SEC Form 4 · accession 0001144204-18-062703

Cimarex Resolute LLC · REN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Executive VP, CFO

Period of report

Nov 28, 2018

Accepted (ET)

Nov 30, 2018 · 5:58 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001469510

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F2,F3	Nov 28, 2018	M	26,033	$6.75	A	238,589	D
Common Stock^F2,F3	Nov 28, 2018	M	34,253	$2.915	A	272,842	D
Common Stock^F1,F2,F3	Nov 28, 2018	F	9,279	$34.79	D	263,563	D
Common Stock^F4	holding	—	—		—	1,000	I	See footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (Right to buy)^F5	$6.75	Nov 28, 2018	M	26,033	D	—	May 5, 2025	Common Stock	26,033	0	D
Employee Stock Option (Right to buy)^F6	$2.915	Nov 28, 2018	M	34,253	D	—	Feb 18, 2026	Common Stock	34,253	0	D

F1Represents shares surrendered to Issuer to cover the exercise price of the options and tax withholdings, as permitted pursuant to Issuer's 2009 Performance Incentive Plan, upon the exercise of 60,286 stock options.
F2Includes 70,313 shares of restricted stock subject to Time- and Performance- Vesting criteria, which vest in annual installments in accordance with such criteria through March 8, 2021.
F3Includes 111,113 shares held by the Reporting Person in a revocable trust; 8,782 shares held in a custodial account; 2,000 shares held in a joint account.
F4Consists of 1,000 shares held in an IRA FBO George Gazulis, Theodore Gazulis, beneficiary.
F5Includes 8,678, 8,678 and 8,677 options, which became exercisable on 5/5/2016, 5/5/2017 and 5/5/2018, respectively.
F6Includes 17,127 and 17,126 options, which became exercisable on 3/8/2017 and 3/8/2018, respectively.

Note: Option exercises completed for year-end tax planning purposes.