A new 13G filing from D.E Shaw, founded by billionaire David E. Shaw, reveals that the investment firm has trimmed its stake in Alon USA Energy, Inc. (NYSE:ALJ) by about 8,500 shares to just under 3.87 million shares. The revised stake accounts for 5.5% of the petroleum refiner’s common shares. You can see the full details in the table and filing below.
You can access the original SEC filing by clicking here.
Ownership Summary Table
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| D. E. Shaw Kalon Portfolios | 0 | 3,869,731 | 0 | 3,869,731 | 3,869,731 | 5.5% |
| D. E. Shaw Heliant Manager | 0 | 3,869,731 | 0 | 3,869,731 | 3,869,731 | 5.5% |
| D. E. Shaw Heliant Adviser | 0 | 3,869,731 | 0 | 3,869,731 | 3,869,731 | 5.5% |
| D. E. Shaw Co. | 0 | 3,869,951 | 0 | 3,869,951 | 3,869,951 | 5.5% |
| D. E. Shaw Co. | 0 | 3,869,951 | 0 | 3,869,951 | 3,869,951 | 5.5% |
| David E. Shaw | 0 | 3,869,951 | 0 | 3,869,951 | 3,869,951 | 5.5% |
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Page 1 of 11 SEC Filing
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Amendment No. 1)
Under the Securities Exchange Act of 1934
Alon USA Energy, Inc.
(Name of Issuer)
Common stock, par value $0.01
(Title of Class of Securities)
020520102
(CUSIP Number)
February 22, 2016
(Date of Event Which Requires Filing of
this Statement)
Check the following box to designate the rule pursuant to which
the Schedule is filed:
| ¨ | Rule 13d-1(b) | |
| x | Rule 13d-1(c) | |
| ¨ | Rule 13d-1(d) |
*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 the disclosures provided in a prior cover page.
The information required in 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).
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Page 2 of 11 SEC Filing
| CUSIP No. 020520102 | ||||
| 1. | Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities D. E. Shaw Kalon Portfolios, L.L.C. 27-1490745 | |||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |||
| (a) | ¨ | |||
| (b) | ¨ | |||
| 3. | SEC Use Only | |||
| 4. | Citizenship or Place of Organization Delaware | |||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power -0- | ||
| 6. | Shared Voting Power 3,869,731 | |||
| 7. | Sole Dispositive Power -0- | |||
| 8. | Shared Dispositive Power 3,869,731 | |||
| 9. | Aggregate Amount Beneficially Owned by Each Reporting 3,869,731 | |||
| 10. | Check if the Aggregate Amount in Row (9) Excludes | |||
| 11. | Percent of Class Represented by Amount in Row (9) 5.5% | |||
| 12. | Type of Reporting Person (See Instructions) OO | |||
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Page 3 of 11 SEC Filing
| CUSIP No. 020520102 | ||||
| 1. | Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities D. E. Shaw Heliant Manager, L.L.C. 27-1289787 | |||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |||
| (a) | ¨ | |||
| (b) | ¨ | |||
| 3. | SEC Use Only | |||
| 4. | Citizenship or Place of Organization Delaware | |||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power -0- | ||
| 6. | Shared Voting Power 3,869,731 | |||
| 7. | Sole Dispositive Power -0- | |||
| 8. | Shared Dispositive Power 3,869,731 | |||
| 9. | Aggregate Amount Beneficially Owned by Each Reporting 3,869,731 | |||
| 10. | Check if the Aggregate Amount in Row (9) Excludes | |||
| 11. | Percent of Class Represented by Amount in Row (9) 5.5% | |||
| 12. | Type of Reporting Person (See Instructions) OO | |||
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Page 4 of 11 SEC Filing
| CUSIP No. 020520102 | ||||
