BATL

SEC source: 0001209191-20-011520 · doc4.xml · derivative · entry 2

Evans Grant R · CIK 0001791446 · VP, Exploration & Geosciences

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,709

Underlying: Common Stock · 17,709 shares

Expires 2027-02-20

F1 · kind: On August 7, 2019, the Issuer and its subsidiaries (collectively, the "Debtors") filed voluntary petitions for relief under chapter 11 of title 11 of the United States Code in the United States Bankruptcy Court for the Southern District of Texas (the "Chapter 11 Cases," and such court, the "Bankruptcy Court"). On September 24, 2019, the Bankruptcy Court entered an order (the "Confirmation Order") confirming the Debtors' Joint Prepackaged Plan of Reorganization, as modified by the Confirmation Order (the "Plan"). On October 8, 2019 (the "Effective Date"), the Plan became effective in accordance with its terms and the Debtors emerged from the Chapter 11 Cases. On the Effective Date, all outstanding shares of the Issuer's common stock (the "Old Common Stock") were cancelled and extinguished.

F2 · kind: All awards are issued in accordance with the Plan approved by the Bankruptcy Court and pursuant to the Battalion Oil Corporation 2020 Long-Term Incentive Plan ("the LTIP") approved and adopted by the Board of Directors.

F4 · derivative.exercise_date: The Reporting Person received an award of stock options ("Options") granted on the first full day of trading of the New Shares following the Effective Date. The exercise price per share of the Options will be equal to an Issuer equity value of $500.0 million divided by the number of shares outstanding. The Options vest in four equal annual installments beginning February 20, 2021.

SEC source: 0001209191-20-011520 · doc4.xml · derivative · entry 1

Evans Grant R · CIK 0001791446 · VP, Exploration & Geosciences

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,709

Underlying: Common Stock · 17,709 shares

Expires 2027-02-20

F1 · kind: On August 7, 2019, the Issuer and its subsidiaries (collectively, the "Debtors") filed voluntary petitions for relief under chapter 11 of title 11 of the United States Code in the United States Bankruptcy Court for the Southern District of Texas (the "Chapter 11 Cases," and such court, the "Bankruptcy Court"). On September 24, 2019, the Bankruptcy Court entered an order (the "Confirmation Order") confirming the Debtors' Joint Prepackaged Plan of Reorganization, as modified by the Confirmation Order (the "Plan"). On October 8, 2019 (the "Effective Date"), the Plan became effective in accordance with its terms and the Debtors emerged from the Chapter 11 Cases. On the Effective Date, all outstanding shares of the Issuer's common stock (the "Old Common Stock") were cancelled and extinguished.

F2 · kind: All awards are issued in accordance with the Plan approved by the Bankruptcy Court and pursuant to the Battalion Oil Corporation 2020 Long-Term Incentive Plan ("the LTIP") approved and adopted by the Board of Directors.

F3 · derivative.exercise_date: The Reporting Person received an award of stock options ("Options") granted on the first full day of trading of the New Shares following the Effective Date. The exercise price per share of the Options will be equal to an Issuer equity value of $335.0 million divided by the number of shares outstanding. The Options vest in four equal annual installments beginning February 20, 2021.

SEC source: 0001209191-19-060805 · doc4.xml · nonDerivative · entry 1

Elkouri David S · CIK 0001408621 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 869

SEC source: 0001209191-19-052986 · doc4.xml · derivative · entry 5

Kasparek Leah R. · CIK 0001550854 · SVP, HR & Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,020

Underlying: Common Stock · Not disclosed shares

Expires 2022-10-08

F3 · derivative.exercise_price: The initial exercise price of each series of Warrants will increase on a monthly basis by the Monthly Compounding Factor (as defined in the Warrant Agreement), whereby the exercise price of each series of Warrants shall be increased each month at an annualized rate of 6.75%, compounding monthly. The Monthly Compounding Factor may be adjusted for dividends or distributions (other than for dividends or distributions in the form of New Common Stock). An initial schedule of the monthly exercise price adjustments may be found on Schedule 1 of the Warrant Agreement. The exercise price of each series of Warrants may be adjusted further, as described in the following footnotes.

