parties on December 20, 2006. In accordance with the terms of such Swap, each of High River, Icahn Partners and Icahn Master, as applicable, paid to the applicable counterparty an amount representing, for each of the 1,000 Shares subject to this Swap, the decrease between $17.62 (the initial reference price) and $3.83 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the termination of this 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(b)-6(b) under the Exchange Act) and sale of the reference shares. F11 · derivative.exercise_date: On December 11, 2007, each of High River, Icahn Partners and Icahn Master and the applicable counterparty, settled a Swap entered into by such parties on December 20, 2006. In accordance with the terms of such Swap, each of High River, Icahn Partners and Icahn Master, as applicable, paid to the applicable counterparty an amount representing, for each of the 1,000 Shares subject to this Swap, the decrease between $17.62 (the initial reference price) and $3.83 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the termination of this 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(b)-6(b) under the Exchange Act) and sale of the reference shares. F3 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, 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 Hopper, Barberry and Mr. Icahn, by virtue of its relationship to High River, is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F6 · ownership.nature: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II of the Forms 3 and 4 filed by the Reporting Persons on January 12, 2007 ("Original Forms") or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and in each case the applicable footnotes thereto. F7 · ownership.nature: Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. F8 · ownership.nature: In addition, under each Swap, each of High River, Icahn Partners or Ichan Master, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. F15 · ownership.nature: Please note that this is the fifth part of a 6-part filing. Read SEC document |
| December 11, 2007 Filed Dec 13, 2007 23:16 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | OtherTRS · Derivative | 269,300 | Not disclosed Strike: $17.37 | Not disclosed |
DisclosureSEC source: 0000928475-07-000391 · form4121207c_ex.xml · derivative · entry 12 ICAHN CARL C · CIK 0000921669 · Director · 10% owner BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · see footnotes ICAHN CAPITAL LP · CIK 0001412093 · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 303,513 Underlying: Common Stock · 269,300 shares Expires 2008-12-17 F10 · kind: On December 11, 2007, each of High River, Icahn Partners and Icahn Master and the applicable counterparty, settled a Swap entered into by such parties on December 19, 2006. In accordance with the terms of such Swap, each of High River, Icahn Partners and Icahn Master, as applicable, paid to the applicable counterparty an amount representing, for each of the 269,300 Shares subject to this Swap, the decrease between $17.37 (the initial reference price) and $3.83 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the termination of this 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(b)-6(b) under the Exchange Act) and sale of the reference shares. F10 · price: On December 11, 2007, each of High River, Icahn Partners and Icahn Master and the applicable counterparty, settled a Swap entered into by such parties on December 19, 2006. In accordance with the terms of such Swap, each of High River, Icahn Partners and Icahn Master, as applicable, paid to the applicable counterparty an amount representing, for each of the 269,300 Shares subject to this Swap, the decrease between $17.37 (the initial reference price) and $3.83 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the termination of this 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(b)-6(b) under the Exchange Act) and sale of the reference shares. F10 · derivative.exercise_date: On December 11, 2007, each of High River, Icahn Partners and Icahn Master and the applicable counterparty, settled a Swap entered into by such parties on December 19, 2006. In accordance with the terms of such Swap, each of High River, Icahn Partners and Icahn Master, as applicable, paid to the applicable counterparty an amount representing, for each of the 269,300 Shares subject to this Swap, the decrease between $17.37 (the initial reference price) and $3.83 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the termination of this 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(b)-6(b) under the Exchange Act) and sale of the reference shares. F3 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, 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 Hopper, Barberry and Mr. Icahn, by virtue of its relationship to High River, is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F6 · ownership.nature: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II of the Forms 3 and 4 filed by the Reporting Persons on January 12, 2007 ("Original Forms") or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and in each case the applicable footnotes thereto. F7 · ownership.nature: Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. F8 · ownership.nature: In addition, under each Swap, each of High River, Icahn Partners or Ichan Master, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. F15 · ownership.nature: Please note that this is the fifth part of a 6-part filing. Read SEC document |
| December 11, 2007 Filed Dec 13, 2007 23:16 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | OtherTotal Return Swap ("TRS") · Derivative | 265,000 | Not disclosed Strike: $18.01 | Not disclosed |
DisclosureSEC source: 0000928475-07-000391 · form4121207c_ex.xml · derivative · entry 11 ICAHN CARL C · CIK 0000921669 · Director · 10% owner BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · see footnotes ICAHN CAPITAL LP · CIK 0001412093 · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 572,813 Underlying: Common Stock · 265,000 shares Expires 2008-12-17 F9 · kind: On December 11, 2007, each of High River, Icahn Partners and Icahn Master and the applicable counterparty, settled a Swap entered into by such parties on December 18, 2006. In accordance with the terms of such Swap, each of High River, Icahn Partners and Icahn Master, as applicable, paid to the applicable counterparty an amount representing, for each of the 265,000 Shares subject to this Swap, the decrease between $18.01 (the initial reference price) and $3.83 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the termination of this 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(b)-6(b) under the Exchange Act) and sale of the reference shares. F9 · price: On December 11, 2007, each of High River, Icahn Partners and Icahn Master and the applicable counterparty, settled a Swap entered into by such parties on December 18, 2006. In accordance with the terms of such Swap, each of High River, Icahn Partners and Icahn Master, as applicable, paid to the applicable counterparty an amount representing, for each of the 265,000 Shares subject to this Swap, the decrease between $18.01 (the initial reference price) and $3.83 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the termination of this 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(b)-6(b) under the Exchange Act) and sale of the reference shares. F9 · derivative.exercise_date: On December 11, 2007, each of High River, Icahn Partners and Icahn Master and the applicable counterparty, settled a Swap entered into by such parties on December 18, 2006. In accordance with the terms of such Swap, each of High River, Icahn Partners and Icahn Master, as applicable, paid to the applicable counterparty an amount representing, for each of the 265,000 Shares subject to this Swap, the decrease between $18.01 (the initial reference price) and $3.83 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the termination of this 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(b)-6(b) under the Exchange Act) and sale of the reference shares. F3 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, 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 Hopper, Barberry and Mr. Icahn, by virtue of its relationship to High River, is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F6 · ownership.nature: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II of the Forms 3 and 4 filed by the Reporting Persons on January 12, 2007 ("Original Forms") or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and in each case the applicable footnotes thereto. F7 · ownership.nature: Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. F8 · ownership.nature: In addition, under each Swap, each of High River, Icahn Partners or Ichan Master, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. F15 · ownership.nature: Please note that this is the fifth part of a 6-part filing. Read SEC document |
| December 11, 2007 Filed Dec 13, 2007 23:16 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | OtherCommon Stock | 96,660 | $3.83 | $370,207.80 |
DisclosureSEC source: 0000928475-07-000391 · form4121207c_ex.xml · nonDerivative · entry 10 ICAHN CARL C · CIK 0000921669 · Director · 10% owner BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · see footnotes ICAHN CAPITAL LP · CIK 0001412093 · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 6,100,023 F13 · price: On December 11, 2007, Icahn Master and the applicable counterparty settled a Swap entered into by such parties on January 11, 2007. In accordance with the terms of such Swap, Icahn Master paid to the applicable counterparty an amount representing, for each of the 96,660 Shares subject to this Swap, the decrease between $19.80 (the initial reference price) and $3.83 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the termination of this 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(b)-6(b) under the Exchange Act) and sale of the reference shares. F1 · ownership.nature: Of these shares of Common Stock, par value $0.01 per share ("Shares"), of WCI Communities, Inc. ("WCI"), Carl C. Icahn directly beneficially owns 3,848 shares, High River Limited Partnership ("High River") directly beneficially owns 1,279,725 Shares and Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,901,892 Shares. F2 · ownership.nature: Of these Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 1,914, 558 Shares. F3 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, 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 Hopper, Barberry and Mr. Icahn, by virtue of its relationship to High River, is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F6 · ownership.nature: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II of the Forms 3 and 4 filed by the Reporting Persons on January 12, 2007 ("Original Forms") or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and in each case the applicable footnotes thereto. F7 · ownership.nature: Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. F8 · ownership.nature: In addition, under each Swap, each of High River, Icahn Partners or Ichan Master, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. F15 · ownership.nature: Please note that this is the fifth part of a 6-part filing. Read SEC document |
| December 11, 2007 Filed Dec 13, 2007 23:16 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | OtherCommon Stock | 96,660 | $19.80 | $1,913,868.00 |
DisclosureSEC source: 0000928475-07-000391 · form4121207c_ex.xml · nonDerivative · entry 9 ICAHN CARL C · CIK 0000921669 · Director · 10% owner BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · see footnotes ICAHN CAPITAL LP · CIK 0001412093 · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 6,196,683 F3 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, 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 Hopper, Barberry and Mr. Icahn, by virtue of its relationship to High River, is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F6 · ownership.nature: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II of the Forms 3 and 4 filed by the Reporting Persons on January 12, 2007 ("Original Forms") or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and in each case the applicable footnotes thereto. F7 · ownership.nature: Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. F8 · ownership.nature: In addition, under each Swap, each of High River, Icahn Partners or Ichan Master, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. F15 · ownership.nature: Please note that this is the fifth part of a 6-part filing. Read SEC document |
| December 11, 2007 Filed Dec 13, 2007 23:16 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | OtherCommon Stock | 205,853 | $3.83 | $788,416.99 |
