0000903423-13-000059.txt : 20130211 0000903423-13-000059.hdr.sgml : 20130211 20130208173944 ACCESSION NUMBER: 0000903423-13-000059 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20130211 DATE AS OF CHANGE: 20130208 GROUP MEMBERS: NORTHERN TIER ENERGY LP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Northern Tier Energy LP CENTRAL INDEX KEY: 0001533454 STANDARD INDUSTRIAL CLASSIFICATION: PETROLEUM REFINING [2911] IRS NUMBER: 800763623 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-87061 FILM NUMBER: 13588001 BUSINESS ADDRESS: STREET 1: 38C GROVE STREET STREET 2: SUITE 100 CITY: RIDGEFIELD STATE: CT ZIP: 06877 BUSINESS PHONE: (203) 244-6550 MAIL ADDRESS: STREET 1: 38C GROVE STREET STREET 2: SUITE 100 CITY: RIDGEFIELD STATE: CT ZIP: 06877 FORMER COMPANY: FORMER CONFORMED NAME: Northern Tier Energy, Inc. DATE OF NAME CHANGE: 20111025 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NTI GenPar, LLC CENTRAL INDEX KEY: 0001554668 IRS NUMBER: 450669825 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O ACON INVESTMENTS LLC STREET 2: 1133 CONNECTICUT AVENUE, NW, SUITE 700 CITY: WASHINGTON DC STATE: DC ZIP: 20036 BUSINESS PHONE: 202-454-1100 MAIL ADDRESS: STREET 1: C/O ACON INVESTMENTS LLC STREET 2: 1133 CONNECTICUT AVENUE, NW, SUITE 700 CITY: WASHINGTON DC STATE: DC ZIP: 20036 SC 13D/A 1 ntigenpar-13da3_0208.htm Unassociated Document
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
 
SCHEDULE 13D
(Rule 13d-101)

(Amendment No. 3)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 240.13d-2(a)
 
Northern Tier Energy LP
(Name of Issuer)
 
Common Units, no par value
(Title of Class of Securities)
 
665826103
(CUSIP Number)
 
Barry Johnson
Authorized Officer
ACON Investments, L.L.C.
1133 Connecticut Avenue, NW, Suite 700
Washington, D.C. 20036
(202) 454-1100
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
 
February 8, 2013
(Date of Event which Requires Filing of this Statement)
 
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. 
 
Note.            Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.
 
(Continued on following pages)
 
(Page 1 of 7 Pages)
______________________
 
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
 
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
 

 
 
 

CUSIP No. 665826103
13D
Page 2 of 7 Pages
 
1
NAMES OF REPORTING PERSONS
NTI GenPar, LLC
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a) o
(b) o
3
SEC USE ONLY
4
SOURCE OF FUNDS (see instructions)
OO (See Item 3)
5
 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)        o
6
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
7
SOLE VOTING POWER
-0-
8
SHARED VOTING POWER
60,922,500 (See Items 3, 4 and 5)
9
SOLE DISPOSITIVE POWER
-0-
10
SHARED DISPOSITIVE POWER
60,922,500 (See Items 3, 4 and 5)
 11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
    60,922,500 (See Items 3, 4 and 5)
12
 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions)          o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
66.3%  (See Item 5)*
14 TYPE OF REPORTING PERSON
OO
*
The calculation is based on a total of 91,921,112 Common Units of the Issuer outstanding as of January 15, 2013 as reported in the prospectus filed by the Issuer with the Securities and Exchange Commission (the “Commission”) on January 18, 2013.

