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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Call Option ("right to purchase") | $ 12.3 | 06/03/2013 | P | 957,104 | 06/03/2013 | 02/20/2015 | please see footnote (8) | 957,104 | $ 6.44 | 9,664,619 | I | please see all footnotes (1) (2) (3) (4) (5) (6) (7) (8) | |||
Put Option ("obligation to purchase") | $ 12.3 | 06/03/2013 | S | 957,104 | 02/20/2015 | 02/20/2015 | please see footnote (8) | 957,104 | $ 0.01 | 9,664,619 | I | please see all footnotes (1) (2) (3) (4) (5) (6) (7) (8) | |||
Call Option ("right to purchase") | $ 12.3 | 06/04/2013 | P | 59,261 | 06/04/2013 | 02/20/2015 | please see footnote (8) | 59,261 | $ 6.63 | 9,723,880 | I | please see all footnotes (1) (2) (3) (4) (5) (6) (7) (8) | |||
Put Option ("obligation to purchase") | $ 12.3 | 06/04/2013 | S | 59,261 | 02/20/2015 | 02/20/2015 | please see footnote (8) | 59,261 | $ 0.01 | 9,723,880 | I | please see all footnotes (1) (2) (3) (4) (5) (6) (7) (8) | |||
Call Option ("right to purchase") | $ 12.3 | 06/05/2013 | P | 2,177,817 | 06/05/2013 | 02/20/2015 | please see footnote (8) | 2,177,817 | $ 6.24 | 11,901,697 | I | please see all footnotes (1) (2) (3) (4) (5) (6) (7) (8) | |||
Put Option ("obligation to purchase") | $ 12.3 | 06/05/2013 | S | 2,177,817 | 02/20/2015 | 02/20/2015 | please see footnote (8) | 2,177,817 | $ 0.01 | 11,901,697 | I | please see all footnotes (1) (2) (3) (4) (5) (6) (7) (8) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ICAHN CARL C C/O ICAHN ASSOCIATES HOLDING LLC 767 FIFTH AVE., SUITE 4700 NEW YORK, NY 10153 |
X |
CARL C. ICAHN | 06/05/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | High River Limited Partnership ("High River") directly beneficially owns 6,309,528 Shares, Icahn Partners LP ("Icahn Partners") directly beneficially owns 9,520,046 Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 10,042,350 Shares, Icahn Partners Master Fund II LP ("Icahn Master II") directly beneficially owns 3,940,853 Shares, and Icahn Partners Master Fund III LP ("Icahn Master III") directly beneficially owns 1,734,854 Shares. |
(2) | Barberry Corp. ("Barberry"), is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises Holdings"). Icahn Enterprises Holdings is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Capital LP ("Icahn Capital"). Icahn Capital is the general partner of each of Icahn Onshore LP ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of each of Icahn Master, Icahn Master II and Icahn Master III. |
(3) | Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. As such, Mr. Icahn is in a position indirectly 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. |
(4) | Each of Icahn Onshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and Mr. 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. |
(5) | Each of Icahn Offshore, Icahn Capital, IPH, Icahn Enterprises Holdings, Icahn Enterprises GP, Beckton and 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. |
(6) | High River directly beneficially owns 2,380,340 American-style call options (the "Call Options"), Icahn Partners directly beneficially owns 3,590,143 Call Options, Icahn Master directly beneficially owns 3,798,518 Call Options, Icahn Master II directly beneficially owns 1,481,168 Call Options, and Icahn Master III directly beneficially owns 651,528 Call Options. |
(7) | High River directly wrote 2,380,340 European-style put options (the "Put Options"), Icahn Partners directly wrote 3,590,143 Put Options, Icahn Master directly wrote 3,798,518 Put Options, Icahn Master II directly wrote 1,481,168 Put Options, and Icahn Master III directly wrote 651,528 Put Options. In each case, the exercise, termination or transfer of the Call Options will reduce the number of Put Options on a one-for-one basis. |
(8) | The Call Options reference an aggregate of 11,901,697 Shares, have an exercise price of $12.30, expire on February 20, 2015, and provide for physical settlement. The Put Options reference an aggregate of 11,901,697 Shares, have an exercise price of $12.30, expire on February 20, 2015, and provide that they settle in cash. |