SEC Form 4 · accession 0001461790-18-000040
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
10% Owner
Shawn Kimel Investments, Inc.
10% Owner
K2 GENPAR 2009 INC
10% Owner
K2 GENPAR LP
10% Owner
Period of report
Sep 18, 2018
Accepted (ET)
Sep 19, 2018 · 5:14 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 Stock | Sep 18, 2018 | S | 5,623 | $8.3085 | D | 233,944 | D | |
| Class A Common Stock | Sep 19, 2018 | S | 18,936 | $8.3421 | D | 215,008 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants | $11.50 | holding | — | — | — | May 27, 2017 | Apr 27, 2022 | Class A Common Stock | 1,164,548 | 1,164,548 | D |
| 8% Series A Cumulative Preferred StockF1,F2 | — | holding | — | — | — | — | — | Class A Common Stock | 939,336 | 10,802 | D |
Explanation of responses
- F1Each shares of series A preferred stock is convertible into 86.9565 shares of class A common stock and there is no expiration
- F2The series A preferred stock is convertible into class A common stock any time