DisclosureSEC source: 0000928475-07-000391 · form4121207c_ex.xml · nonDerivative · entry 8 ICAHN CARL C · CIK 0000921669 · Director · 10% owner BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · see footnotes ICAHN CAPITAL LP · CIK 0001412093 · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 6,100,023 F12 · price: On December 11, 2007, Icahn Master and the applicable counterparty settled a Swap entered into by such parties on January 10, 2007. In accordance with the terms of such Swap, Icahn Master paid to the applicable counterparty an amount representing, for each of the 205,853 Shares subject to this Swap, the decrease between $19.45 (the initial reference price) and $3.83 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the termination of this 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(b)-6(b) under the Exchange Act) and sale of the reference shares. F1 · ownership.nature: Of these shares of Common Stock, par value $0.01 per share ("Shares"), of WCI Communities, Inc. ("WCI"), Carl C. Icahn directly beneficially owns 3,848 shares, High River Limited Partnership ("High River") directly beneficially owns 1,279,725 Shares and Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,901,892 Shares. F2 · ownership.nature: Of these Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 1,914, 558 Shares. F3 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, 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 Hopper, Barberry and Mr. Icahn, by virtue of its relationship to High River, is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F6 · ownership.nature: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II of the Forms 3 and 4 filed by the Reporting Persons on January 12, 2007 ("Original Forms") or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and in each case the applicable footnotes thereto. F7 · ownership.nature: Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. F8 · ownership.nature: In addition, under each Swap, each of High River, Icahn Partners or Ichan Master, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. F15 · ownership.nature: Please note that this is the fifth part of a 6-part filing. Read SEC document |
| December 11, 2007 Filed Dec 13, 2007 23:16 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | OtherCommon Stock | 205,853 | $19.45 | $4,003,840.85 |
DisclosureSEC source: 0000928475-07-000391 · form4121207c_ex.xml · nonDerivative · entry 7 ICAHN CARL C · CIK 0000921669 · Director · 10% owner BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · see footnotes ICAHN CAPITAL LP · CIK 0001412093 · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 6,305,876 F3 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, 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 Hopper, Barberry and Mr. Icahn, by virtue of its relationship to High River, is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F6 · ownership.nature: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II of the Forms 3 and 4 filed by the Reporting Persons on January 12, 2007 ("Original Forms") or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and in each case the applicable footnotes thereto. F7 · ownership.nature: Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. F8 · ownership.nature: In addition, under each Swap, each of High River, Icahn Partners or Ichan Master, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. F15 · ownership.nature: Please note that this is the fifth part of a 6-part filing. Read SEC document |
| December 11, 2007 Filed Dec 13, 2007 23:16 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | OtherCommon Stock | 1,000 | $3.83 | $3,830.00 |
DisclosureSEC source: 0000928475-07-000391 · form4121207c_ex.xml · nonDerivative · entry 6 ICAHN CARL C · CIK 0000921669 · Director · 10% owner BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · see footnotes ICAHN CAPITAL LP · CIK 0001412093 · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 6,100,023 F11 · price: On December 11, 2007, each of High River, Icahn Partners and Icahn Master and the applicable counterparty, settled a Swap entered into by such parties on December 20, 2006. In accordance with the terms of such Swap, each of High River, Icahn Partners and Icahn Master, as applicable, paid to the applicable counterparty an amount representing, for each of the 1,000 Shares subject to this Swap, the decrease between $17.62 (the initial reference price) and $3.83 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the termination of this 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(b)-6(b) under the Exchange Act) and sale of the reference shares. F1 · ownership.nature: Of these shares of Common Stock, par value $0.01 per share ("Shares"), of WCI Communities, Inc. ("WCI"), Carl C. Icahn directly beneficially owns 3,848 shares, High River Limited Partnership ("High River") directly beneficially owns 1,279,725 Shares and Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,901,892 Shares. F2 · ownership.nature: Of these Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 1,914, 558 Shares. F3 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, 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 Hopper, Barberry and Mr. Icahn, by virtue of its relationship to High River, is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F6 · ownership.nature: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II of the Forms 3 and 4 filed by the Reporting Persons on January 12, 2007 ("Original Forms") or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and in each case the applicable footnotes thereto. F7 · ownership.nature: Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. F8 · ownership.nature: In addition, under each Swap, each of High River, Icahn Partners or Ichan Master, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. F15 · ownership.nature: Please note that this is the fifth part of a 6-part filing. Read SEC document |
| December 11, 2007 Filed Dec 13, 2007 23:16 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | OtherCommon Stock | 1,000 | $17.62 | $17,620.00 |
DisclosureSEC source: 0000928475-07-000391 · form4121207c_ex.xml · nonDerivative · entry 5 ICAHN CARL C · CIK 0000921669 · Director · 10% owner BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · see footnotes ICAHN CAPITAL LP · CIK 0001412093 · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 6,101,023 F3 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, 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 Hopper, Barberry and Mr. Icahn, by virtue of its relationship to High River, is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F6 · ownership.nature: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II of the Forms 3 and 4 filed by the Reporting Persons on January 12, 2007 ("Original Forms") or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and in each case the applicable footnotes thereto. F7 · ownership.nature: Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. F8 · ownership.nature: In addition, under each Swap, each of High River, Icahn Partners or Ichan Master, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. F15 · ownership.nature: Please note that this is the fifth part of a 6-part filing. Read SEC document |
| December 11, 2007 Filed Dec 13, 2007 23:16 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | OtherCommon Stock | 269,300 | $3.83 | $1,031,419.00 |
DisclosureSEC source: 0000928475-07-000391 · form4121207c_ex.xml · nonDerivative · entry 4 ICAHN CARL C · CIK 0000921669 · Director · 10% owner BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · see footnotes ICAHN CAPITAL LP · CIK 0001412093 · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 6,100,023 F10 · price: On December 11, 2007, each of High River, Icahn Partners and Icahn Master and the applicable counterparty, settled a Swap entered into by such parties on December 19, 2006. In accordance with the terms of such Swap, each of High River, Icahn Partners and Icahn Master, as applicable, paid to the applicable counterparty an amount representing, for each of the 269,300 Shares subject to this Swap, the decrease between $17.37 (the initial reference price) and $3.83 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the termination of this 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(b)-6(b) under the Exchange Act) and sale of the reference shares. F1 · ownership.nature: Of these shares of Common Stock, par value $0.01 per share ("Shares"), of WCI Communities, Inc. ("WCI"), Carl C. Icahn directly beneficially owns 3,848 shares, High River Limited Partnership ("High River") directly beneficially owns 1,279,725 Shares and Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,901,892 Shares. F2 · ownership.nature: Of these Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 1,914, 558 Shares. F3 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, 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 Hopper, Barberry and Mr. Icahn, by virtue of its relationship to High River, is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F6 · ownership.nature: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II of the Forms 3 and 4 filed by the Reporting Persons on January 12, 2007 ("Original Forms") or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and in each case the applicable footnotes thereto. F7 · ownership.nature: Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. F8 · ownership.nature: In addition, under each Swap, each of High River, Icahn Partners or Ichan Master, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. F15 · ownership.nature: Please note that this is the fifth part of a 6-part filing. Read SEC document |
| December 11, 2007 Filed Dec 13, 2007 23:16 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | OtherCommon Stock | 269,300 | $17.37 | $4,677,741.00 |
DisclosureSEC source: 0000928475-07-000391 · form4121207c_ex.xml · nonDerivative · entry 3 ICAHN CARL C · CIK 0000921669 · Director · 10% owner BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · see footnotes ICAHN CAPITAL LP · CIK 0001412093 · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 6,369,323 F3 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, 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 Hopper, Barberry and Mr. Icahn, by virtue of its relationship to High River, is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F6 · ownership.nature: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II of the Forms 3 and 4 filed by the Reporting Persons on January 12, 2007 ("Original Forms") or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and in each case the applicable footnotes thereto. F7 · ownership.nature: Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. F8 · ownership.nature: In addition, under each Swap, each of High River, Icahn Partners or Ichan Master, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. F15 · ownership.nature: Please note that this is the fifth part of a 6-part filing. Read SEC document |
| December 11, 2007 Filed Dec 13, 2007 23:16 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | OtherCommon Stock | 265,000 | $3.83 | $1,014,950.00 |
DisclosureSEC source: 0000928475-07-000391 · form4121207c_ex.xml · nonDerivative · entry 2 ICAHN CARL C · CIK 0000921669 · Director · 10% owner BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · see footnotes ICAHN CAPITAL LP · CIK 0001412093 · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 6,100,023 F9 · price: On December 11, 2007, each of High River, Icahn Partners and Icahn Master and the applicable counterparty, settled a Swap entered into by such parties on December 18, 2006. In accordance with the terms of such Swap, each of High River, Icahn Partners and Icahn Master, as applicable, paid to the applicable counterparty an amount representing, for each of the 265,000 Shares subject to this Swap, the decrease between $18.01 (the initial reference price) and $3.83 (the final valuation price). Pursuant to Rule 16a-4(b) under the Exchange Act, the termination of this 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(b)-6(b) under the Exchange Act) and sale of the reference shares. F1 · ownership.nature: Of these shares of Common Stock, par value $0.01 per share ("Shares"), of WCI Communities, Inc. ("WCI"), Carl C. Icahn directly beneficially owns 3,848 shares, High River Limited Partnership ("High River") directly beneficially owns 1,279,725 Shares and Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,901,892 Shares. F2 · ownership.nature: Of these Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 1,914, 558 Shares. F3 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, 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 Hopper, Barberry and Mr. Icahn, by virtue of its relationship to High River, is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F6 · ownership.nature: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II of the Forms 3 and 4 filed by the Reporting Persons on January 12, 2007 ("Original Forms") or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and in each case the applicable footnotes thereto. F7 · ownership.nature: Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. F8 · ownership.nature: In addition, under each Swap, each of High River, Icahn Partners or Ichan Master, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. F15 · ownership.nature: Please note that this is the fifth part of a 6-part filing. Read SEC document |
| December 11, 2007 Filed Dec 13, 2007 23:16 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | OtherCommon Stock, par value $0.01 per share ("Common Stock") | 265,000 | $18.01 | $4,772,650.00 |
