SEC Form 4 · accession 0001461790-17-000050
Rosehill Resources Inc. · ROSE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
K2 PRINCIPAL FUND, L.P.
10% Owner
Shawn Kimel Investments, Inc.
10% Owner
K2 GENPAR 2009 INC
10% Owner
K2 GENPAR LP
10% Owner
Period of report
Sep 28, 2017
Accepted (ET)
Oct 2, 2017 · 5:18 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001659122
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| CLASS A COMMON STOCKF1 | Sep 29, 2017 | S | 10,000 | $8.2781 | D | 477,115 | D | |
| CLASS A COMMON STOCK | Oct 2, 2017 | S | 20,000 | $8.9038 | D | 457,115 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF1 | $11.50 | Sep 28, 2017 | S | 500 | D | Apr 27, 2017 | Sep 16, 2022 | CLASS A COMMON STOCK | 487,115 | 1,165,348 | D |
| Warrants | $11.50 | Sep 29, 2017 | S | 800 | D | Apr 27, 2017 | Sep 16, 2022 | CLASS A COMMON STOCK | 487,115 | 1,164,548 | D |
Explanation of responses
- F1The reported securities are owned directly by The K2 Principal Fund, L.P. (the "Fund"), and indirectly by: K2 GenPar L.P., the general partner of the Fund (the "GP"), K2 GenPar 2009 Inc., the general partner of the GP ("GenPar 2009"), Shawn Kimel Investments Inc., which owns 100% of the equity interests in GenPar 2009 ("SKI"), and Shawn Kimel, the sole owner of SKI. SKI owns 66.5% of the equity interests of K2 & Associates Investment Management Inc. ("K2 & Associates"). K2 & Associates is the investment manager of the Fund. Daniel Gosselin being president of each of SKI, the GP, GenPar2009 and K2 & Associates, controls the voting and dispositive power for all of its shares of our common stock