Filing Details
- Accession Number:
- 0001181431-13-035406
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-06-17 21:51:36
- Reporting Period:
- 2013-06-13
- Filing Date:
- 2013-06-17
- Accepted Time:
- 2013-06-17 21:51:36
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1282648 | Halcon Resources Corp | HK | Crude Petroleum & Natural Gas (1311) | 200700684 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1283718 | Board Investment Plan Pension Canada | One Queen Street East, Suite 2500 Toronto A6 M5C 2W5 | No | No | Yes | No | |
1563369 | Cpp Investment Board Pmi-2 Inc. | One Queen Street East, Suite 2500 Toronto A6 M5C 2W5 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2013-06-14 | 1,978,125 | $5.45 | 43,877,566 | No | 4 | P | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series A Convertible Preferred Stock | Acquisiton | 2013-06-13 | 40,000 | $1,000.00 | 6,497,724 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
40,000 | No | 4 | P | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 36,800 | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.29 to $5.50. The reporting person undertakes to provide to Halcon Resources Corporation, any security holder of Halcon Resources Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- On December 17, 2012, Canada Pension Plan Investment Board ("CPPIB") filed a joint Form 3 regarding these shares with CPP Investment Board PMI-2 Inc. ("CPPIB PMI-2"). CPPIB PMI-2 directly owns these shares of common stock of the Issuer. CPPIB PMI-2 is a wholly owned subsidiary of CPPIB, thus CPPIB is an indirect beneficial owner of the securities.
- The 5.75% Series A Cumulative Perpetual Convertible Preferred Stock ("Convertible Preferred Stock") is convertible into common stock at any time at an initial rate of 162.4431 shares of common stock per share of Convertible Preferred Stock (which is equivalent to an initial conversion price of approximately $6.16 per share of Issuer common stock), subject to customary anti-dilution adjustments. The Convertible Preferred Stock has no expiration date.