SEC Form 4 · accession 0001209191-15-020344
BATTALION OIL CORP · BATL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Mize
Officer — EVP, CFO and Treasurer
Period of report
Feb 26, 2015
Accepted (ET)
Mar 2, 2015 · 5:16 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,F2,F3 | Feb 26, 2015 | A | 190,610 | $0.00 | A | 867,479 | D | |
| Common Stock | Mar 2, 2015 | J | 1,483 | $0.00 | A | 868,962 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (Right to buy)F5 | $1.97 | Feb 26, 2015 | A | 447,137 | A | — | Feb 26, 2025 | Common Stock | 447,137 | 447,137 | D |
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 808 shares of Halcon stock on March 3, 2014.
- F2On 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 525 shares of Halcon stock on June 2, 2014.
- F3On August 6, 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 557 shares of Halcon stock on September 2, 2014.
- F4On January 30, 2015, Halcon declared a stock dividend, payable to all Series A Cumulative Perpetual Convertible Preferred Stock holders of record on February 13, 2015. As a result, the reporting person received 1,483 shares of Halcon stock on March 2, 2015.
- F5The option vests in three equal annual installments beginning February 26, 2016.