DisclosureSEC source: 0000928475-07-000391 · form4121207c_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · Director · 10% owner BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · see footnotes ICAHN CAPITAL LP · CIK 0001412093 · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 6,365,023 F3 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises, 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 Hopper, Barberry and Mr. Icahn, by virtue of its relationship to High River, is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F6 · ownership.nature: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II of the Forms 3 and 4 filed by the Reporting Persons on January 12, 2007 ("Original Forms") or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and in each case the applicable footnotes thereto. F7 · ownership.nature: Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. F8 · ownership.nature: In addition, under each Swap, each of High River, Icahn Partners or Ichan Master, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II of the Original Forms or with respect to the Swaps entered into on December 11, 2007, Table II of this Form 4, and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. F15 · ownership.nature: Please note that this is the fifth part of a 6-part filing. Read SEC document |
| November 16, 2007 Filed Nov 19, 2007 22:23 UTC | BLOCKBUSTER INC BBI · Entity 13183 | GrantClass A Common Stock ("Class A Shares") | 1,670,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000928475-07-000368 · bbiform4111907i_ex.xml · nonDerivative · entry 1 ICAHN CARL C · CIK 0000921669 · Director · 10% owner · see footnotes BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · 10% owner · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · 10% owner · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · 10% owner · see footnotes ICAHN ENTERPRISES HOLDINGS L.P. · CIK 0001034563 · 10% owner · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 20,560,117 F2 · price: On November 16, 2007, High River, Icahn Master II and Icahn Master III purchased for a price of $3.72 per Share, 334,140, 969,607 and 366,953 Class A Shares, respectively, for an aggregate consideration of $6,215,004 (including brokerage commissions paid for the purchase of such Shares) for the total of 1,670,700 Class A Shares. F1 · ownership.direct: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F2 · ownership.direct: On November 16, 2007, High River, Icahn Master II and Icahn Master III purchased for a price of $3.72 per Share, 334,140, 969,607 and 366,953 Class A Shares, respectively, for an aggregate consideration of $6,215,004 (including brokerage commissions paid for the purchase of such Shares) for the total of 1,670,700 Class A Shares. F3 · ownership.direct: Mr. Icahn owns individually only 26,676 Class A Shares. F4 · ownership.direct: High River has sole voting power and sole dispositive power with regard to 3,208,688 Class A Shares. Each of Hopper, Barberry and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Barberry has sole voting power and sole dispositive power with regard to 898,000 Class A Shares. Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. F5 · ownership.direct: Icahn Master has sole voting power and sole dispositive power with regard to 7,381,540 Class A Shares. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Icahn Master II has sole voting power and sole dispositive power with regard to 969,607 Class A Shares. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Icahn Master III has sole voting power and sole dispositive power with regard to 366,953 Class A Shares. F6 · ownership.direct: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Icahn Partners has sole voting power and sole dispositive power with regard to 7,708,653 Class A Shares. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. F7 · ownership.direct: References to the number of Class A Shares assume the conversion into Class A Shares of the Preferred Shares held by all of the applicable Reporting Person. F8 · ownership.direct: Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Mr. Icahn by virtue of their relationships to Barberry (as disclosed in Item 2), is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Barberry directly beneficially owns. F9 · ownership.direct: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master II (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master II directly beneficially owns. F10 · ownership.direct: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master III (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master III directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. F11 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all and any Shares for all purposes, except to the extent of each such Reporting Person's pecuniary interest therein. F1 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F2 · ownership.nature: On November 16, 2007, High River, Icahn Master II and Icahn Master III purchased for a price of $3.72 per Share, 334,140, 969,607 and 366,953 Class A Shares, respectively, for an aggregate consideration of $6,215,004 (including brokerage commissions paid for the purchase of such Shares) for the total of 1,670,700 Class A Shares. F3 · ownership.nature: Mr. Icahn owns individually only 26,676 Class A Shares. F4 · ownership.nature: High River has sole voting power and sole dispositive power with regard to 3,208,688 Class A Shares. Each of Hopper, Barberry and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Barberry has sole voting power and sole dispositive power with regard to 898,000 Class A Shares. Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. F5 · ownership.nature: Icahn Master has sole voting power and sole dispositive power with regard to 7,381,540 Class A Shares. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Icahn Master II has sole voting power and sole dispositive power with regard to 969,607 Class A Shares. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Icahn Master III has sole voting power and sole dispositive power with regard to 366,953 Class A Shares. F6 · ownership.nature: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Icahn Partners has sole voting power and sole dispositive power with regard to 7,708,653 Class A Shares. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. F7 · ownership.nature: References to the number of Class A Shares assume the conversion into Class A Shares of the Preferred Shares held by all of the applicable Reporting Person. F8 · ownership.nature: Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Mr. Icahn by virtue of their relationships to Barberry (as disclosed in Item 2), is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Barberry directly beneficially owns. F9 · ownership.nature: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master II (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master II directly beneficially owns. F10 · ownership.nature: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master III (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master III directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. F11 · ownership.nature: Each Reporting Person disclaims beneficial ownership of all and any Shares for all purposes, except to the extent of each such Reporting Person's pecuniary interest therein. Read SEC document |
| October 10, 2007 Filed Oct 12, 2007 19:21 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | OtherPut Option ("obligation to purchase") · Derivative | 26,047,147 | $0.00 Strike: $7.50 | $0.00 |
DisclosureSEC source: 0000928475-07-000312 · beaform4101207_ex.xml · derivative · entry 6 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · 10% owner · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · 10% owner · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · 10% owner · see footnotes ICAHN ENTERPRISES HOLDINGS L.P. · CIK 0001034563 · 10% owner · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 26,047,147 shares Expires 2009-12-10 F17 · derivative.exercise_date: High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III previously wrote European-style put options with an exercise price of $7.50 referencing an aggregate of 26,047,147 underlying Shares. The $7.50 Put Options provided that they settle in cash. F18 · ownership.direct: Please note that the "D" is inserted merely as a placeholder. As indicated in Table II, Column 9, as of October 10, 2007, the Reporting Persons no longer own any of the Derivative Securities identified in Table II. Read SEC document |
| October 10, 2007 Filed Oct 12, 2007 19:21 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | OtherCall Option ("right to purchase") · Derivative | 26,047,147 | $0.00 Strike: $7.50 | $0.00 |
DisclosureSEC source: 0000928475-07-000312 · beaform4101207_ex.xml · derivative · entry 5 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · 10% owner · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · 10% owner · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · 10% owner · see footnotes ICAHN ENTERPRISES HOLDINGS L.P. · CIK 0001034563 · 10% owner · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 26,047,147 shares Expires 2009-12-10 F1 · derivative.exercise_date: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F6 · derivative.exercise_date: On October 10, 2007, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised American-style call options (the "$7.50 Call Options") referencing an aggregate of 26,047,147 underlying Shares. As a result of exercising the $7.50 Call Options, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III acquired in the aggregate 26,047,147 Shares. F7 · derivative.exercise_date: Of these 26,047,147 Shares, High River directly beneficially owns 4,754,004 Shares, Icahn Partners directly beneficially owns 7,745,988 Shares, Icahn Master directly beneficially owns 10,044,266 Shares, Icahn Master II directly beneficially owns 2,540,871 Shares and Icahn Master III directly beneficially owns 962,018 Shares. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares. F8 · derivative.exercise_date: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master, Icahn Master II and Icahn Master III directly beneficially owns. F9 · derivative.exercise_date: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. F18 · ownership.direct: Please note that the "D" is inserted merely as a placeholder. As indicated in Table II, Column 9, as of October 10, 2007, the Reporting Persons no longer own any of the Derivative Securities identified in Table II. Read SEC document |
| October 10, 2007 Filed Oct 12, 2007 19:21 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | OtherPut Option ("obligation to purchase") · Derivative | 8,500,000 | $0.00 Strike: $9.00 | $0.00 |
DisclosureSEC source: 0000928475-07-000312 · beaform4101207_ex.xml · derivative · entry 4 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · 10% owner · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · 10% owner · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · 10% owner · see footnotes ICAHN ENTERPRISES HOLDINGS L.P. · CIK 0001034563 · 10% owner · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,500,000 shares Expires 2008-11-03 F16 · derivative.exercise_date: High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III previously wrote European-style put options with an exercise price of $9.00 referencing an aggregate of 8,500,000 underlying Shares and expiring on November 3, 2008 (the ("$9.00 Put Options"). The $9.00 Put Options provided that they settle in cash. F18 · ownership.direct: Please note that the "D" is inserted merely as a placeholder. As indicated in Table II, Column 9, as of October 10, 2007, the Reporting Persons no longer own any of the Derivative Securities identified in Table II. Read SEC document |
| October 10, 2007 Filed Oct 12, 2007 19:21 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | OtherCall Option ("right to purchase") · Derivative | 8,500,000 | $0.00 Strike: $9.00 | $0.00 |
DisclosureSEC source: 0000928475-07-000312 · beaform4101207_ex.xml · derivative · entry 3 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · 10% owner · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · 10% owner · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · 10% owner · see footnotes ICAHN ENTERPRISES HOLDINGS L.P. · CIK 0001034563 · 10% owner · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,500,000 shares Expires 2008-11-03 F1 · derivative.exercise_date: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F2 · derivative.exercise_date: On October 10, 2007, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised American-style call options (the " $9.00 Call Options") referencing an aggregate of 8,500,000 underlying Shares. As a result of exercising the $9.00 Call Options, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III acquired in the aggregate 8,500,000 Shares. F3 · derivative.exercise_date: Of these 8,500,000, High River directly beneficially owns 1,700,000 Shares, Icahn Partners directly beneficially owns 2,463,176 Shares, Icahn Master directly beneficially owns 2,985,026 Shares, Icahn Master II directly beneficially owns 980,608 Shares and Icahn Master III directly beneficially owns 371,190 Shares. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares. F4 · derivative.exercise_date: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master, Icahn Master II and Icahn Master III directly beneficially owns. F5 · derivative.exercise_date: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. F18 · ownership.direct: Please note that the "D" is inserted merely as a placeholder. As indicated in Table II, Column 9, as of October 10, 2007, the Reporting Persons no longer own any of the Derivative Securities identified in Table II. Read SEC document |
| October 10, 2007 Filed Oct 12, 2007 19:21 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | OtherCommon Stock | 26,047,147 | $7.50 | $195,353,602.50 |