| 1. | Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities D. E. Shaw Heliant Adviser, L.L.C. 27-1289715 | |||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |||
| (a) | ¨ | |||
| (b) | ¨ | |||
| 3. | SEC Use Only | |||
| 4. | Citizenship or Place of Organization Delaware | |||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power -0- | ||
| 6. | Shared Voting Power 3,869,731 | |||
| 7. | Sole Dispositive Power -0- | |||
| 8. | Shared Dispositive Power 3,869,731 | |||
| 9. | Aggregate Amount Beneficially Owned by Each Reporting 3,869,731 | |||
| 10. | Check if the Aggregate Amount in Row (9) Excludes | |||
| 11. | Percent of Class Represented by Amount in Row (9) 5.5% | |||
| 12. | Type of Reporting Person (See Instructions) IA | |||
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Page 5 of 11 SEC Filing
| CUSIP No. 020520102 | ||||
| 1. | Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities D. E. Shaw & Co., L.L.C. 13-3799946 | |||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |||
| (a) | ¨ | |||
| (b) | ¨ | |||
| 3. | SEC Use Only | |||
| 4. | Citizenship or Place of Organization Delaware | |||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power -0- | ||
| 6. | Shared Voting Power 3,869,951 | |||
| 7. | Sole Dispositive Power -0- | |||
| 8. | Shared Dispositive Power 3,869,951 | |||
| 9. | Aggregate Amount Beneficially Owned by Each Reporting 3,869,951 | |||
| 10. | Check if the Aggregate Amount in Row | |||
| 11. | Percent of Class Represented by Amount in Row (9) 5.5% | |||
| 12. | Type of Reporting Person (See Instructions) OO | |||
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Page 6 of 11 SEC Filing
| CUSIP No. 020520102 | ||||
| 1. | Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities D. E. Shaw & Co., L.P. 13-3695715 | |||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |||
| (a) | ¨ | |||
| (b) | ¨ | |||
| 3. | SEC Use Only | |||
| 4. | Citizenship or Place of Organization Delaware | |||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power -0- | ||
| 6. | Shared Voting Power 3,869,951 | |||
| 7. | Sole Dispositive Power -0- | |||
| 8. | Shared Dispositive Power 3,869,951 | |||
| 9. | Aggregate Amount Beneficially Owned by Each Reporting 3,869,951 | |||
| 10. | Check if the Aggregate Amount in Row (9) Excludes | |||
| 11. | Percent of Class Represented by Amount in Row (9) 5.5% | |||
| 12. | Type of Reporting Person (See Instructions) IA, PN | |||
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Page 7 of 11 SEC Filing
| CUSIP No. 020520102 | ||||
| 1. | Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities David E. Shaw | |||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |||
| (a) | ¨ | |||
| (b) | ¨ | |||
| 3. | SEC Use Only | |||
| 4. | Citizenship or Place of Organization United States | |||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power -0- | ||
| 6. | Shared Voting Power 3,869,951 | |||
| 7. | Sole Dispositive Power -0- | |||
| 8. | Shared Dispositive Power 3,869,951 | |||
| 9. | Aggregate Amount Beneficially Owned by Each Reporting 3,869,951 | |||
| 10. | Check if the Aggregate Amount in Row | |||
| 11. | Percent of Class Represented by Amount in Row (9) 5.5% | |||
| 12. | Type of Reporting Person (See Instructions) IN | |||
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Page 8 of 11 SEC Filing
| Item 1. | ||
| (a) | Name of Issuer | |
| Alon USA Energy, Inc. | ||
|
(b) |
Address of Issuer’s Principal Executive Offices | |
