Filing Details
- Accession Number:
- 0001104659-19-020895
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-04-11 17:06:51
- Reporting Period:
- 2018-09-12
- Accepted Time:
- 2019-04-11 17:06:51
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1282648 | Halcon Resources Corp | HK | Investment Advice (6282) | DE |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1176948 | Ares Management Corp | 2000 Avenue Of The Stars 12Th Floor Los Angeles CA 90067 | Yes | No | Yes | No | |
1259313 | Ares Management Llc | 2000 Avenue Of The Stars 12Th Floor Los Angeles CA 90067 | Yes | No | Yes | No | |
1536937 | L.p. Holdings Management Ares | 2000 Avenue Of The Stars 12Th Floor Los Angeles CA 90067 | Yes | No | Yes | No | |
1620263 | Ares Partners Holdco Llc | 2000 Avenue Of The Stars 12Th Floor Los Angeles CA 90067 | Yes | No | Yes | No | |
1620264 | Ares Management Gp Llc | 2000 Avenue Of The Stars 12Th Floor Los Angeles CA 90067 | Yes | No | Yes | No | |
1620317 | Ares Holdings Inc. | 2000 Avenue Of The Stars 12Th Floor Los Angeles CA 90067 | Yes | No | Yes | No | |
1669983 | Ares Holdco Llc | 2000 Avenue Of The Stars 12Th Floor Los Angeles CA 90067 | Yes | No | Yes | No | |
1761656 | Ares Voting Llc | 2000 Avenue Of The Stars 12Th Floor Los Angeles CA 90067 | Yes | 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, $0.0001 Par Value | Disposition | 2018-09-12 | 4 | $4.86 | 20,869,008 | No | 4 | S | Indirect | See footnotes |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | See footnotes |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock, $0.0001 Par Value | 86,857 | Direct |
Footnotes
- The amount reported reflects an aggregate of 4 shares of the Issuer's Common Stock, $0.0001 par value ("Common Stock") sold by Ares Enhanced Credit Opportunities Master Fund II, Ltd. These 4 shares were unintentionally omitted from a Form 4, filed with the Securities and Exchange Commission (the "SEC") by the reporting persons on February 13, 2018, and they have been reported on an amended Form 4, filed with the SEC by the reporting persons on April 11, 2019.
- The amount reported reflects an aggregate of 20,869,008 shares of Common Stock held on September 12, 2018 by the following entities in the following amounts: 5,648,690 shares by AF IV Energy II AIV B1, L.P., 896,567 shares by AF IV Energy II AIV A1, L.P., 1,344,714 shares by AF IV Energy II AIV A2, L.P., 567,737 shares by AF IV Energy II AIV A3, L.P., 580,546 shares by AF IV Energy II AIV A4, L.P., 744,057 shares by AF IV Energy II AIV A5, L.P., 582,698 shares by AF IV Energy II AIV A6, L.P., 298,870 shares by AF IV Energy II AIV A7, L.P., 579,768 shares by AF IV Energy II AIV A8, L.P., 600,983 shares by AF IV Energy II AIV A9, L.P., 896,567 shares by AF IV Energy II AIV A10, L.P., 336,156 shares by AF IV Energy II AIV A11, L.P., 597,583 shares by AF IV Energy II AIV A12, L.P., 257,070 shares by SSF III Halcon AIV B1, L.P., 1,101,652 shares by SSF III Halcon AIV 1, L.P., 165,271 shares by SSF III Halcon AIV 2, L.P., (continued in footnote 3)
- 315,830 shares by SSF III Halcon AIV 3, L.P., 1,897,859 shares by SSF IV Halcon AIV B1, L.P., 88,306 shares by SSF IV Halcon AIV 1, L.P., 650,824 shares by SSF IV Halcon AIV 2, L.P., 706,823 shares by SSF IV Halcon AIV 3, L.P., 176,753 shares by SSF IV Halcon AIV 4, L.P., 389,862 shares by SSF IV Halcon AIV 5, L.P., 655,756 shares by SSF IV Halcon AIV 6, L.P., and 788,066 shares by SSF IV Halcon AIV 7, L.P.
- The Issuer's Common Stock held by the entities listed in footnotes 2-3 (collectively, the "Purchasers") is managed by Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"). The sole stockholder of Ares Holdings is Ares Management Corporation ("Ares Management"). Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Class C Common Stock"). (continued in footnote 5)
- Pursuant to Ares Management's Certificate of Incorporation in effect as of the date of this Form 4, the holders of the Class B Common Stock and the Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. (continued in footnote 6)
- The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners," and together with the Purchasers, Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, Ares Management GP and Ares Voting, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Michael R. McFerran, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). (continued in footnote 7)
- Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Ares Entities (other than the Purchasers and Ares Management LLC with respect to the securities held directly by them) and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is c/o Ares Management LLC, 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067.