DisclosureSEC source: 0000928475-07-000312 · beaform4101207_ex.xml · nonDerivative · entry 2 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · 10% owner · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · 10% owner · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · 10% owner · see footnotes ICAHN ENTERPRISES HOLDINGS L.P. · CIK 0001034563 · 10% owner · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 51,820,017 F1 · shares: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F6 · shares: On October 10, 2007, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised American-style call options (the "$7.50 Call Options") referencing an aggregate of 26,047,147 underlying Shares. As a result of exercising the $7.50 Call Options, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III acquired in the aggregate 26,047,147 Shares. F7 · shares: Of these 26,047,147 Shares, High River directly beneficially owns 4,754,004 Shares, Icahn Partners directly beneficially owns 7,745,988 Shares, Icahn Master directly beneficially owns 10,044,266 Shares, Icahn Master II directly beneficially owns 2,540,871 Shares and Icahn Master III directly beneficially owns 962,018 Shares. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares. F8 · shares: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master, Icahn Master II and Icahn Master III directly beneficially owns. F9 · shares: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. F19 · shares: See also Form 4 filed by Carl C. Icahn et al. on October 11, 2007, for the name, address, and signature of each of the following Reporting Persons: Icahn Partners, Icahn Master, Icahn Master II, Icahn Master III, and Icahn Partners Holding. F1 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F13 · ownership.nature: As a result of exercising the $7.50 Call Options, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III beneficially own in the aggregate 51,820,017 Shares. Of these 51,820,017 Shares, High River directly beneficially owns 10,364,001 Shares, Icahn Partners directly beneficially owns 15,236,448 Shares, Icahn Master directly beneficially owns 18,049,915 Shares, Icahn Master II directly beneficially owns 5,926,430 Shares and Icahn Master III directly beneficially owns 2,243,223 Shares. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares. F14 · ownership.nature: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master, Icahn Master II and Icahn Master III directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. F15 · ownership.nature: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. F19 · ownership.nature: See also Form 4 filed by Carl C. Icahn et al. on October 11, 2007, for the name, address, and signature of each of the following Reporting Persons: Icahn Partners, Icahn Master, Icahn Master II, Icahn Master III, and Icahn Partners Holding. Read SEC document |
| October 10, 2007 Filed Oct 12, 2007 19:21 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | OtherCommon Stock, par value $0.001 per share ("Common Stock") | 8,500,000 | $9.00 | $76,500,000.00 |
DisclosureSEC source: 0000928475-07-000312 · beaform4101207_ex.xml · nonDerivative · entry 1 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · 10% owner · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · 10% owner · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · 10% owner · see footnotes ICAHN ENTERPRISES HOLDINGS L.P. · CIK 0001034563 · 10% owner · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 25,772,870 F1 · shares: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F2 · shares: On October 10, 2007, each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III exercised American-style call options (the " $9.00 Call Options") referencing an aggregate of 8,500,000 underlying Shares. As a result of exercising the $9.00 Call Options, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III acquired in the aggregate 8,500,000 Shares. F3 · shares: Of these 8,500,000, High River directly beneficially owns 1,700,000 Shares, Icahn Partners directly beneficially owns 2,463,176 Shares, Icahn Master directly beneficially owns 2,985,026 Shares, Icahn Master II directly beneficially owns 980,608 Shares and Icahn Master III directly beneficially owns 371,190 Shares. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares. F4 · shares: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master, Icahn Master II and Icahn Master III directly beneficially owns. F5 · shares: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. F19 · shares: See also Form 4 filed by Carl C. Icahn et al. on October 11, 2007, for the name, address, and signature of each of the following Reporting Persons: Icahn Partners, Icahn Master, Icahn Master II, Icahn Master III, and Icahn Partners Holding. F1 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F10 · ownership.nature: As a result of exercising the $9.00 Call Options, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III beneficially own in the aggregate 25,772,870 Shares. Of these 25,772,870 Shares, High River directly beneficially owns 5,609,997 Shares, Icahn Partners directly beneficially owns 7,490,460 Shares, Icahn Master directly beneficially owns 8,005,649 Shares, Icahn Master II directly beneficially owns 3,385,559 Shares and Icahn Master III directly beneficially owns 1,281,205 Shares. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares. F11 · ownership.nature: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master, Icahn Master II and Icahn Master III directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. F12 · ownership.nature: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares. F19 · ownership.nature: See also Form 4 filed by Carl C. Icahn et al. on October 11, 2007, for the name, address, and signature of each of the following Reporting Persons: Icahn Partners, Icahn Master, Icahn Master II, Icahn Master III, and Icahn Partners Holding. Read SEC document |
| October 03, 2007 Filed Oct 5, 2007 18:29 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | PurchasePut Options (obligation to buy) · Derivative | 8,500,000 | $0.01 Strike: $9.00 | $85,000.00 |
DisclosureSEC source: 0000928475-07-000304 · beaform4100407_ex.xml · derivative · entry 2 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · 10% owner · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · 10% owner · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · 10% owner · see footnotes ICAHN ENTERPRISES HOLDINGS L.P. · CIK 0001034563 · 10% owner · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 8,500,000 Underlying: Common Stock · 8,500,000 shares Expires 2008-11-03 F1 · derivative.exercise_date: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F10 · derivative.exercise_date: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III have written European-style Put Options with an exercise price of $9.00 ("$9.00 Put Options") referencing an aggregate of 8,500,000 underlying Shares (the "Underlying Shares"), which expire on November 3, 2008. The $9.00 Put Options provide that they settle in cash. Except to the extent of their pecuniary interest therein, the Reporting Persons disclaim any beneficial ownership in any Underlying Shares or other securities, if any, which may be owned by the counterparties to such $9.00 Put Options. Of these $9.00 Put Options, High River directly beneficially owns 1,700,000 $9.00 Put Options, Icahn Partners directly beneficially owns 2,463,176 $9.00 Put Options, Icahn Master directly beneficially owns 2,985,026 $9.00 Put Options, Icahn Master II directly beneficially owns 980,608 $9.00 Put Options and Icahn Master III directly beneficially owns 371,190 $9.00 Put Options. F11 · derivative.exercise_date: Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the $9.00 Put Options (as defined) which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such $9.00 Put Options except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the $9.00 Put Options which Icahn Master, Icahn Master II and Icahn Master III directly beneficially owns. F12 · derivative.exercise_date: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such $9.00 Put Options except to the extent of their pecuniary interest therein. F13 · derivative.exercise_date: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the $9.00 Put Options which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such $9.00 Put Options except to the extent of their pecuniary interest therein. F1 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F14 · ownership.nature: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III have written Put Options (as defined) referencing an aggregate of 34,547,147 Underlying Shares, of which 8,500,000 are $9.00 Put Options and 26,047,147 are European-style put options with a $7.50 exercise price (the "$7.50 Put Options" and together with the $9.00 Put Options, the "Put Options"). Of these Put Options, High River directly beneficially owns 6,454,004 Put Options, Icahn Partners directly beneficially owns 10,209,164 Put Options, Icahn Master directly beneficially owns 13,029,292 Put Options, Icahn Master II directly beneficially owns 3,521,479 Put Options, and Icahn Master III directly beneficially owns 1,333,208 Put Options. F15 · ownership.nature: Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. F16 · ownership.nature: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II, and Icahn Master III are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which Icahn Master, Icahn Master II, and Icahn Master III directly beneficially owns. F17 · ownership.nature: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. F18 · ownership.nature: See also Form 4 filed by Carl C. Icahn et al. on October 5, 2007, for the name, address, and signature of each of the following Reporting Persons: Carl C. Icahn, Icahn Partners, Icahn Master, Icahn Master II, Icahn Master III, and Icahn Partners Holding. Read SEC document |
| October 03, 2007 Filed Oct 5, 2007 18:29 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | PurchaseCall Options (right to purchase) · Derivative | 8,500,000 | $4.84 Strike: $9.00 | $41,140,000.00 |
DisclosureSEC source: 0000928475-07-000304 · beaform4100407_ex.xml · derivative · entry 1 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · 10% owner · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · 10% owner · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · 10% owner · see footnotes ICAHN ENTERPRISES HOLDINGS L.P. · CIK 0001034563 · 10% owner · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 8,500,000 Underlying: Common Stock · 8,500,000 shares Expires 2008-11-03 F1 · derivative.exercise_date: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F2 · derivative.exercise_date: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III purchased American-style Call Options with a $9.00 exercise price (the "$9.00 Call Options") referencing an aggregate of 8,500,000 underlying Shares (the "Underlying Shares"), which expire on November 3, 2008. The $9.00 Call Options provide for physical settlement (unless the High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III, as applicable, opts for a cash settlement). Except to the extent of their pecuniary interest therein, the Reporting Persons disclaim any beneficial ownership in any Underlying Shares or other securities, if any, which may be owned by the counterparties to such $9.00 Call Options. F3 · derivative.exercise_date: Of these $9.00 Call Options, High River directly beneficially owns 1,700,000 $9.00 Call Options, Icahn Partners directly beneficially owns 2,463,176 $9.00 Call Options, Icahn Master directly beneficially owns 2,985,026 $9.00 Call Options, Icahn Master II directly beneficially owns 980,608 $9.00 Call Options and Icahn Master III directly beneficially owns 371,190 $9.00 Call Options. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the $9.00 Call Options which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such $9.00 Call Options except to the extent of their pecuniary interest therein. F4 · derivative.exercise_date: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the $9.00 Call Options which Icahn Master, Icahn Master II and Icahn Master III directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such $9.00 Call Options except to the extent of their pecuniary interest therein. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the $9.00 Call Options which Icahn Partners directly beneficially owns. F5 · derivative.exercise_date: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such $9.00 Call Options except to the extent of their pecuniary interest therein. F1 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F6 · ownership.nature: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III have purchased Call Options (as defined) referencing an aggregate of 34,547,147 Underlying Shares, of which 8,500,000 are $9.00 Call Options and 26,047,147 are American-style call options with a $7.50 exercise price (the "$7.50 Call Options" and together with the $9.00 Call Options, the "Call Options"). Of these Call Options, High River directly beneficially owns 6,454,004 Call Options, Icahn Partners directly beneficially owns 10,209,164 Call Options, Icahn Master directly beneficially owns 13,029,292 Call Options, Icahn Master II directly beneficially owns 3,521,479 Call Options, and Icahn Master III directly beneficially owns 1,333,208 Call Options. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Call Options which High River directly beneficially owns. F7 · ownership.nature: Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Call Options except to the extent of their pecuniary interest therein. F8 · ownership.nature: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Call Options which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Call Options except to the extent of their pecuniary interest therein. F9 · ownership.nature: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II, and Icahn Master III are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Call Options which Icahn Master, Icahn Master II, and Icahn Master III directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Call Options except to the extent of their pecuniary interest therein. F18 · ownership.nature: See also Form 4 filed by Carl C. Icahn et al. on October 5, 2007, for the name, address, and signature of each of the following Reporting Persons: Carl C. Icahn, Icahn Partners, Icahn Master, Icahn Master II, Icahn Master III, and Icahn Partners Holding. Read SEC document |
