SEC Form 4 · accession 0001225208-17-009511
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
May 10, 2017
Accepted (ET)
May 11, 2017 · 4:47 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 | May 10, 2017 | S | 31,341 | $6.7321 | D | 33,662,321 | 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 | May 10, 2017 | S | 1,165 | D | Sep 13, 2016 | Sep 9, 2020 | Common Stock | 1,165 | 426,858 | I |
Explanation of responses
- F1See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein.
Remarks
ex99-1.txt, ex99-2.txt