F4 · derivative.exercise_price: If the Company shall (i) declare a dividend or make a distribution to holders of New Common Stock in New Common Stock, (ii) split, subdivide, recapitalize, restructure or reclassify the outstanding New Common Stock into a greater number of New Common Stock or effect a similar transaction or (iii) combine, recapitalize, restructure or reclassify the outstanding New Common Stock into a smaller number of New Common Stock or effect a similar transaction, the number of New Common Stock issuable upon exercise of a Warrant at the record date for such dividend or distribution or effective date of such split, subdivision, combination, recapitalization, restructuring, reclassification or similar transaction shall be proportionately adjusted so that the Warrant Holder, after such date, shall be entitled to purchase the number of New Common Stock which such Warrant Holder would have owned or been entitled to receive on such date had such Warrant been exercised immediately prior to such date.

F5 · derivative.exercise_price: In such event, the exercise price per share of New Common Stock in effect at the record date for such dividend or distribution or effective date of such split, subdivision, combination, recapitalization, restructuring, reclassification or similar transaction shall be adjusted, as provided in the Warrant Agreement.

F8 · kind: Series C Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series C Warrant for approximately every 56 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series C Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

F8 · price: Series C Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series C Warrant for approximately every 56 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series C Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

F8 · derivative.underlying_shares: Series C Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series C Warrant for approximately every 56 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series C Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

SEC source: 0001209191-19-052986 · doc4.xml · derivative · entry 4

Kasparek Leah R. · CIK 0001550854 · SVP, HR & Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,126

Underlying: Common Stock · Not disclosed shares

Expires 2022-10-08

F3 · derivative.exercise_price: The initial exercise price of each series of Warrants will increase on a monthly basis by the Monthly Compounding Factor (as defined in the Warrant Agreement), whereby the exercise price of each series of Warrants shall be increased each month at an annualized rate of 6.75%, compounding monthly. The Monthly Compounding Factor may be adjusted for dividends or distributions (other than for dividends or distributions in the form of New Common Stock). An initial schedule of the monthly exercise price adjustments may be found on Schedule 1 of the Warrant Agreement. The exercise price of each series of Warrants may be adjusted further, as described in the following footnotes.

F4 · derivative.exercise_price: If the Company shall (i) declare a dividend or make a distribution to holders of New Common Stock in New Common Stock, (ii) split, subdivide, recapitalize, restructure or reclassify the outstanding New Common Stock into a greater number of New Common Stock or effect a similar transaction or (iii) combine, recapitalize, restructure or reclassify the outstanding New Common Stock into a smaller number of New Common Stock or effect a similar transaction, the number of New Common Stock issuable upon exercise of a Warrant at the record date for such dividend or distribution or effective date of such split, subdivision, combination, recapitalization, restructuring, reclassification or similar transaction shall be proportionately adjusted so that the Warrant Holder, after such date, shall be entitled to purchase the number of New Common Stock which such Warrant Holder would have owned or been entitled to receive on such date had such Warrant been exercised immediately prior to such date.

F5 · derivative.exercise_price: In such event, the exercise price per share of New Common Stock in effect at the record date for such dividend or distribution or effective date of such split, subdivision, combination, recapitalization, restructuring, reclassification or similar transaction shall be adjusted, as provided in the Warrant Agreement.

F7 · kind: Series B Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series B Warrant for approximately every 72 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series B Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

F7 · price: Series B Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series B Warrant for approximately every 72 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series B Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

F7 · derivative.underlying_shares: Series B Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series B Warrant for approximately every 72 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series B Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

SEC source: 0001209191-19-052986 · doc4.xml · derivative · entry 3

Kasparek Leah R. · CIK 0001550854 · SVP, HR & Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · Not disclosed shares

Expires 2022-10-08

F3 · derivative.exercise_price: The initial exercise price of each series of Warrants will increase on a monthly basis by the Monthly Compounding Factor (as defined in the Warrant Agreement), whereby the exercise price of each series of Warrants shall be increased each month at an annualized rate of 6.75%, compounding monthly. The Monthly Compounding Factor may be adjusted for dividends or distributions (other than for dividends or distributions in the form of New Common Stock). An initial schedule of the monthly exercise price adjustments may be found on Schedule 1 of the Warrant Agreement. The exercise price of each series of Warrants may be adjusted further, as described in the following footnotes.

