SEC Form 4 · accession 0001209191-16-104006
BATTALION OIL CORP · BATL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen W Herod
Officer — President
Period of report
Feb 26, 2016
Accepted (ET)
Mar 1, 2016 · 4:48 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 StockF2,F3 | Feb 26, 2016 | F | 4,184 | $0.4911 | D | 95,476 | D | |
| Common StockF2 | Feb 27, 2016 | F | 1,921 | $0.4911 | D | 93,555 | D | |
| Common StockF2 | Feb 28, 2016 | F | 3,065 | $0.4911 | D | 90,490 | D | |
| Common StockF2,F6 | holding | — | — | — | 93,334 | I | By Trusts |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares withheld to satisfy withholding taxes applicable upon vesting of the February 26, 2015 restricted stock grant.
- F2This amount represents the number of shares calculated after taking into account a 1-for-5 reverse stock split which was consummated on December 28, 2015.
- F3On 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 373 shares of Halcon stock on June 1, 2015.
- F4Represents shares withheld to satisfy withholding taxes applicable upon vesting of the February 27, 2014 restricted stock grant.
- F5Represents shares withheld to satisfy withholding taxes applicable upon vesting of the February 28, 2013 restricted stock grant.
- F6The 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. The reporting person is neither the trustee nor a remainderman and the trusts are irrevocable.