 
 
 

CUSIP No. 665826103
13D
Page 3 of 7 Pages
 
1
NAMES OF REPORTING PERSONS
Northern Tier Investors LP
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a) o
(b) o
3
SEC USE ONLY
4
SOURCE OF FUNDS (see instructions)
OO (See Item 3)
5
 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)        o
6
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
7
SOLE VOTING POWER
-0-
8
SHARED VOTING POWER
60,922,500 (See Items 3, 4 and 5)
9
SOLE DISPOSITIVE POWER
-0-
10
SHARED DISPOSITIVE POWER
60,922,500 (See Items 3, 4 and 5)
 11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
    60,922,500 (See Items 3, 4 and 5)
12
 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions)          o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
66.3%  (See Item 5)*
14  TYPE OF REPORTING PERSON
PN
*
The calculation is based on a total of 91,921,112 Common Units of the Issuer outstanding as of January 15, 2013 as reported in the prospectus filed by the Issuer with the Commission on January 18, 2013.
 
 
 
 
 
CUSIP No. 665826103
13D
Page 4 of 7 Pages
 
1
NAMES OF REPORTING PERSONS
Northern Tier Investors, LLC
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a) o
(b) o
3
SEC USE ONLY
4
SOURCE OF FUNDS (see instructions)
OO (See Item 3)
5
 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)        o
6
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
7
SOLE VOTING POWER
-0-
8
SHARED VOTING POWER
60,922,500 (See Items 3, 4 and 5)
9
SOLE DISPOSITIVE POWER
-0-
10
SHARED DISPOSITIVE POWER
60,922,500 (See Items 3, 4 and 5)
 11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
    60,922,500 (See Items 3, 4 and 5)
12
 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions)          o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
66.3%  (See Item 5)*
14  TYPE OF REPORTING PERSON
OO
*
The calculation is based on a total of 91,921,112 Common Units of the Issuer outstanding as of January 15, 2013 as reported in the prospectus filed by the Issuer with the Commission on January 18, 2013.
 
 
 
 

This Amendment No. 3 (the “Amendment”) amends and supplements the Schedule 13D filed on November 19, 2012, as amended and supplemented by Amendment No. 1 filed on November 28, 2012 and by Amendment No. 2 filed on January 24, 2013 (as so amended, the “Original Schedule 13D” and, as further amended and supplemented by this Amendment, the “Schedule 13D”) by NTI GenPar LLC, Northern Tier Investors LP and Northern Tier Investors, LLC with respect to the Common Units of the Issuer.  Capitalized terms used in this Amendment and not otherwise defined shall have the same meanings ascribed to them in the Original Schedule 13D.
 
Item 4.  Purpose of Transaction
 
This Amendment amends and supplements Item 4 of the Original Schedule 13D by inserting the following after the last paragraph under the subheading Resale Offering:
 
“On February 5, 2013, the Resale Offering Underwriters exercised in full their option to purchase an additional 1,605,000 Common Units of the Issuer at a price of $23.42045 per Common Unit, which represents the public offering price of $24.46 per Common Unit less the Resale Offering Underwriters’ discount of $1.03955 per Common Unit.  The sale closed on February 8, 2013.
 
Item 5.  Interest in Securities of the Issuer
 
This Amendment amends and restates the second and third paragraphs of Item 5 of the Original Schedule 13D in their entirety as set forth below:
 
“(a)–(b)       The following disclosure assumes that there are 91,921,112 Common Units of the Issuer outstanding as of January 15, 2013, which figure is based on information set forth in the prospectus filed by the Issuer with the Commission on January 18, 2013.
 
Pursuant to Rule 13d-3 of the Act, the Reporting Persons may be deemed to beneficially own 60,922,500 Common Units of the Issuer, which constitutes approximately 66.3% of the outstanding Common Units of the Issuer.”
 
 
Page 5 of 7 Pages
 
SIGNATURE
 
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
 
Dated:  February 8, 2013
 
 
NTI GenPar, LLC
   
 
 
By: /s/ Barry E. Johnson                                     
 
Name:  Barry E. Johnson
Title: Authorized Officer
   
 
 
Northern Tier Investors LP
 
 
 
By: /s/ Barry E. Johnson                                     
 
Name:  Barry E. Johnson
Title: Authorized Officer
   
 
 
Northern Tier Investors, LLC
 
 
 
By: /s/ Barry E. Johnson                                     
 
Name:  Barry E. Johnson
Title: Authorized Officer
   
   

 
Page 6 of 7 Pages
 

INDEX TO EXHIBITS
 
1.
Agreement of Joint Filing by NTI GenPar, LLC, Northern Tier Investors LP and Northern Tier Investors, LLC, dated as of November 19, 2012 (previously filed with the Commission as Exhibit 1 to Schedule 13D filed by NTI GenPar LLC, Northern Tier Investors LP and Northern Tier Investors, LLC on November 19, 2012).
 