F4 · derivative.exercise_price: If the Company shall (i) declare a dividend or make a distribution to holders of New Common Stock in New Common Stock, (ii) split, subdivide, recapitalize, restructure or reclassify the outstanding New Common Stock into a greater number of New Common Stock or effect a similar transaction or (iii) combine, recapitalize, restructure or reclassify the outstanding New Common Stock into a smaller number of New Common Stock or effect a similar transaction, the number of New Common Stock issuable upon exercise of a Warrant at the record date for such dividend or distribution or effective date of such split, subdivision, combination, recapitalization, restructuring, reclassification or similar transaction shall be proportionately adjusted so that the Warrant Holder, after such date, shall be entitled to purchase the number of New Common Stock which such Warrant Holder would have owned or been entitled to receive on such date had such Warrant been exercised immediately prior to such date.

F5 · derivative.exercise_price: In such event, the exercise price per share of New Common Stock in effect at the record date for such dividend or distribution or effective date of such split, subdivision, combination, recapitalization, restructuring, reclassification or similar transaction shall be adjusted, as provided in the Warrant Agreement.

F6 · kind: Series A Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series A Warrant for approximately every 90 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series A Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

F6 · price: Series A Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series A Warrant for approximately every 90 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series A Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

F6 · derivative.underlying_shares: Series A Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series A Warrant for approximately every 90 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series A Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

SEC source: 0001209191-19-052986 · doc4.xml · nonDerivative · entry 2

Kasparek Leah R. · CIK 0001550854 · SVP, HR & Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 520

F2 · kind: New shares of the Issuer's common stock, par value $0.0001 per share (the "New Shares") were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 New Share for approximately every 431 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of New Shares was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court.

SEC source: 0001209191-19-052986 · doc4.xml · nonDerivative · entry 1

Kasparek Leah R. · CIK 0001550854 · SVP, HR & Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On August 7, 2019, the Issuer and its subsidiaries (collectively, the "Debtors") filed voluntary petitions for relief under chapter 11 of title 11 of the United States Code in the United States Bankruptcy Court for the Southern District of Texas (the "Chapter 11 Cases," and such court, the "Bankruptcy Court"). On September 24, 2019, the Bankruptcy Court entered an order (the "Confirmation Order") confirming the Debtors' Joint Prepackaged Plan of Reorganization, as modified by the Confirmation Order (the "Plan"). On October 8, 2019 (the "Effective Date"), the Plan became effective in accordance with its terms and the Debtors emerged from the Chapter 11 Cases. On the Effective Date, all outstanding shares of the Issuer's common stock (the "Old Common Stock") were cancelled and extinguished.

SEC source: 0001209191-19-052987 · doc4.xml · derivative · entry 9

Elkouri David S · CIK 0001408621 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 4

Underlying: Common Stock · Not disclosed shares

Expires 2022-10-08

F3 · derivative.exercise_price: The initial exercise price of each series of Warrants will increase on a monthly basis by the Monthly Compounding Factor (as defined in the Warrant Agreement), whereby the exercise price of each series of Warrants shall be increased each month at an annualized rate of 6.75%, compounding monthly. The Monthly Compounding Factor may be adjusted for dividends or distributions (other than for dividends or distributions in the form of New Common Stock). An initial schedule of the monthly exercise price adjustments may be found on Schedule 1 of the Warrant Agreement. The exercise price of each series of Warrants may be adjusted further, as described in the following footnotes.