| October 02, 2007 Filed Oct 3, 2007 20:41 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | PurchasePut Options · Derivative | 1,500,000 | $0.01 Strike: $7.50 | $15,000.00 |
DisclosureSEC source: 0000928475-07-000287 · form4100207_ex.xml · derivative · entry 4 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · see footnotes ICAHN ENTERPRISES HOLDINGS L.P. · CIK 0001034563 · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 26,047,147 Underlying: Common Stock · 1,500,000 shares Expires 2009-12-10 F1 · derivative.exercise_date: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 3 as the "Reporting Persons." F19 · derivative.exercise_date: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III purchased Put Options referencing an aggregate of 1,500,000 underlying Shares. Of these Put Options, High River directly beneficially owns 300,000 Put Options, Icahn Partners directly beneficially owns 438,699 Put Options, Icahn Master directly beneficially owns 531,643 Put Options, Icahn Master II directly beneficially owns 165,373 Put Options and Icahn Master III directly beneficially owns 64,285 Put Options. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. F20 · derivative.exercise_date: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II, and Icahn Master III are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which Icahn Master, Icahn Master II, and Icahn Master III directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. F21 · derivative.exercise_date: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. F1 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 3 as the "Reporting Persons." F22 · ownership.nature: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III have purchased Put Options referencing an aggregate of 26,047,147 Underlying Shares. Of these Put Options, High River directly beneficially owns 4,754,004 Put Options, Icahn Partners directly beneficially owns 7,745,988 Put Options, Icahn Master directly beneficially owns 10,044,266 Put Options, Icahn Master II directly beneficially owns 2,540,871 Put Options, and Icahn Master III directly beneficially owns 962,018 Put Options. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. F23 · ownership.nature: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II, and Icahn Master III are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which Icahn Master, Icahn Master II, and Icahn Master III directly beneficially owns. F24 · ownership.nature: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. F25 · ownership.nature: See also Form 4 filed by Carl C. Icahn et al. on October 3, 2007, for the name, address, and signature of each of the following Reporting Persons: Carl C. Icahn, Icahn Partners, Icahn Master, Icahn Master II, Icahn Master III, and Icahn Partners Holding. Read SEC document |
| October 02, 2007 Filed Oct 3, 2007 20:41 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | PurchaseCall Options · Derivative | 1,500,000 | $6.32 Strike: $7.50 | $9,480,000.00 |
DisclosureSEC source: 0000928475-07-000287 · form4100207_ex.xml · derivative · entry 2 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · see footnotes ICAHN ENTERPRISES HOLDINGS L.P. · CIK 0001034563 · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 26,047,147 Underlying: Common Stock · 1,500,000 shares Expires 2009-12-10 F1 · derivative.exercise_date: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 3 as the "Reporting Persons." F8 · derivative.exercise_date: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III purchased Call Options referencing an aggregate of 1,500,000 underlying Shares. Of these Call Options, High River directly beneficially owns 300,000 Call Options, Icahn Partners directly beneficially owns 438,699 Call Options, Icahn Master directly beneficially owns 531,643 Call Options, Icahn Master II directly beneficially owns 165,373 Call Options and Icahn Master III directly beneficially owns 64,285 Call Options. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Call Options which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Call Options except to the extent of their pecuniary interest therein. F9 · derivative.exercise_date: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II, and Icahn Master III are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Call Options which Icahn Master, Icahn Master II, and Icahn Master III directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Call Options except to the extent of their pecuniary interest therein. F10 · derivative.exercise_date: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Call Options which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Call Options except to the extent of their pecuniary interest therein. F1 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 3 as the "Reporting Persons." F11 · ownership.nature: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III have purchased Call Options referencing an aggregate of 26,047,147 Underlying Shares. Of these Call Options, High River directly beneficially owns 4,754,004 Call Options, Icahn Partners directly beneficially owns 7,745,988 Call Options, Icahn Master directly beneficially owns 10,044,266 Call Options, Icahn Master II directly beneficially owns 2,540,871 Call Options, and Icahn Master III directly beneficially owns 962,018 Call Options. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Call Options which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Call Options except to the extent of their pecuniary interest therein. F12 · ownership.nature: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Call Options which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Call Options except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II, and Icahn Master III are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Call Options which Icahn Master directly beneficially owns. F13 · ownership.nature: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Call Options except to the extent of their pecuniary interest therein. F25 · ownership.nature: See also Form 4 filed by Carl C. Icahn et al. on October 3, 2007, for the name, address, and signature of each of the following Reporting Persons: Carl C. Icahn, Icahn Partners, Icahn Master, Icahn Master II, Icahn Master III, and Icahn Partners Holding. Read SEC document |
| October 01, 2007 Filed Oct 3, 2007 20:41 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | PurchasePut Options · Derivative | 1,500,000 | $0.01 Strike: $7.50 | $15,000.00 |
DisclosureSEC source: 0000928475-07-000287 · form4100207_ex.xml · derivative · entry 3 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · see footnotes ICAHN ENTERPRISES HOLDINGS L.P. · CIK 0001034563 · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 24,547,147 Underlying: Common Stock · 1,500,000 shares Expires 2009-12-10 F1 · derivative.exercise_date: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 3 as the "Reporting Persons." F14 · derivative.exercise_date: Each of High River, Icahn Partners, and Icahn Master purchased European-style put options ("Put Options") referencing an aggregate of 1,500,000 underlying Shares (the "Underlying Shares"), which expire on December 10, 2009. The Put Options provide that they settle in cash. None of the Put Options provide for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any Underlying Shares and, accordingly, except to the extent of their pecuniary interest therein, the Reporting Persons disclaim any beneficial ownership in any Underlying Shares or other securities, if any, which may be owned by the counterparties to such Put Options. Of these Put Options, High River directly beneficially owns 300,000 Put Options, Icahn Partners directly beneficially owns 1,151,666 Put Options, and Icahn Master directly beneficially owns 48,334 Put Options. F15 · derivative.exercise_date: Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. F16 · derivative.exercise_date: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. F1 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 3 as the "Reporting Persons." F17 · ownership.nature: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III have purchased Put Options referencing an aggregate of 24,547,147 Underlying Shares. Of these Put Options, High River directly beneficially owns 4,454,004 Put Options, Icahn Partners directly beneficially owns 7,307,289 Put Options, Icahn Master directly beneficially owns 9,512,623 Put Options, Icahn Master II directly beneficially owns 2,375,498 Put Options, and Icahn Master III directly beneficially owns 897,733 Put Options. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. F18 · ownership.nature: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Put Options except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II, and Icahn Master III are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Put Options which Icahn Master, Icahn Master II, and Icahn Master III directly beneficially owns. F25 · ownership.nature: See also Form 4 filed by Carl C. Icahn et al. on October 3, 2007, for the name, address, and signature of each of the following Reporting Persons: Carl C. Icahn, Icahn Partners, Icahn Master, Icahn Master II, Icahn Master III, and Icahn Partners Holding. Read SEC document |
| October 01, 2007 Filed Oct 3, 2007 20:41 UTC | BEA SYSTEMS INC BEAS · Entity 13428 | PurchaseCall Options · Derivative | 1,500,000 | $6.46 Strike: $7.50 | $9,690,000.00 |
DisclosureSEC source: 0000928475-07-000287 · form4100207_ex.xml · derivative · entry 1 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · see footnotes ICAHN ENTERPRISES HOLDINGS L.P. · CIK 0001034563 · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 24,547,147 Underlying: Common Stock · 1,500,000 shares Expires 2009-12-10 F1 · derivative.exercise_date: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 3 as the "Reporting Persons." F2 · derivative.exercise_date: Each of High River, Icahn Partners, and Icahn Master purchased American-style call options ("Call Options") referencing an aggregate of 1,500,000 underlying Shares (the "Underlying Shares"), which expire on December 10, 2009. The Call Options provide for physical settlement (unless the High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III, as applicable, opts for a cash settlement). None of the Call Options provide for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any Underlying Shares and, accordingly, except to the extent of their pecuniary interest therein, the Reporting Persons disclaim any beneficial ownership in any Underlying Shares or other securities, if any, which may be owned by the counterparties to such Call Options. F3 · derivative.exercise_date: Of these Call Options, High River directly beneficially owns 300,000 Call Options, Icahn Partners directly beneficially owns 1,151,666 Call Options, and Icahn Master directly beneficially owns 48,334 Call Options. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Call Options which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Call Options except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Call Options which Icahn Master directly beneficially owns. F4 · derivative.exercise_date: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Call Options except to the extent of their pecuniary interest therein. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Call Options which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Call Options except to the extent of their pecuniary interest therein. F1 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 3 as the "Reporting Persons." F5 · ownership.nature: Each of High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III have purchased Call Options referencing an aggregate of 24,547,147 Underlying Shares. Of these Call Options, High River directly beneficially owns 4,454,004 Call Options, Icahn Partners directly beneficially owns 7,307,289 Call Options, Icahn Master directly beneficially owns 9,512,623 Call Options, Icahn Master II directly beneficially owns 2,375,498 Call Options, and Icahn Master III directly beneficially owns 897,733 Call Options. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Call Options which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Call Options except to the extent of their pecuniary interest therein. F6 · ownership.nature: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Call Options which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Call Options except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II, and Icahn Master III are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Call Options which Icahn Master, Icahn Master II, and Icahn Master III directly beneficially owns. F7 · ownership.nature: Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Call Options except to the extent of their pecuniary interest therein. F25 · ownership.nature: See also Form 4 filed by Carl C. Icahn et al. on October 3, 2007, for the name, address, and signature of each of the following Reporting Persons: Carl C. Icahn, Icahn Partners, Icahn Master, Icahn Master II, Icahn Master III, and Icahn Partners Holding. Read SEC document |
