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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 | ||||||||
RSU 12-16-2013 | $ 0 | 12/16/2013 | M | 2,479 (1) | 12/16/2013 | 12/31/2013 | Class A Common Stock | 2,479 | $ 0 | 2,479 | D | ||||
2007 Restricted Stock Unit | $ 0 | 12/16/2013 | D | 792 (3) | 01/01/2008 | 12/13/2017 | Class A Common Stock | 792 | $ 0 | 0 | D | ||||
March 2 2012 Director RSU Grant | $ 0 | 12/16/2013 | D | 2,231 (4) | 03/02/2012 | 03/02/2022 | Class A Common Stock | 2,231 | $ 0 | 0 | D | ||||
March 2011 Director RSU | $ 0 | 12/16/2013 | D | 2,499 (4) | 03/02/2011 | 03/02/2021 | Class A Common Stock | 2,499 | $ 0 | 0 | D | ||||
March 4, 2013 Director RSU Grant | $ 0 | 12/16/2013 | D | 2,629 (4) | 03/04/2013 | 03/04/2023 | Class A Common Stock | 2,629 | $ 0 | 0 | D | ||||
Nonstatutory Stock Option 12-15-05 | $ 30.645 | 12/16/2013 | D | 10,000 (5) | 12/15/2005 | 12/15/2015 | Class A Common Stock | 10,000 | $ 0 | 0 | D | ||||
Nonstatutory Stock Option 12-15-06 | $ 32.565 | 12/16/2013 | D | 10,000 (5) | 12/15/2006 | 12/14/2016 | Class A Common Stock | 10,000 | $ 0 | 0 | D | ||||
Nonstatutory Stock Options 12-2-04 | $ 21.77 | 12/16/2013 | D | 10,000 (5) | 12/02/2004 | 12/02/2014 | Class A Common Stock | 10,000 | $ 0 | 0 | D | ||||
NSO 2007 | $ 43.61 | 12/16/2013 | D | 3,956 (5) | 12/14/2007 | 12/13/2017 | Class A Common Stock | 3,956 | $ 0 | 0 | D | ||||
Phantom Stock Units | $ 0 | 12/16/2013 | D | 48,768 (6) | 08/08/1988 | 08/08/1988 | Class A Common Stock | 48,260 | $ 0 | 0 | D | ||||
RSU 12-16-2013 | $ 0 | 12/16/2013 | D | 2,479 (4) | 12/16/2013 | 12/31/2013 | Class A Common Stock | 2,479 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BUSCH RALPH B III C/O BERRY PETROLEUM COMPANY 1999 BROADWAY, SUITE 3700 DENVER, CO 80202 |
Kenneth A Olson under POA for Ralph Busch | 12/20/2013 | |
**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) | RSU Grant awarded to Board of Directors at completion of Merger pursuant to Board action as disclosed in the Merger Proxy materials. |
(2) | Disposed of pursuant to the merger (the "Merger") of Berry Petroleum Company ("Berry") with LinnCo ("Linn") in a stock-for-stock merger. After the transaction Berry will be an indirect wholly owned subidiary of Linn. Pursuant to the Merger agreement each share of Berry Common Stock will be exchanged for 1.68 shares of LinnCo common shares. |
(3) | Disposed of pursuant to the merger (the "Merger") of Berry Petroleum Company ("Berry") with LinnCo, LLC ("LinnCo") in a stock-for-stock merger, which was completed on December 16, 2013. Following the transaction Berry is an indirect wholly-owned subsidiary of Linn Energy, LLC. Pursuant to the Merger agreement each RSU was exchanged for 1.68 shares of LinnCo common shares. |
(4) | Disposed of pursuant to the merger (the "Merger") of Berry Petroleum Company ("Berry") with LinnCo ("Linn") in a stock-for-stock merger. Pursuant to the Merger agreement each RSU will be exchanged for 1.68 shares of LinnCo common shares. |
(5) | Disposed of pursuant to the merger (the "Merger") of Berry Petroleum Company ("Berry") with LinnCo ("Linn") in a stock-for-stock merger. Pursuant to the Merger agreement each option to purchase Berry shares will be exchanged for 1.682115 options to puchase LINN Units on the same terms and conditions as were applicable to Berry shares prior to the Merger. |
(6) | Disposed of pursuant to terms of Merger Agreement and Proxy Materials in exchange for 1.68 shares of LinnCo Common stock. |