F4 · derivative.exercise_price: If the Company shall (i) declare a dividend or make a distribution to holders of New Common Stock in New Common Stock, (ii) split, subdivide, recapitalize, restructure or reclassify the outstanding New Common Stock into a greater number of New Common Stock or effect a similar transaction or (iii) combine, recapitalize, restructure or reclassify the outstanding New Common Stock into a smaller number of New Common Stock or effect a similar transaction, the number of New Common Stock issuable upon exercise of a Warrant at the record date for such dividend or distribution or effective date of such split, subdivision, combination, recapitalization, restructuring, reclassification or similar transaction shall be proportionately adjusted so that the Warrant Holder, after such date, shall be entitled to purchase the number of New Common Stock which such Warrant Holder would have owned or been entitled to receive on such date had such Warrant been exercised immediately prior to such date.

F5 · derivative.exercise_price: In such event, the exercise price per share of New Common Stock in effect at the record date for such dividend or distribution or effective date of such split, subdivision, combination, recapitalization, restructuring, reclassification or similar transaction shall be adjusted, as provided in the Warrant Agreement.

F8 · kind: Series C Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series C Warrant for approximately every 56 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series C Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

F8 · price: Series C Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series C Warrant for approximately every 56 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series C Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

F8 · derivative.underlying_shares: Series C Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series C Warrant for approximately every 56 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series C Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

SEC source: 0001209191-19-052987 · doc4.xml · derivative · entry 8

Elkouri David S · CIK 0001408621 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,057

Underlying: Common Stock · Not disclosed shares

Expires 2022-10-08

F3 · derivative.exercise_price: The initial exercise price of each series of Warrants will increase on a monthly basis by the Monthly Compounding Factor (as defined in the Warrant Agreement), whereby the exercise price of each series of Warrants shall be increased each month at an annualized rate of 6.75%, compounding monthly. The Monthly Compounding Factor may be adjusted for dividends or distributions (other than for dividends or distributions in the form of New Common Stock). An initial schedule of the monthly exercise price adjustments may be found on Schedule 1 of the Warrant Agreement. The exercise price of each series of Warrants may be adjusted further, as described in the following footnotes.

F4 · derivative.exercise_price: If the Company shall (i) declare a dividend or make a distribution to holders of New Common Stock in New Common Stock, (ii) split, subdivide, recapitalize, restructure or reclassify the outstanding New Common Stock into a greater number of New Common Stock or effect a similar transaction or (iii) combine, recapitalize, restructure or reclassify the outstanding New Common Stock into a smaller number of New Common Stock or effect a similar transaction, the number of New Common Stock issuable upon exercise of a Warrant at the record date for such dividend or distribution or effective date of such split, subdivision, combination, recapitalization, restructuring, reclassification or similar transaction shall be proportionately adjusted so that the Warrant Holder, after such date, shall be entitled to purchase the number of New Common Stock which such Warrant Holder would have owned or been entitled to receive on such date had such Warrant been exercised immediately prior to such date.

F5 · derivative.exercise_price: In such event, the exercise price per share of New Common Stock in effect at the record date for such dividend or distribution or effective date of such split, subdivision, combination, recapitalization, restructuring, reclassification or similar transaction shall be adjusted, as provided in the Warrant Agreement.

F8 · kind: Series C Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series C Warrant for approximately every 56 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series C Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

F8 · price: Series C Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series C Warrant for approximately every 56 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series C Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

F8 · derivative.underlying_shares: Series C Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series C Warrant for approximately every 56 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series C Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

SEC source: 0001209191-19-052987 · doc4.xml · derivative · entry 7

Elkouri David S · CIK 0001408621 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 3

Underlying: Common Stock · Not disclosed shares

Expires 2022-10-08

F3 · derivative.exercise_price: The initial exercise price of each series of Warrants will increase on a monthly basis by the Monthly Compounding Factor (as defined in the Warrant Agreement), whereby the exercise price of each series of Warrants shall be increased each month at an annualized rate of 6.75%, compounding monthly. The Monthly Compounding Factor may be adjusted for dividends or distributions (other than for dividends or distributions in the form of New Common Stock). An initial schedule of the monthly exercise price adjustments may be found on Schedule 1 of the Warrant Agreement. The exercise price of each series of Warrants may be adjusted further, as described in the following footnotes.