| October 01, 2007 Filed Oct 3, 2007 22:55 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | GrantCommon Stock | 3,073 | $6.51 | $20,005.23 |
DisclosureSEC source: 0000928475-07-000295 · form4100307cc1a_ex.xml · nonDerivative · entry 1 ICAHN CARL C ET AL · CIK 0000921669 · Director · 10% owner BARBERRY CORP. · CIK 0000860851 · see footnotes BECKTON CORP · CIK 0001080113 · see footnotes HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes Hopper Investments LLC · CIK 0001322824 · see footnotes IPH GP LLC · CIK 0001412091 · see footnotes ICAHN ENTERPRISES G.P. INC. · CIK 0001257324 · see footnotes ICAHN PARTNERS HOLDING LP · CIK 0001412093 · see footnotes ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes ICAHN ONSHORE LP · CIK 0001322826 · see footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 6,100,023 F6 · price: Reporting Person received shares pursuant to the 2005 Compensation Program for Non-Employee Directors as Amended 12/13/2006 ("Compensation Program") adopted by Issuer's Board of Directors effective 10/3/2005 in lieu of payment to the Reporting Person of $20,000. F1 · ownership.nature: Of these shares of Common Stock, par value $0.01 per share ("Shares"), of WCI Communities, Inc. ("WCI"), Carl C. Icahn directly beneficially owns 3,848 shares, High River Limited Partnership ("High River") directly beneficially owns 1,279,725 Shares and Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,901,892 Shares. F2 · ownership.nature: Of these Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 1,914, 558 Shares. F3 · ownership.nature: Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5 · ownership.nature: Each of Hopper, Barberry and Mr. Icahn, by virtue of its relationship to High River, is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Read SEC document |
| August 30, 2007 Filed Sep 4, 2007 22:13 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | GrantCommon Stock | 775 | $9.05 | $7,013.75 |
DisclosureSEC source: 0000928475-07-000257 · form4090407cci_ex.xml · nonDerivative · entry 1 ICAHN CARL C ET AL · CIK 0000921669 · Director · 10% owner Hopper Investments LLC · CIK 0001322824 · see footnotes 1 - 5 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes 1 - 5 BARBERRY CORP. · CIK 0000860851 · see footnotes 1 - 5 Icahn Partners Master Fund LP · CIK 0001322827 · see footnotes 1 - 5 ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes 1 - 5 ICAHN PARTNERS LP · CIK 0001313666 · see footnotes 1 - 5 CCI OFFSHORE CORP. · CIK 0001327740 · see footnotes 1 - 5 ICAHN ONSHORE LP · CIK 0001322826 · see footnotes 1 - 5 CCI ONSHORE CORP. · CIK 0001327741 · see footnotes 1 - 5 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 6,096,950 F6 · security: Stock granted pursuant to the 2005 Compensation Program for Non-Employee Directors, as amended 12/31/2006. F1 · ownership.nature: Of these shares of Common Stock, par value $0.01 per share (the "Shares"), of WCI Communities, Inc. ("WCI"), Carl C. Icahn directly beneficially owns 775 shares, High River Limited Partnership ("High River") directly beneficially owns 1,279,725 Shares and Icahn Partners LP ("Icahn Partners") directly beneficially owns 2,901,892 Shares. F2 · ownership.nature: Of these Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 1,914,558 Shares. F3 · ownership.nature: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"). Hopper is the general partner of High River. CCI Onshore Corp. ("CCI Onshore") is the general partner of Icahn Onshore LP ("Icahn Onshore"), which is the general partner of Icahn Partners. CCI Offshore Corp. ("CCI Offshore") is the general partner of Icahn Offshore LP ("Icahn Offshore"), which is the general partner of Icahn Master. Barberry, CCI Onshore and CCI Offshore are 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by all of the foregoing entities. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Hopper and Barberry, by virtue of their relationship to High River, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper and Barberry disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Onshore and CCI Onshore by virtue of their relationship to Icahn Partners, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore and CCI Onshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5 · ownership.nature: Each of Icahn Offshore and CCI Offshore by virtue of their relationship to Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore and CCI Offshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Mr. Icahn, by virtue of his relationship to Barberry, Hopper, High River, CCI Onshore, Icahn Onshore, Icahn Partners, CCI Offshore, Icahn Offshore and Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River, Icahn Partners and Icahn Master own. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. Read SEC document |
| January 12, 2007 Filed Jan 12, 2007 23:35 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | PurchaseCommon Stock | 1,433,300 | $20.43 | $29,282,319.00 |
DisclosureSEC source: 0000928475-07-000009 · form4011207_ex.xml · nonDerivative · entry 3 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes 1-15 Hopper Investments LLC · CIK 0001322824 · see footnotes 1-15 BARBERRY CORP. · CIK 0000860851 · see footnotes 1-15 Icahn Partners Master Fund LP · CIK 0001322827 · see footnotes 1-15 ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes 1-15 CCI OFFSHORE CORP. · CIK 0001327740 · see footnotes 1-15 ICAHN PARTNERS LP · CIK 0001313666 · see footnotes 1-15 ICAHN ONSHORE LP · CIK 0001322826 · see footnotes 1-15 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes 1-15 CCI ONSHORE CORP. · CIK 0001327741 · see footnotes 1-15 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes 3, 4, 5 Disclosed balance after: 6,096,175 F3 · shares: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"). Hopper is the general partner of High River. CCI Onshore Corp. ("CCI Onshore") is the general partner of Icahn Onshore LP ("Icahn Onshore"), which is the general partner of Icahn Partners. CCI Offshore Corp. ("CCI Offshore") is the general partner of Icahn Offshore LP ("Icahn Offshore"), which is the general partner of Icahn Master. Barberry, CCI Onshore and CCI Offshore are 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by all of the foregoing entities. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · shares: Each of Hopper and Barberry, by virtue of their relationship to High River, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper and Barberry disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Onshore and CCI Onshore by virtue of their relationship to Icahn Partners, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore and CCI Onshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5 · shares: Each of Icahn Offshore and CCI Offshore by virtue of their relationship to Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore and CCI Offshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Mr. Icahn, by virtue of his relationship to Barberry, Hopper, High River, CCI Onshore, Icahn Onshore, Icahn Partners, CCI Offshore, Icahn Offshore and Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River, Icahn Partners and Icahn Master own. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. F8 · shares: Of these Shares, High River directly beneficially owns 286,660 Shares and Icahn Partneres directly beneficially owns 1,146,640 Shares F3 · balance_after: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"). Hopper is the general partner of High River. CCI Onshore Corp. ("CCI Onshore") is the general partner of Icahn Onshore LP ("Icahn Onshore"), which is the general partner of Icahn Partners. CCI Offshore Corp. ("CCI Offshore") is the general partner of Icahn Offshore LP ("Icahn Offshore"), which is the general partner of Icahn Master. Barberry, CCI Onshore and CCI Offshore are 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by all of the foregoing entities. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · balance_after: Each of Hopper and Barberry, by virtue of their relationship to High River, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper and Barberry disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Onshore and CCI Onshore by virtue of their relationship to Icahn Partners, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore and CCI Onshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5 · balance_after: Each of Icahn Offshore and CCI Offshore by virtue of their relationship to Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore and CCI Offshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Mr. Icahn, by virtue of his relationship to Barberry, Hopper, High River, CCI Onshore, Icahn Onshore, Icahn Partners, CCI Offshore, Icahn Offshore and Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River, Icahn Partners and Icahn Master own. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. F9 · balance_after: Of these Shares, High River directly beneficially owns 1,279,725 Shares, Icahn Partners directly beneficially owns 2,901,892 Shares and Icahn Master directly beneficially owns 1,914,558 Shares. F3 · ownership.nature: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"). Hopper is the general partner of High River. CCI Onshore Corp. ("CCI Onshore") is the general partner of Icahn Onshore LP ("Icahn Onshore"), which is the general partner of Icahn Partners. CCI Offshore Corp. ("CCI Offshore") is the general partner of Icahn Offshore LP ("Icahn Offshore"), which is the general partner of Icahn Master. Barberry, CCI Onshore and CCI Offshore are 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by all of the foregoing entities. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Hopper and Barberry, by virtue of their relationship to High River, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper and Barberry disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Onshore and CCI Onshore by virtue of their relationship to Icahn Partners, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore and CCI Onshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5 · ownership.nature: Each of Icahn Offshore and CCI Offshore by virtue of their relationship to Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore and CCI Offshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Mr. Icahn, by virtue of his relationship to Barberry, Hopper, High River, CCI Onshore, Icahn Onshore, Icahn Partners, CCI Offshore, Icahn Offshore and Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River, Icahn Partners and Icahn Master own. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. Read SEC document |
| January 11, 2007 Filed Jan 12, 2007 23:35 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | OtherTRS · Derivative | 96,600 | $19.80 Strike: $19.80 | $1,912,680.00 |
DisclosureSEC source: 0000928475-07-000009 · form4011207_ex.xml · derivative · entry 5 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes 1-15 Hopper Investments LLC · CIK 0001322824 · see footnotes 1-15 BARBERRY CORP. · CIK 0000860851 · see footnotes 1-15 Icahn Partners Master Fund LP · CIK 0001322827 · see footnotes 1-15 ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes 1-15 CCI OFFSHORE CORP. · CIK 0001327740 · see footnotes 1-15 ICAHN PARTNERS LP · CIK 0001313666 · see footnotes 1-15 ICAHN ONSHORE LP · CIK 0001322826 · see footnotes 1-15 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes 1-15 CCI ONSHORE CORP. · CIK 0001327741 · see footnotes 1-15 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes 3, 4, 5, 10, 11 Disclosed balance after: 5,427,053 Underlying: Common Stock · 96,600 shares Expires 2008-12-17 F3 · kind: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"). Hopper is the general partner of High River. CCI Onshore Corp. ("CCI Onshore") is the general partner of Icahn Onshore LP ("Icahn Onshore"), which is the general partner of Icahn Partners. CCI Offshore Corp. ("CCI Offshore") is the general partner of Icahn Offshore LP ("Icahn Offshore"), which is the general partner of Icahn Master. Barberry, CCI Onshore and CCI Offshore are 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by all of the foregoing entities. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · kind: Each of Hopper and Barberry, by virtue of their relationship to High River, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper and Barberry disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Onshore and CCI Onshore by virtue of their relationship to Icahn Partners, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore and CCI Onshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5 · kind: Each of Icahn Offshore and CCI Offshore by virtue of their relationship to Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore and CCI Offshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Mr. Icahn, by virtue of his relationship to Barberry, Hopper, High River, CCI Onshore, Icahn Onshore, Icahn Partners, CCI Offshore, Icahn Offshore and Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River, Icahn Partners and Icahn Master own. