SEC Form 4 · accession 0001209191-15-086254

BATTALION OIL CORP · BATL

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

Reporting owner

Officer — EVP, Corp Strategy and CLO

Period of report

Dec 18, 2015

Accepted (ET)

Dec 21, 2015 · 8:04 am 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^F1	Dec 7, 2015	G	45,000	$0.00	D	361,306	D
Common Stock^F2	Dec 18, 2015	P	100,000	$0.2567	A	461,306	D
Common Stock^F3	holding	—	—		—	15,000	I	By IRA
Common Stock	holding	—	—		—	30,000	I	By IRA

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series A Convertible Preferred Stock^F4	$6.16	Dec 7, 2015	G	100	D	Jun 13, 2013	—	Common Stock	100	0	D

F1On May 4, 2015, Halcon declared a stock dividend, payable to all Series A Cumulative Perpetual Convertible Preferred Stock holders of record on May 15, 2015. As a result, the reporting person received 1,243 shares of Halcon stock on June 1, 2015.
F2The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices $0.2511 to $0.26, inclusive. The reporting person undertakes to provide to Halcon Resources Corporation, any security holder of Halcon Resources Corporation, or staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4
F3This Form 4 no longer includes 21,500 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.
F4The Series A Convertible Preferred Stock has no expiration date.