F4 · derivative.exercise_price: If the Company shall (i) declare a dividend or make a distribution to holders of New Common Stock in New Common Stock, (ii) split, subdivide, recapitalize, restructure or reclassify the outstanding New Common Stock into a greater number of New Common Stock or effect a similar transaction or (iii) combine, recapitalize, restructure or reclassify the outstanding New Common Stock into a smaller number of New Common Stock or effect a similar transaction, the number of New Common Stock issuable upon exercise of a Warrant at the record date for such dividend or distribution or effective date of such split, subdivision, combination, recapitalization, restructuring, reclassification or similar transaction shall be proportionately adjusted so that the Warrant Holder, after such date, shall be entitled to purchase the number of New Common Stock which such Warrant Holder would have owned or been entitled to receive on such date had such Warrant been exercised immediately prior to such date.

F5 · derivative.exercise_price: In such event, the exercise price per share of New Common Stock in effect at the record date for such dividend or distribution or effective date of such split, subdivision, combination, recapitalization, restructuring, reclassification or similar transaction shall be adjusted, as provided in the Warrant Agreement.

F7 · kind: Series B Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series B Warrant for approximately every 72 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series B Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

F7 · price: Series B Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series B Warrant for approximately every 72 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series B Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

F7 · derivative.underlying_shares: Series B Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series B Warrant for approximately every 72 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series B Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

SEC source: 0001209191-19-052987 · doc4.xml · derivative · entry 6

Elkouri David S · CIK 0001408621 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,822

Underlying: Common Stock · Not disclosed shares

Expires 2022-10-08

F3 · derivative.exercise_price: The initial exercise price of each series of Warrants will increase on a monthly basis by the Monthly Compounding Factor (as defined in the Warrant Agreement), whereby the exercise price of each series of Warrants shall be increased each month at an annualized rate of 6.75%, compounding monthly. The Monthly Compounding Factor may be adjusted for dividends or distributions (other than for dividends or distributions in the form of New Common Stock). An initial schedule of the monthly exercise price adjustments may be found on Schedule 1 of the Warrant Agreement. The exercise price of each series of Warrants may be adjusted further, as described in the following footnotes.

F4 · derivative.exercise_price: If the Company shall (i) declare a dividend or make a distribution to holders of New Common Stock in New Common Stock, (ii) split, subdivide, recapitalize, restructure or reclassify the outstanding New Common Stock into a greater number of New Common Stock or effect a similar transaction or (iii) combine, recapitalize, restructure or reclassify the outstanding New Common Stock into a smaller number of New Common Stock or effect a similar transaction, the number of New Common Stock issuable upon exercise of a Warrant at the record date for such dividend or distribution or effective date of such split, subdivision, combination, recapitalization, restructuring, reclassification or similar transaction shall be proportionately adjusted so that the Warrant Holder, after such date, shall be entitled to purchase the number of New Common Stock which such Warrant Holder would have owned or been entitled to receive on such date had such Warrant been exercised immediately prior to such date.

F5 · derivative.exercise_price: In such event, the exercise price per share of New Common Stock in effect at the record date for such dividend or distribution or effective date of such split, subdivision, combination, recapitalization, restructuring, reclassification or similar transaction shall be adjusted, as provided in the Warrant Agreement.

F7 · kind: Series B Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series B Warrant for approximately every 72 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series B Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

F7 · price: Series B Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series B Warrant for approximately every 72 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series B Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

F7 · derivative.underlying_shares: Series B Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series B Warrant for approximately every 72 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series B Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

SEC source: 0001209191-19-052987 · doc4.xml · derivative · entry 5

Elkouri David S · CIK 0001408621 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 2

Underlying: Common Stock · Not disclosed shares

Expires 2022-10-08

F3 · derivative.exercise_price: The initial exercise price of each series of Warrants will increase on a monthly basis by the Monthly Compounding Factor (as defined in the Warrant Agreement), whereby the exercise price of each series of Warrants shall be increased each month at an annualized rate of 6.75%, compounding monthly. The Monthly Compounding Factor may be adjusted for dividends or distributions (other than for dividends or distributions in the form of New Common Stock). An initial schedule of the monthly exercise price adjustments may be found on Schedule 1 of the Warrant Agreement. The exercise price of each series of Warrants may be adjusted further, as described in the following footnotes.

