SEC Form 5 · accession 0001209191-15-014730
BATTALION OIL CORP · BATL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Floyd C Wilson
Officer — Chairman and CEO
Period of report
Dec 31, 2014
Accepted (ET)
Feb 17, 2015 · 6:19 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001282648
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 21, 2014 | G | 7,806 | $0.00 | D | 3,690,309 | D | |
| Common StockF2 | Apr 21, 2014 | G | 7,806 | $0.00 | A | 58,305 | I | By Trusts |
| Common StockF3,F4 | Nov 2, 2014 | G | 166,500 | $0.00 | D | 3,529,223 | D | |
| Common StockF2 | Nov 2, 2014 | G | 13,500 | $0.00 | A | 71,805 | I | By Trusts |
| Common StockF5,F6 | Nov 2, 2014 | G | 153,000 | $0.00 | A | 153,000 | I | By Family Trusts |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On January 31, 2014 Halcon Resources Corporation ("Halcon") declared a stock dividend, payable to all Series A Cumulative Perpetual Convertible Preferred Stock holders of record on February 14, 2014. As a result, the reporting person received 4,040 shares of Halcon stock on March 3, 2014.
- F2These shares are held in trusts for the benefit of the reporting person's children. The reporting person's spouse is trustee of the trusts. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- F3On May 2, 2014, Halcon declared a stock dividend, payable to all Series A Cumulative Perpetual Convertible Preferred Stock holders of record on May 15, 2014. As a result, the reporting person received 2,625 shares of Halcon stock on June 2, 2014.
- F4On August 1, 2014 Halcon declared a stock dividend, payable to all Series A Cumulative Perpetual Convertible Preferred Stock holders of record on August 15, 2014. As a result, the reporting person received 2,789 shares of Halcon stock on September 2, 2014.
- F5This Form 5 no longer includes 16,833 shares that were reported on the reporting person's last Form 4 filing by the reporting person as trustee of the reporting person's daughter's trust.
- F6The shares are held in seventeen trusts for the benefit of family members for which the reporting person serves as the trustee. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for Section 16 or any other purpose.