SEC Form 4 · accession 0001209191-16-151519
BATTALION OIL CORP · BATL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Leah R. Kasparek
Officer — SVP, Human Resources
Period of report
Nov 17, 2016
Accepted (ET)
Nov 21, 2016 · 8:55 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 | Nov 17, 2016 | J | 655 | $0.00 | A | 40,236 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (Right to Buy) | $14.04 | Nov 18, 2016 | J | 172 | A | Sep 9, 2016 | Sep 9, 2020 | Common Stock | 172 | 172 | D |
| Employee Stock Option (Right to Buy)F2 | $9.24 | holding | — | — | — | — | Sep 12, 2026 | Common Stock | 75,000 | 75,000 | D |
Explanation of responses
- F1Pro rata distribution from Mwewe Partners LLC.
- F2The option vests in three equal annual installments beginning September 12, 2017.