SEC Form 4/A · accession 0001209191-16-142549
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).
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Floyd C Wilson
Officer — Chairman, CEO & President
Period of report
Sep 12, 2016
Accepted (ET)
Sep 22, 2016 · 7:06 pm EDT
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 | holding | — | — | — | 953,802 | D | ||
| Common StockF1 | holding | — | — | — | 688 | I | By Trusts | |
| Common StockF2 | holding | — | — | — | 2,403 | I | By Family Trusts | |
| Common StockF3 | holding | — | — | — | 324 | I | By Trust | |
| Common Stock | holding | — | — | — | 4,292 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F4,F5 | $9.24 | Sep 12, 2016 | A | 1,837,500 | A | — | Sep 12, 2026 | Common Stock | 1,837,500 | 1,837,500 | D |
| Warrants (Right to Buy) | $14.04 | holding | — | — | — | Sep 9, 2016 | Sep 9, 2020 | Common Stock | 1,165 | 1,165 | D |
| Warrants (Right to Buy) | $14.04 | holding | — | — | — | Sep 9, 2016 | Sep 9, 2020 | Common Stock | 1,165 | 1,165 | I |
Explanation of responses
- F1These 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.
- F2The 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 purposes of Section 16 or for any other purpose.
- F3The shares are held in a trust for the benefit of the reporting person's grandchild 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 purposes of Section 16 or for any other purpose.
- F4In accordance with the Plan approved by the Bankruptcy Court, the exercise price of the Options on was determined after the market closed on September 20, 2016. All other details of the Option grant were reported to the Securities and Exchange Commission on September 13, 2016.
- F5The option vests in three equal annual installments beginning September 12, 2017.