Gen IV Investment Opportunities, LLC 3
3 · HALCON RESOURCES CORP · Filed Oct 17, 2019
Insider Transaction Report
Form 3
Gen IV Investment Opportunities, LLC
10% Owner
Holdings
Series C Warrants
Exercise: $60.45From: 2019-10-08Exp: 2022-10-08→ Common Stock (133,782 underlying)Series A Warrants
Exercise: $40.17From: 2019-10-08Exp: 2022-10-08→ Common Stock (83,239 underlying)- 2,369,769
Common Stock, par value $0.0001 per share
Series B Warrants
Exercise: $48.28From: 2019-10-08Exp: 2022-10-08→ Common Stock (104,053 underlying)
Footnotes (3)
- [F1]This Form 3 is jointly filed by Gen IV Investment Opportunities, LLC ("Gen IV"), a Delaware limited liability company, LSP Generation IV, LLC ("LSP Gen IV"), a Delaware limited liability company, and LSP Investment Advisors, LLC ("LSP Advisors"), a Delaware limited liability company.
- [F2]LSP Gen IV, as the managing member of Gen IV, has the power to direct the affairs of Gen IV, including voting and disposing of the shares. LSP Advisors, as the investment manager of Gen IV, also has the power to direct the voting and disposition of the shares held by Gen IV.
- [F3]For Section 16 purposes, LSP Gen IV and LSP Advisors disclaim beneficial ownership over the shares reported herein, except to the extent of their pecuniary interest therein.