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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
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% Automatically Convertible Preferred Stock | (1) | 01/18/2013 | C | 10,374.1278 | (1) | (1) | Common Stock | 103,741,278 | (1) | 0 | D (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Petro-Hunt Holdings, LLC 1601 ELM STREET, SUITE 3400 DALLAS, TX 75201 |
X | |||
William Herbert Hunt Trust Estate 1601 ELM STREET, SUITE 3400 DALLAS, TX 75201 |
X |
/s/ R. Fred Hosey, Secretary of Petro-Hunt Holdings, LLC | 01/23/2013 | |
**Signature of Reporting Person | Date | |
/s/ Gage A. Prichard, Sr., Trustee of William Herbert Hunt Trust Estate | 01/23/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | On December 6, 2012, pursuant to a Reorganization and Interest Purchase Agreement among Halcon Energy Properties, Inc., a wholly-owned subsidiary of Halcon Resources Corporation, and Petro-Hunt, L.L.C. and Pillar Energy, LLC dated as of October 19, 2012, Petro-Hunt Holdings, LLC acquired 10,374.1278 shares of 8% automatically convertible preferred stock (the "Preferred Stock") of Halcon Resources Corporation (the "Issuer"). On January 18, 2013, the 10,374.1278 shares of Preferred Stock converted into 103,741,278 shares of common stock, par value $0.0001 per share ("Common Stock") of the Issuer without the payment of additional consideration. |
(2) | Petro-Hunt Holdings, LLC directly owns the 103,741,278 shares of Common Stock. William Herbert Hunt Trust Estate ("WHHTE") does not directly own any Common Stock; however, as the sole member of Petro-Hunt Holdings, LLC, WHHTE may be deemed to indirectly beneficially own the Common Stock held of record by Petro-Hunt Holdings, LLC. |