SEC Form 4 · accession 0001209191-15-020367

BATTALION OIL CORP · BATL

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Officer — EVP, Chief Operating Officer

Period of report

Feb 26, 2015

Accepted (ET)

Mar 2, 2015 · 5:31 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 Stock	Feb 26, 2015	A	164,319	$0.00	A	844,543	D
Common Stock	Mar 2, 2015	J	741	$0.00	A	845,284	D
Common Stock^F2	holding	—	—		—	20,000	I	By LP
Common Stock^F3	holding	—	—		—	23,334	I	By Cusack Ranch Corporation

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Options (Right to buy)^F4	$1.97	Feb 26, 2015	A	385,463	A	—	Feb 26, 2025	Common Stock	385,463	385,463	D

F1On January 30, 2015, Halcon Resources Corporation ("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 741 shares of Halcon stock on March 2, 2015.
F2Shares owned by a limited partnership of which the reporting person and his spouse are general partners. The reporting person disclaims beneficial ownership of any securities in which he does not have a pecuniary interest.
F3The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
F4The option vests in three equal annual installments beginning February 26, 2016.