| 12700 Park Central Dr., Suite 1600 Dallas, Texas 75251 | ||
| Item 2. | ||
| (a) | Name of Person Filing | |
| D. E. Shaw Kalon Portfolios, L.L.C. D. E. Shaw Heliant Manager, L.L.C. D. E. Shaw Heliant Adviser, L.L.C. D. E. Shaw & Co., L.L.C. D. E. Shaw & Co., L.P. David E. Shaw | ||
| (b) | Address of Principal Business Office or, if none, Residence | |
| The business address for each reporting person is: 1166 Avenue of the Americas, 9th Floor New York, NY 10036 | ||
|
(c) |
Citizenship | |
| D. E. Shaw Kalon Portfolios, L.L.C. is a limited liability D. E. Shaw Heliant Manager, L.L.C. is a limited liability D. E. Shaw Heliant Adviser, L.L.C. is a limited liability D. E. Shaw & Co., L.L.C. is a limited liability D. E. Shaw & Co., L.P. is a limited partnership David E. Shaw is a citizen of the United States of | ||
|
(d) |
Title of Class of Securities | |
| Common stock, par value $0.01 | ||
|
(e) |
CUSIP Number | |
| 020520102 | ||
|
Item 3. |
If this statement is filed pursuant to Rule 13d-1(b) | |
| Not Applicable | ||
| Item 4. | Ownership | |
As of February 22, 2016:
| (a) | Amount beneficially owned: |
| D. E. Shaw Kalon Portfolios, L.L.C.: | 3,869,731 shares | |
| D. E. Shaw Heliant Manager, L.L.C.: | 3,869,731 shares This is composed of 3,869,731 shares in the name of | |
| D. E. Shaw Heliant Adviser, L.L.C.: | 3,869,731 shares This is composed of 3,869,731 shares in the name of | |
| D. E. Shaw & Co., L.L.C.: | 3,869,951 shares This is composed of (i) 3,869,731 shares in the name |
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Page 9 of 11 SEC Filing
| D. E. Shaw & Co., L.P.: | 3,869,951 shares This is composed of (i) 3,869,731 shares in the name | |
| David E. Shaw: | 3,869,951 shares This is composed of (i) 3,869,731 shares in the name |
| (b) | Percent of class: |
| D. E. Shaw Kalon Portfolios, L.L.C.: | 5.5% | |
| D. E. Shaw Heliant Manager, L.L.C.: | 5.5% | |
| D. E. Shaw Heliant Adviser, L.L.C.: | 5.5% | |
| D. E. Shaw & Co., L.L.C.: | 5.5% | |
| D. E. Shaw & Co., L.P.: | 5.5% | |
| David E. Shaw: | 5.5% |
| (c) | Number of shares to which the person has: |
| (i) | Sole power to vote or to direct the vote: |
| D. E. Shaw Kalon Portfolios, L.L.C.: | -0- shares | |
| D. E. Shaw Heliant Manager, L.L.C.: | -0- shares | |
| D. E. Shaw Heliant Adviser, L.L.C.: | -0- shares | |
| D. E. Shaw & Co., L.L.C.: | -0- shares | |
| D. E. Shaw & Co., L.P.: | -0- shares | |
| David E. Shaw: | -0- shares |
| (ii) | Shared power to vote or to direct the vote: |
| D. E. Shaw Kalon Portfolios, L.L.C.: | 3,869,731 shares | |
| D. E. Shaw Heliant Manager, L.L.C.: | 3,869,731 shares | |
| D. E. Shaw Heliant Adviser, L.L.C.: | 3,869,731 shares | |
| D. E. Shaw & Co., L.L.C.: | 3,869,951 shares | |
| D. E. Shaw & Co., L.P.: | 3,869,951 shares | |
| David E. Shaw: | 3,869,951 shares |
| (iii) | Sole power to dispose or to direct the disposition of: |
| D. E. Shaw Kalon Portfolios, L.L.C.: | -0- shares | |
| D. E. Shaw Heliant Manager, L.L.C.: | -0- shares | |
| D. E. Shaw Heliant Adviser, L.L.C.: | -0- shares | |
| D. E. Shaw & Co., L.L.C.: | -0- shares | |
| D. E. Shaw & Co., L.P.: | -0- shares | |
| David E. Shaw: | -0- shares |
| (iv) | Shared power to dispose or to direct the disposition of: |
| D. E. Shaw Kalon Portfolios, L.L.C.: | 3,869,731 shares | |
| D. E. Shaw Heliant Manager, L.L.C.: | 3,869,731 shares | |
| D. E. Shaw Heliant Adviser, L.L.C.: | 3,869,731 shares | |
| D. E. Shaw & Co., L.L.C.: | 3,869,951 shares | |
| D. E. Shaw & Co., L.P.: | 3,869,951 shares | |
