Form 4 HALCON RESOURCES CORP For: May 06 Filed by: ZORICH ROBERT L
May 8, 2015 4:37 PM EDT
FORM
4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities
Exchange Act of 1934 or Section 30(h) of the Investment Company Act of
1940
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OMB APPROVAL |
OMB Number: |
3235-0287 |
Expires: |
December 31, 2014 |
Estimated average burden |
hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue.
See
Instruction 1(b).
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1. Name and Address of Reporting Person
*
1000 LOUISIANA, SUITE 6700 |
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(Street)
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2. Issuer Name
and
Ticker or Trading Symbol
HALCON RESOURCES CORP
[
HK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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3. Date of Earliest Transaction
(Month/Day/Year) 05/06/2015
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check
Applicable Line)
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Form filed by One Reporting Person |
X |
Form filed by More than One Reporting
Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned |
1.
Title of Security (Instr.
3)
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2.
Transaction Date
(Month/Day/Year) |
2A.
Deemed Execution Date, if any
(Month/Day/Year) |
3.
Transaction Code (Instr.
8)
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4.
Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported
Transaction(s) (Instr.
3 and 4)
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6.
Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7.
Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock, par value $0.0001 per share
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2
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D
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
8% Convertible Promissory Note
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$
4.5
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02/08/2012 |
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H |
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$
289,668,969.93
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02/08/2014 |
02/08/2017 |
Common Stock
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64,370,882.21
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0
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D
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8% Convertible Promissory Note
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$
2.44
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05/06/2015 |
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P |
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$
289,668,969.93
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02/08/2017 |
02/08/2020 |
Common Stock
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118,716,790.95
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$
289,668,969.93
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D
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Warrants (right to buy)
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$
4.5
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02/08/2012 |
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H |
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36,666,667
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02/08/2012 |
02/08/2017 |
Common Stock
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36,666,667
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0
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D
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Warrants (right to buy)
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$
2.44
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05/06/2015 |
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P |
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36,666,667
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02/08/2020 |
Common Stock
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36,666,667
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36,666,667
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D
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Explanation of Responses: |
Remarks: |
Exhibit List Exhibit 99 - Joint Filer Information |
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/s/ Floyd C. Wilson , President and CEO of HALRES LLC |
05/08/2015 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
Exhibit 99
Form 4 Joint Filer Information
Name: Gary R. Petersen
Address: 1100 LOUISIANA STREET, SUITE 4900
HOUSTON, TX 77002
Designated Filer: HALRES LLC
Issuer & Ticket Symbol: HALCON RESOURCES CORP [HK]
Date of Event Requiring Statement: 05/06/2015
Signature: /s/ Gary R. Petersen
------------------------------
Date: 05/08/2015
Name: D. Martin Phillips
Address: 1100 LOUISIANA STREET, SUITE 4900
HOUSTON, TX 77002
Designated Filer: HALRES LLC
Issuer & Ticket Symbol: HALCON RESOURCES CORP [HK]
Date of Event Requiring Statement: 05/06/2015
Signature: /s/ D. Martin Phillips
------------------------------
Date: 05/08/2015
Name: Robert L. Zorich
Address: 1100 LOUISIANA STREET, SUITE 4900
HOUSTON, TX 77002
Designated Filer: HALRES LLC
Issuer & Ticket Symbol: HALCON RESOURCES CORP [HK]
Date of Event Requiring Statement: 05/06/2015
Signature: /s/ Robert L. Zorich
------------------------------
Date: 05/08/2015
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