F4 · derivative.exercise_price: If the Company shall (i) declare a dividend or make a distribution to holders of New Common Stock in New Common Stock, (ii) split, subdivide, recapitalize, restructure or reclassify the outstanding New Common Stock into a greater number of New Common Stock or effect a similar transaction or (iii) combine, recapitalize, restructure or reclassify the outstanding New Common Stock into a smaller number of New Common Stock or effect a similar transaction, the number of New Common Stock issuable upon exercise of a Warrant at the record date for such dividend or distribution or effective date of such split, subdivision, combination, recapitalization, restructuring, reclassification or similar transaction shall be proportionately adjusted so that the Warrant Holder, after such date, shall be entitled to purchase the number of New Common Stock which such Warrant Holder would have owned or been entitled to receive on such date had such Warrant been exercised immediately prior to such date.

F5 · derivative.exercise_price: In such event, the exercise price per share of New Common Stock in effect at the record date for such dividend or distribution or effective date of such split, subdivision, combination, recapitalization, restructuring, reclassification or similar transaction shall be adjusted, as provided in the Warrant Agreement.

F6 · kind: Series A Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series A Warrant for approximately every 90 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series A Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

F6 · price: Series A Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series A Warrant for approximately every 90 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series A Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

F6 · derivative.underlying_shares: Series A Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series A Warrant for approximately every 90 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series A Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

SEC source: 0001209191-19-052987 · doc4.xml · derivative · entry 4

Elkouri David S · CIK 0001408621 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,258

Underlying: Common Stock · Not disclosed shares

Expires 2022-10-08

F3 · derivative.exercise_price: The initial exercise price of each series of Warrants will increase on a monthly basis by the Monthly Compounding Factor (as defined in the Warrant Agreement), whereby the exercise price of each series of Warrants shall be increased each month at an annualized rate of 6.75%, compounding monthly. The Monthly Compounding Factor may be adjusted for dividends or distributions (other than for dividends or distributions in the form of New Common Stock). An initial schedule of the monthly exercise price adjustments may be found on Schedule 1 of the Warrant Agreement. The exercise price of each series of Warrants may be adjusted further, as described in the following footnotes.

F4 · derivative.exercise_price: If the Company shall (i) declare a dividend or make a distribution to holders of New Common Stock in New Common Stock, (ii) split, subdivide, recapitalize, restructure or reclassify the outstanding New Common Stock into a greater number of New Common Stock or effect a similar transaction or (iii) combine, recapitalize, restructure or reclassify the outstanding New Common Stock into a smaller number of New Common Stock or effect a similar transaction, the number of New Common Stock issuable upon exercise of a Warrant at the record date for such dividend or distribution or effective date of such split, subdivision, combination, recapitalization, restructuring, reclassification or similar transaction shall be proportionately adjusted so that the Warrant Holder, after such date, shall be entitled to purchase the number of New Common Stock which such Warrant Holder would have owned or been entitled to receive on such date had such Warrant been exercised immediately prior to such date.

F5 · derivative.exercise_price: In such event, the exercise price per share of New Common Stock in effect at the record date for such dividend or distribution or effective date of such split, subdivision, combination, recapitalization, restructuring, reclassification or similar transaction shall be adjusted, as provided in the Warrant Agreement.

F6 · kind: Series A Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series A Warrant for approximately every 90 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series A Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

F6 · price: Series A Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series A Warrant for approximately every 90 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series A Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

F6 · derivative.underlying_shares: Series A Warrants were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 Series A Warrant for approximately every 90 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of Series A Warrants was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. The Warrants have a three (3) year term.