| David E. Shaw: | 3,869,951 shares |
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Page 10 of 11 SEC Filing
David E. Shaw does not own any shares directly. By virtue of
David E. Shaw’s position as President and sole shareholder of D. E. Shaw & Co., Inc., which is the general partner of
D. E. Shaw & Co., L.P., which in turn is the investment adviser of D. E. Shaw Oculus Portfolios, L.L.C. and the managing member
of (i) D. E. Shaw Heliant Adviser, L.L.C., which in turn is the investment adviser of D. E. Shaw Kalon Portfolios, L.L.C., and
(ii) D. E. Shaw Adviser, L.L.C., which in turn is the investment adviser of D. E. Shaw Asymptote Portfolios, L.L.C., and by virtue
of David E. Shaw’s position as President and sole shareholder of D. E. Shaw & Co. II, Inc., which is the managing member
of D. E. Shaw & Co., L.L.C., which in turn is the manager of D. E. Shaw Oculus Portfolios, L.L.C. and the managing
member of (i) D. E. Shaw Heliant Manager, L.L.C., which in turn is the manager of D. E. Shaw Kalon Portfolios, L.L.C., and (ii)
D. E. Shaw Manager, L.L.C., which in turn is the manager of D. E. Shaw Asymptote Portfolios, L.L.C., David E. Shaw may be deemed
to have the shared power to vote or direct the vote of, and the shared power to dispose or direct the disposition of, the 3,869,951
shares as described above constituting 5.5% of the outstanding shares and, therefore, David E. Shaw may be deemed to be the beneficial
owner of such shares. David E. Shaw disclaims beneficial ownership of such 3,869,951 shares.
| Item 5. | Ownership of Five Percent or Less of a Class | |
| Not Applicable | ||
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person. | |
| Not Applicable | ||
| Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person. | |
| Not Applicable | ||
| Item 8. | Identification and Classification of Members of the Group | |
| Not Applicable | ||
| Item 9. | Notice of Dissolution of Group | |
| Not Applicable | ||
| Item 10. | Certification | |
By signing below, each of D. E. Shaw Kalon Portfolios, L.L.C.,
D. E. Shaw Heliant Manager, L.L.C., D. E. Shaw Heliant Adviser, L.L.C., D. E. Shaw & Co., L.L.C., D. E. Shaw
& Co., L.P., and David E. Shaw certify that, to the best of such reporting person’s knowledge and belief, the securities
referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control
of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction
having such purposes or effect.
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Page 11 of 11 SEC Filing
SIGNATURE
After reasonable inquiry and to the best of their knowledge
and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Powers of
Attorney, dated December 16, 2014, granted by David E. Shaw in favor of Nathan Thomas, are attached hereto.
Dated: February 22, 2016
| D. E. Shaw Kalon Portfolios, L.L.C. | |||
| By: | /s/ Nathan Thomas | ||
| Nathan Thomas | |||
| Authorized Signatory | |||
| D. E. Shaw Heliant Manager, L.L.C. | |||
| By: | /s/ Nathan Thomas | ||
| Nathan Thomas | |||
| Authorized Signatory | |||
| D. E. Shaw Heliant Adviser, L.L.C. | |||
| By: | /s/ Nathan Thomas | ||
| Nathan Thomas | |||
| Chief Compliance Officer | |||
| D. E. Shaw & Co., L.L.C. | |||
| By: | /s/ Nathan Thomas | ||
| Nathan Thomas | |||
| Authorized Signatory | |||
| D. E. Shaw & Co., L.P. | |||
| By: | /s/ Nathan Thomas | ||
| Nathan Thomas | |||
| Chief Compliance Officer | |||
| David E. Shaw | |||
| By: | /s/ Nathan Thomas | ||
| Nathan Thomas | |||
| Attorney-in-Fact for David E. Shaw | |||
