Filing Details

Accession Number:
0001181431-13-044197
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-08-12 18:16:05
Reporting Period:
2013-08-08
Filing Date:
2013-08-12
Accepted Time:
2013-08-12 18:16:05
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 2013-08-08 5,185,553 $5.10 5,214,553 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 43,885,366 Indirect See Footnote
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Series A Convertible Preferred Stock $0.00 6,497,724 40,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
6,497,724 40,000 Direct
Footnotes
  1. 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.
  2. On June 7, 2013, CPPIB transferred 7,800 shares of Issuer common stock to CPPIB PMI-2.
  3. 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.