Form 4 for CVI CVR ENERGY INC
Accepted 2021-12-10 00:00:00 ET · period of report 2021-12-08 · accession 0001376139-21-000123 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-12-10 | 2021-12-08 | CVI | Neumann Dane J. | EVP, CFO | M - OptEx | $0.00 | +5,455 | 4,502 | New | $0 |
| DM | 2021-12-10 | 2021-12-08 | CVI | Neumann Dane J. | EVP, CFO | D - Sale to Iss | $16.24 | -5,455 | 0 | -100% | -$88.6K |
| DM | 2021-12-10 | 2021-12-08 | CVI | Neumann Dane J. | EVP, CFO | M - OptEx | $0.00 | -5,455 | 9,004 | -38% | $0 |
| D | 2021-12-10 | 2021-12-08 | CVI | Neumann Dane J. | EVP, CFO | A - Grant | $0.00 | +23.2K | 23.2K | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-12-08 | M | A | 953 | $0.00 | 953 | D | — | — | (F1) The Incentive Units were awarded to the reporting person by CVR Energy, Inc. as compensation for services on December 13, 2019. These Incentive Units vest ratably in annual installments in December in each of the three years following the grant date, subject to the terms and conditions of the award agreement. (F2) Each Incentive Unit reported herein represents the right to receive upon vesting, a cash payment equal to the average closing price of a share of CVR Energy, Inc. common stock for the 10 trading days preceding the vest date. |
| 2 | Common | Common Stock | 2021-12-08 | D | D | 4,502 | $16.24 | 0 | D | — | — | (F4) The Incentive Units were awarded to the reporting person by CVR Energy, Inc. as compensation for services on December 9, 2020. These Incentive Units vest ratably in annual installments in December in each of the three years following the grant date, subject to the terms and conditions of the award agreement. |
| 3 | Common | Common Stock | 2021-12-08 | M | A | 4,502 | $0.00 | 4,502 | D | — | — | (F4) The Incentive Units were awarded to the reporting person by CVR Energy, Inc. as compensation for services on December 9, 2020. These Incentive Units vest ratably in annual installments in December in each of the three years following the grant date, subject to the terms and conditions of the award agreement. (F2) Each Incentive Unit reported herein represents the right to receive upon vesting, a cash payment equal to the average closing price of a share of CVR Energy, Inc. common stock for the 10 trading days preceding the vest date. |
| 4 | Common | Common Stock | 2021-12-08 | D | D | 953 | $16.24 | 0 | D | — | — | (F1) The Incentive Units were awarded to the reporting person by CVR Energy, Inc. as compensation for services on December 13, 2019. These Incentive Units vest ratably in annual installments in December in each of the three years following the grant date, subject to the terms and conditions of the award agreement. (F3) This price represents the average closing price of a share of CVR Energy, Inc. common stock for the 10 trading days preceding the vest date. |
| 5 | Derivative | Incentive Units | 2021-12-08 | M | D | 953 | $0.00 | 953 | D | — · — to — | 953 Common Stock | (F1) The Incentive Units were awarded to the reporting person by CVR Energy, Inc. as compensation for services on December 13, 2019. These Incentive Units vest ratably in annual installments in December in each of the three years following the grant date, subject to the terms and conditions of the award agreement. (F2) Each Incentive Unit reported herein represents the right to receive upon vesting, a cash payment equal to the average closing price of a share of CVR Energy, Inc. common stock for the 10 trading days preceding the vest date. (F5) The Incentive Units expire immediately upon vest. |
| 6 | Derivative | Incentive Units | 2021-12-08 | A | A | 23,210 | $0.00 | 23,210 | D | — · — to — | 23,210 Common Stock | (F6) The Incentive Units were awarded to the reporting person by CVR Energy, Inc. as compensation for services as an officer on December 8, 2021. These Incentive Units vest ratably in annual installments in December in each of the three years following the grant date, subject to the terms and conditions of the award agreement. (F2) Each Incentive Unit reported herein represents the right to receive upon vesting, a cash payment equal to the average closing price of a share of CVR Energy, Inc. common stock for the 10 trading days preceding the vest date. (F5) The Incentive Units expire immediately upon vest. |
| 7 | Derivative | Incentive Units | 2021-12-08 | M | D | 4,502 | $0.00 | 9,004 | D | — · — to — | 4,502 Common Stock | (F4) The Incentive Units were awarded to the reporting person by CVR Energy, Inc. as compensation for services on December 9, 2020. These Incentive Units vest ratably in annual installments in December in each of the three years following the grant date, subject to the terms and conditions of the award agreement. (F2) Each Incentive Unit reported herein represents the right to receive upon vesting, a cash payment equal to the average closing price of a share of CVR Energy, Inc. common stock for the 10 trading days preceding the vest date. (F5) The Incentive Units expire immediately upon vest. |