SEC Form 4 · accession 0001225208-17-007948
BATTALION OIL CORP · BATL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
FRANKLIN RESOURCES INC
10% Owner
Period of report
Mar 9, 2017
Accepted (ET)
Apr 11, 2017 · 1:50 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 StockF1 | Mar 9, 2017 | J | 10,940 | $0.00 | D | 33,811,393 | I | See Footnote |
| Common StockF2 | Apr 7, 2017 | S | 117,731 | $7.8403 | D | 33,693,662 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF1 | $14.04 | Mar 9, 2017 | J | 583 | D | Sep 13, 2016 | Sep 9, 2020 | Common Stock | 583 | 438,508 | I |
| WarrantsF2 | $14.04 | Apr 7, 2017 | S | 10,485 | D | Sep 13, 2016 | Sep 9, 2020 | Common Stock | 10,485 | 428,023 | I |
Explanation of responses
- F1See Exhibit 99-1 for text of footnote, which Exhibit is incorporated by reference herein.
- F2See Exhibits 99-2 and 99-3 for text of footnote, which Exhibits are incorporated by reference herein.
Remarks
ex99-1.txt, ex99-2.txt, ex99-3.txt