2.
Underwriting Agreement, dated July 25, 2012, by and among Northern Tier Energy LP, Northern Tier Energy LLC, Northern Tier Energy GP LLC, Northern Tier Energy Holdings LLC and Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Barclays Capital Inc., as representatives of the several underwriters (previously filed with the Commission as Exhibit 1.1 to Form 8-K filed by Northern Tier Energy LP and Northern Tier Energy LLC on July 30, 2012).
 
3.
Transaction Agreement, dated July 25, 2012, by and among Northern Tier Holdings LLC, Northern Tier Energy GP LLC, Northern Tier Energy LLC, Northern Tier Energy Holdings LLC, Northern Tier Retail Holdings LLC and Northern Tier Energy LP (previously filed with the Commission as Exhibit 10.1 to Form 8-K filed by Northern Tier Energy LP and Northern Tier Energy LLC on July 30, 2012).
 
4.
First Amended and Restated Agreement of Limited Partnership of Northern Tier Energy LP, dated July 31, 2012 (previously filed with the Commission as Exhibit 3.1 to Form 8-K filed by Northern Tier Energy LP on August 2, 2012).
 
5.
Supplemental Indenture, dated as of November 2, 2012, by and among Northern Tier Energy LLC, Northern Tier Finance Corporation, the subsidiary guarantors party thereto and Deutsche Bank Trust Company Americas, as trustee and collateral agent (previously filed with the Commission as Exhibit 4.1 to Form 8-K filed by Northern Tier Energy LP and Northern Tier Energy LLC on November 6, 2012).
 
6.
Amended and Restated Registration Rights Agreement, dated July 31, 2012, by and among TPG Refining, L.P., ACON Refining Partners, L.L.C., NTI Management Company, L.P., NTR Partners LLC, NTR Partners II LLC, Northern Tier Investors, LLC, Northern Tier Holdings LLC and Northern Tier Energy LP (previously filed with the Commission as Exhibit 4.1 to Form 8-K filed by Northern Tier Energy LP on August 2, 2012).
 
7.
Form of Lock-Up Agreement, by and among each of Northern Tier Holdings LLC, Northern Tier Energy GP LLC and certain directors and officers of Northern Tier Energy GP LLC and Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Barclays Capital, Inc., as representatives of the several underwriters (previously filed with the Commission as Exhibit 7 to Schedule 13D/A filed by NTI GenPar, LLC, Northern Tier Investors LP and Northern Tier Investors, LLC on November 28, 2012).
 
8.
Underwriting Agreement, dated January 17, 2013, by and among Northern Tier Energy LP, Northern Tier Energy LLC, Northern Tier Energy GP LLC, Northern Tier Energy Holdings LLC, Northern Tier Holdings LLC and Barclays Capital Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Goldman, Sachs & Co., Citigroup Global Markets Inc. and UBS Securities LLC, as representatives of the several underwriters (previously filed with the Commission as Exhibit 1.1 to Form 8-K filed by Northern Tier Energy LP on January 22, 2013).
 
9.
Form of Lock-Up Agreement, by and among each of Northern Tier Holdings LLC, Northern Tier Energy GP LLC and certain directors and officers of Northern Tier Energy GP LLC and Barclays Capital Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Goldman, Sachs & Co., Citigroup Global Markets Inc. and UBS Securities LLC, as representatives of the several underwriters (previously filed with the Commission as Exhibit 9 to Schedule 13D/A filed by NTI GenPar, LLC, Northern Tier Investors LP and Northern Tier Investors, LLC on January 24, 2013).
 

Page 7 of 7 Pages