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. F10 · kind: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II and the applicable footnotes thereto. Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date. F11 · kind: In addition, under each Swap, each of High River, Icahn Partners or Icahn Master, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. F14 · kind: Under this Swap, Icahn Master has exposure with respect to 96,600 reference shares. F9 · derivative.exercise_date: Of these Shares, High River directly beneficially owns 1,279,725 Shares, Icahn Partners directly beneficially owns 2,901,892 Shares and Icahn Master directly beneficially owns 1,914,558 Shares. F10 · derivative.exercise_date: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II and the applicable footnotes thereto. Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date. F3 · balance_after: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"). Hopper is the general partner of High River. CCI Onshore Corp. ("CCI Onshore") is the general partner of Icahn Onshore LP ("Icahn Onshore"), which is the general partner of Icahn Partners. CCI Offshore Corp. ("CCI Offshore") is the general partner of Icahn Offshore LP ("Icahn Offshore"), which is the general partner of Icahn Master. Barberry, CCI Onshore and CCI Offshore are 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by all of the foregoing entities. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · balance_after: Each of Hopper and Barberry, by virtue of their relationship to High River, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper and Barberry disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Onshore and CCI Onshore by virtue of their relationship to Icahn Partners, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore and CCI Onshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5 · balance_after: Each of Icahn Offshore and CCI Offshore by virtue of their relationship to Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore and CCI Offshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Mr. Icahn, by virtue of his relationship to Barberry, Hopper, High River, CCI Onshore, Icahn Onshore, Icahn Partners, CCI Offshore, Icahn Offshore and Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River, Icahn Partners and Icahn Master own. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. F15 · balance_after: Under these Swaps, High River has exposure with respect to an aggregate of 1,024,920 reference shares, Icahn Partners has exposure with respect to an aggregate of 1,756,407 reference shares, and Icahn Master has exposure with respect to 2,645,726 reference shares. F3 · ownership.nature: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"). Hopper is the general partner of High River. CCI Onshore Corp. ("CCI Onshore") is the general partner of Icahn Onshore LP ("Icahn Onshore"), which is the general partner of Icahn Partners. CCI Offshore Corp. ("CCI Offshore") is the general partner of Icahn Offshore LP ("Icahn Offshore"), which is the general partner of Icahn Master. Barberry, CCI Onshore and CCI Offshore are 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by all of the foregoing entities. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Hopper and Barberry, by virtue of their relationship to High River, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper and Barberry disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Onshore and CCI Onshore by virtue of their relationship to Icahn Partners, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore and CCI Onshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5 · ownership.nature: Each of Icahn Offshore and CCI Offshore by virtue of their relationship to Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore and CCI Offshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Mr. Icahn, by virtue of his relationship to Barberry, Hopper, High River, CCI Onshore, Icahn Onshore, Icahn Partners, CCI Offshore, Icahn Offshore and Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River, Icahn Partners and Icahn Master own. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. F10 · ownership.nature: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II and the applicable footnotes thereto. Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date. F11 · ownership.nature: In addition, under each Swap, each of High River, Icahn Partners or Icahn Master, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. Read SEC document |
| January 11, 2007 Filed Jan 12, 2007 23:35 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | PurchaseCommon Stock | 115,000 | $19.82 | $2,279,300.00 |
DisclosureSEC source: 0000928475-07-000009 · form4011207_ex.xml · nonDerivative · entry 2 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes 1-15 Hopper Investments LLC · CIK 0001322824 · see footnotes 1-15 BARBERRY CORP. · CIK 0000860851 · see footnotes 1-15 Icahn Partners Master Fund LP · CIK 0001322827 · see footnotes 1-15 ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes 1-15 CCI OFFSHORE CORP. · CIK 0001327740 · see footnotes 1-15 ICAHN PARTNERS LP · CIK 0001313666 · see footnotes 1-15 ICAHN ONSHORE LP · CIK 0001322826 · see footnotes 1-15 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes 1-15 CCI ONSHORE CORP. · CIK 0001327741 · see footnotes 1-15 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes 3, 4, 5 Disclosed balance after: 4,662,875 F3 · shares: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"). Hopper is the general partner of High River. CCI Onshore Corp. ("CCI Onshore") is the general partner of Icahn Onshore LP ("Icahn Onshore"), which is the general partner of Icahn Partners. CCI Offshore Corp. ("CCI Offshore") is the general partner of Icahn Offshore LP ("Icahn Offshore"), which is the general partner of Icahn Master. Barberry, CCI Onshore and CCI Offshore are 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by all of the foregoing entities. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · shares: Each of Hopper and Barberry, by virtue of their relationship to High River, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper and Barberry disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Onshore and CCI Onshore by virtue of their relationship to Icahn Partners, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore and CCI Onshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5 · shares: Each of Icahn Offshore and CCI Offshore by virtue of their relationship to Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore and CCI Offshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Mr. Icahn, by virtue of his relationship to Barberry, Hopper, High River, CCI Onshore, Icahn Onshore, Icahn Partners, CCI Offshore, Icahn Offshore and Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River, Icahn Partners and Icahn Master own. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. F6 · shares: Of these Shares, High River directly beneficially owns 42,320 Shares and Icahn Partners directly beneficially owns 72,680 Shares. F3 · balance_after: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"). Hopper is the general partner of High River. CCI Onshore Corp. ("CCI Onshore") is the general partner of Icahn Onshore LP ("Icahn Onshore"), which is the general partner of Icahn Partners. CCI Offshore Corp. ("CCI Offshore") is the general partner of Icahn Offshore LP ("Icahn Offshore"), which is the general partner of Icahn Master. Barberry, CCI Onshore and CCI Offshore are 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by all of the foregoing entities. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · balance_after: Each of Hopper and Barberry, by virtue of their relationship to High River, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper and Barberry disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Onshore and CCI Onshore by virtue of their relationship to Icahn Partners, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore and CCI Onshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5 · balance_after: Each of Icahn Offshore and CCI Offshore by virtue of their relationship to Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore and CCI Offshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Mr. Icahn, by virtue of his relationship to Barberry, Hopper, High River, CCI Onshore, Icahn Onshore, Icahn Partners, CCI Offshore, Icahn Offshore and Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River, Icahn Partners and Icahn Master own. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. F7 · balance_after: Of these Shares, High River directly beneficially owns 993,065 Shares, Icahn Partners directly beneficially owns 1,755,252 Shares and Icahn Master directly beneficially owns 1,914,558 Shares. F3 · ownership.nature: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"). Hopper is the general partner of High River. CCI Onshore Corp. ("CCI Onshore") is the general partner of Icahn Onshore LP ("Icahn Onshore"), which is the general partner of Icahn Partners. CCI Offshore Corp. ("CCI Offshore") is the general partner of Icahn Offshore LP ("Icahn Offshore"), which is the general partner of Icahn Master. Barberry, CCI Onshore and CCI Offshore are 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by all of the foregoing entities. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Hopper and Barberry, by virtue of their relationship to High River, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper and Barberry disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Onshore and CCI Onshore by virtue of their relationship to Icahn Partners, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore and CCI Onshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5 · ownership.nature: Each of Icahn Offshore and CCI Offshore by virtue of their relationship to Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore and CCI Offshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Mr. Icahn, by virtue of his relationship to Barberry, Hopper, High River, CCI Onshore, Icahn Onshore, Icahn Partners, CCI Offshore, Icahn Offshore and Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River, Icahn Partners and Icahn Master own. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. Read SEC document |
| January 10, 2007 Filed Jan 12, 2007 23:35 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | OtherCommonly referred to as Total Return Swap ("TRS") · Derivative | 205,853 | $19.45 Strike: $19.45 | $4,003,840.85 |
DisclosureSEC source: 0000928475-07-000009 · form4011207_ex.xml · derivative · entry 4 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes 1-15 Hopper Investments LLC · CIK 0001322824 · see footnotes 1-15 BARBERRY CORP. · CIK 0000860851 · see footnotes 1-15 Icahn Partners Master Fund LP · CIK 0001322827 · see footnotes 1-15 ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes 1-15 CCI OFFSHORE CORP. · CIK 0001327740 · see footnotes 1-15 ICAHN PARTNERS LP · CIK 0001313666 · see footnotes 1-15 ICAHN ONSHORE LP · CIK 0001322826 · see footnotes 1-15 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes 1-15 CCI ONSHORE CORP. · CIK 0001327741 · see footnotes 1-15 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes 3, 4, 5, 10, 11 Disclosed balance after: 5,330,453 Underlying: Common Stock · 205,853 shares Expires 2008-12-17 F3 · kind: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"). Hopper is the general partner of High River. CCI Onshore Corp. ("CCI Onshore") is the general partner of Icahn Onshore LP ("Icahn Onshore"), which is the general partner of Icahn Partners. CCI Offshore Corp. ("CCI Offshore") is the general partner of Icahn Offshore LP ("Icahn Offshore"), which is the general partner of Icahn Master. Barberry, CCI Onshore and CCI Offshore are 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by all of the foregoing entities. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · kind: Each of Hopper and Barberry, by virtue of their relationship to High River, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper and Barberry disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Onshore and CCI Onshore by virtue of their relationship to Icahn Partners, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore and CCI Onshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5 · kind: Each of Icahn Offshore and CCI Offshore by virtue of their relationship to Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore and CCI Offshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Mr. Icahn, by virtue of his relationship to Barberry, Hopper, High River, CCI Onshore, Icahn Onshore, Icahn Partners, CCI Offshore, Icahn Offshore and Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River, Icahn Partners and Icahn Master own. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. F10 · kind: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II and the applicable footnotes thereto. Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date. F11 · kind: In addition, under each Swap, each of High River, Icahn Partners or Icahn Master, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. F12 · kind: Under this Swap, Icahn Master has exposure with respect to 205,853 reference shares. F10 · derivative.exercise_date: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II and the applicable footnotes thereto. Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date. F11 · derivative.exercise_date: In addition, under each Swap, each of High River, Icahn Partners or Icahn Master, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. F3 · balance_after: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"). Hopper is the general partner of High River. CCI Onshore Corp. ("CCI Onshore") is the general partner of Icahn Onshore LP ("Icahn Onshore"), which is the general partner of Icahn Partners. CCI Offshore Corp. ("CCI Offshore") is the general partner of Icahn Offshore LP ("Icahn Offshore"), which is the general partner of Icahn Master. Barberry, CCI Onshore and CCI Offshore are 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by all of the foregoing entities. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · balance_after: Each of Hopper and Barberry, by virtue of their relationship to High River, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper and Barberry disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Onshore and CCI Onshore by virtue of their relationship to Icahn Partners, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore and CCI Onshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5 · balance_after: Each of Icahn Offshore and CCI Offshore by virtue of their relationship to Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore and CCI Offshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Mr. Icahn, by virtue of his relationship to Barberry, Hopper, High River, CCI Onshore, Icahn Onshore, Icahn Partners, CCI Offshore, Icahn Offshore and Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River, Icahn Partners and Icahn Master own. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. F13 · balance_after: Under these Swaps, High River has exposure with respect to an aggregate of 1,024,920 reference shares, Icahn Partners has exposure with respect to an aggregate of 1,756,407 reference shares, and Icahn Master has exposure with respect to 2,549,126 reference shares. F3 · ownership.nature: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"). Hopper is the general partner of High River. CCI Onshore Corp. ("CCI Onshore") is the general partner of Icahn Onshore LP ("Icahn Onshore"), which is the general partner of Icahn Partners. CCI Offshore Corp. ("CCI Offshore") is the general partner of Icahn Offshore LP ("Icahn Offshore"), which is the general partner of Icahn Master. Barberry, CCI Onshore and CCI Offshore are 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by all of the foregoing entities. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Hopper and Barberry, by virtue of their relationship to High River, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper and Barberry disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Onshore and CCI Onshore by virtue of their relationship to Icahn Partners, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore and CCI Onshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5 · ownership.nature: Each of Icahn Offshore and CCI Offshore by virtue of their relationship to Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore and CCI Offshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Mr. Icahn, by virtue of his relationship to Barberry, Hopper, High River, CCI Onshore, Icahn Onshore, Icahn Partners, CCI Offshore, Icahn Offshore and Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River, Icahn Partners and Icahn Master own. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. F10 · ownership.nature: Each of High River, Icahn Partners and Icahn Master has entered into various cash-settled total return swap agreements (each a "Swap") with fixed termination dates and with respect to a notional number of shares of Common Stock ("reference shares") of WCI as set forth in Table II and the applicable footnotes thereto. Under each Swap, at termination, the counterparty is obligated to pay to High River, Icahn Partners or Icahn Master, as applicable, in cash, amounts that are determined in part by reference to any increase between an initial reference price per share as set forth in Table II and the market value of such reference shares on the applicable termination date. F11 · ownership.nature: In addition, under each Swap, each of High River, Icahn Partners or Icahn Master, as applicable, is obligated to pay to the counterparty, in cash, amounts that are determined in part by reference to any decrease between the initial reference price per share set forth in Table II and the market value of such reference shares on the applicable termination date. None of the Swaps provides for any of the Reporting Persons to have direct or indirect voting, investment or dispositive control over any reference shares and, accordingly, the Reporting Persons disclaim any beneficial ownership in any reference shares or other securities, if any, which may be owned by the counterparties to such Swaps. Read SEC document |
| January 10, 2007 Filed Jan 12, 2007 23:35 UTC | WCI COMMUNITIES INC WCI · Entity 13358 | PurchaseCommon Stock, par value $0.01 per share ("Common Stock") | 249,775 | $19.47 | $4,863,119.25 |
DisclosureSEC source: 0000928475-07-000009 · form4011207_ex.xml · nonDerivative · entry 1 HIGH RIVER LIMITED PARTNERSHIP · CIK 0000928464 · see footnotes 1-15 Hopper Investments LLC · CIK 0001322824 · see footnotes 1-15 BARBERRY CORP. · CIK 0000860851 · see footnotes 1-15 Icahn Partners Master Fund LP · CIK 0001322827 · see footnotes 1-15 ICAHN OFFSHORE LP · CIK 0001322825 · see footnotes 1-15 CCI OFFSHORE CORP. · CIK 0001327740 · see footnotes 1-15 ICAHN PARTNERS LP · CIK 0001313666 · see footnotes 1-15 ICAHN ONSHORE LP · CIK 0001322826 · see footnotes 1-15 ICAHN CARL C ET AL · CIK 0000921669 · 10% owner · see footnotes 1-15 CCI ONSHORE CORP. · CIK 0001327741 · see footnotes 1-15 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes 3, 4, 5 Disclosed balance after: 4,547,875 F1 · shares: Of these shares of Common Stock, par value $0.01 per share (the "Shares"), of WCI Communities, Inc. ("WCI"), High River Limited Partnership ("High River") directly beneficially owns 91,125 Shares and Icahn Partners LP ("Icahn Partners") directly beneficially owns 158,650 Shares. F3 · shares: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"). Hopper is the general partner of High River. CCI Onshore Corp. ("CCI Onshore") is the general partner of Icahn Onshore LP ("Icahn Onshore"), which is the general partner of Icahn Partners. CCI Offshore Corp. ("CCI Offshore") is the general partner of Icahn Offshore LP ("Icahn Offshore"), which is the general partner of Icahn Master. Barberry, CCI Onshore and CCI Offshore are 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by all of the foregoing entities. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · shares: Each of Hopper and Barberry, by virtue of their relationship to High River, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper and Barberry disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Onshore and CCI Onshore by virtue of their relationship to Icahn Partners, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore and CCI Onshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5 · shares: Each of Icahn Offshore and CCI Offshore by virtue of their relationship to Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore and CCI Offshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Mr. Icahn, by virtue of his relationship to Barberry, Hopper, High River, CCI Onshore, Icahn Onshore, Icahn Partners, CCI Offshore, Icahn Offshore and Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River, Icahn Partners and Icahn Master own. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. F2 · balance_after: Of these Shares, High River directly beneficially owns 950,745 Shares, Icahn Partners directly beneficially owns 1,682,572 Shares and Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 1,914,558 Shares. F3 · balance_after: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"). Hopper is the general partner of High River. CCI Onshore Corp. ("CCI Onshore") is the general partner of Icahn Onshore LP ("Icahn Onshore"), which is the general partner of Icahn Partners. CCI Offshore Corp. ("CCI Offshore") is the general partner of Icahn Offshore LP ("Icahn Offshore"), which is the general partner of Icahn Master. Barberry, CCI Onshore and CCI Offshore are 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by all of the foregoing entities. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · balance_after: Each of Hopper and Barberry, by virtue of their relationship to High River, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper and Barberry disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Onshore and CCI Onshore by virtue of their relationship to Icahn Partners, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore and CCI Onshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5 · balance_after: Each of Icahn Offshore and CCI Offshore by virtue of their relationship to Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore and CCI Offshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Mr. Icahn, by virtue of his relationship to Barberry, Hopper, High River, CCI Onshore, Icahn Onshore, Icahn Partners, CCI Offshore, Icahn Offshore and Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River, Icahn Partners and Icahn Master own. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. F3 · ownership.nature: Barberry Corp. ("Barberry") is the sole member of Hopper Investments LLC ("Hopper"). Hopper is the general partner of High River. CCI Onshore Corp. ("CCI Onshore") is the general partner of Icahn Onshore LP ("Icahn Onshore"), which is the general partner of Icahn Partners. CCI Offshore Corp. ("CCI Offshore") is the general partner of Icahn Offshore LP ("Icahn Offshore"), which is the general partner of Icahn Master. Barberry, CCI Onshore and CCI Offshore are 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly to determine the investment and voting decisions made by all of the foregoing entities. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." F4 · ownership.nature: Each of Hopper and Barberry, by virtue of their relationship to High River, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River owns. Each of Hopper and Barberry disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Onshore and CCI Onshore by virtue of their relationship to Icahn Partners, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners owns. Each of Icahn Onshore and CCI Onshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. F5 · ownership.nature: Each of Icahn Offshore and CCI Offshore by virtue of their relationship to Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master owns. Each of Icahn Offshore and CCI Offshore disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Mr. Icahn, by virtue of his relationship to Barberry, Hopper, High River, CCI Onshore, Icahn Onshore, Icahn Partners, CCI Offshore, Icahn Offshore and Icahn Master, may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River, Icahn Partners and Icahn Master own. Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. Read SEC document |
| November 15, 2005 Filed Nov 16, 2005 23:38 UTC | BLOCKBUSTER INC BBI.B · Entity 13183 | Purchase7 1/2% Series A Convertible Preferred Stock · Derivative | 38,000 | $1,000.00 Strike: $5.15 | $38,000,000.00 |
DisclosureSEC source: 0000928475-05-000226 · blockbusterf4_ex.xml · derivative · entry 3 ICAHN CARL C ET AL · CIK 0000921669 · Director · 10% owner Hopper Investments LLC · CIK 0001322824 · 10% owner BARBERRY CORP /NY/ · CIK 0000860851 · 10% owner HIGH RIVER LIMITED PARTNERSHIP /NY/ · CIK 0000928464 · 10% owner Icahn Partners Master Fund LP · CIK 0001322827 · 10% owner Icahn Offshore LP · CIK 0001322825 · 10% owner Icahn Onshore LP · CIK 0001322826 · 10% owner Icahn Partners L P · CIK 0001313666 · 10% owner CCI Offshore Corp. · CIK 0001327740 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Please see explanation below Disclosed balance after: 38,000 Underlying: Class A Shares · 7,378,641 shares Expires not disclosed F1 · derivative.exercise_date: On November 15, 2005, in a private offering, the reporting persons acquired 38,000 shares of 7 1/2% Series A Cumulative Convertible Perpetual Preferred Stock ("Preferred Shares") with a face amount of $1000 per each Preferred Share, which Preferred Shares are immediately convertible into Class A Shares at the conversion price of $5.15 per each share of Class A Common Stock, i.e. one Preferred Share may be converted into approximately 194.1748 shares of Class A Common Stock. Registrants paid $38,000,000 for 38,000 Preferred Shares. High River owns 2,874,548 Class A Shares and 772,320 Class B Shares. F1 · derivative.expiration_date: On November 15, 2005, in a private offering, the reporting persons acquired 38,000 shares of 7 1/2% Series A Cumulative Convertible Perpetual Preferred Stock ("Preferred Shares") with a face amount of $1000 per each Preferred Share, which Preferred Shares are immediately convertible into Class A Shares at the conversion price of $5.15 per each share of Class A Common Stock, i.e. one Preferred Share may be converted into approximately 194.1748 shares of Class A Common Stock. Registrants paid $38,000,000 for 38,000 Preferred Shares. High River owns 2,874,548 Class A Shares and 772,320 Class B Shares. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.