SEC source: 0001209191-19-052987 · doc4.xml · nonDerivative · entry 3

Elkouri David S · CIK 0001408621 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,302

F2 · kind: New shares of the Issuer's common stock, par value $0.0001 per share (the "New Shares") were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 New Share for approximately every 431 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of New Shares was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court.

SEC source: 0001209191-19-052987 · doc4.xml · nonDerivative · entry 2

Elkouri David S · CIK 0001408621 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 0

F1 · kind: On August 7, 2019, the Issuer and its subsidiaries (collectively, the "Debtors") filed voluntary petitions for relief under chapter 11 of title 11 of the United States Code in the United States Bankruptcy Court for the Southern District of Texas (the "Chapter 11 Cases," and such court, the "Bankruptcy Court"). On September 24, 2019, the Bankruptcy Court entered an order (the "Confirmation Order") confirming the Debtors' Joint Prepackaged Plan of Reorganization, as modified by the Confirmation Order (the "Plan"). On October 8, 2019 (the "Effective Date"), the Plan became effective in accordance with its terms and the Debtors emerged from the Chapter 11 Cases. On the Effective Date, all outstanding shares of the Issuer's common stock (the "Old Common Stock") were cancelled and extinguished.

SEC source: 0001209191-19-052987 · doc4.xml · nonDerivative · entry 1

Elkouri David S · CIK 0001408621 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On August 7, 2019, the Issuer and its subsidiaries (collectively, the "Debtors") filed voluntary petitions for relief under chapter 11 of title 11 of the United States Code in the United States Bankruptcy Court for the Southern District of Texas (the "Chapter 11 Cases," and such court, the "Bankruptcy Court"). On September 24, 2019, the Bankruptcy Court entered an order (the "Confirmation Order") confirming the Debtors' Joint Prepackaged Plan of Reorganization, as modified by the Confirmation Order (the "Plan"). On October 8, 2019 (the "Effective Date"), the Plan became effective in accordance with its terms and the Debtors emerged from the Chapter 11 Cases. On the Effective Date, all outstanding shares of the Issuer's common stock (the "Old Common Stock") were cancelled and extinguished.

SEC source: 0001209191-19-052588 · doc4.xml · nonDerivative · entry 2

Kasparek Leah R. · CIK 0001550854 · SVP, HR & Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,558

F2 · kind: Represents shares withheld to satisfy withholding taxes applicable upon vesting of the March 19, 2019 restricted stock grant.

SEC source: 0001209191-19-052588 · doc4.xml · nonDerivative · entry 1

Kasparek Leah R. · CIK 0001550854 · SVP, HR & Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 269,739

F1 · kind: Represents shares withheld to satisfy withholding taxes applicable upon vesting of the March 1, 2018 restricted stock grant.

SEC source: 0001209191-19-051017 · doc4.xml · nonDerivative · entry 2

Wright Jon C. · CIK 0001551455 · EVP & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 407,413

SEC source: 0001209191-19-051017 · doc4.xml · nonDerivative · entry 1

Wright Jon C. · CIK 0001551455 · EVP & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 461,521

SEC source: 0001209191-19-051009 · doc4.xml · nonDerivative · entry 2

Elkouri David S · CIK 0001408621 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 483,467

SEC source: 0001209191-19-051009 · doc4.xml · nonDerivative · entry 1

Elkouri David S · CIK 0001408621 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 541,763

SEC source: 0001209191-19-052985 · doc4.xml · nonDerivative · entry 1

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On August 7, 2019, the Issuer and its subsidiaries (collectively, the "Debtors") filed voluntary petitions for relief under chapter 11 of title 11 of the United States Code in the United States Bankruptcy Court for the Southern District of Texas (the "Chapter 11 Cases," and such court, the "Bankruptcy Court"). On September 24, 2019, the Bankruptcy Court entered an order (the "Confirmation Order") confirming the Debtors' Joint Prepackaged Plan of Reorganization, as modified by the Confirmation Order (the "Plan"). On October 8, 2019 (the "Effective Date"), the Plan became effective in accordance with its terms and the Debtors emerged from the Chapter 11 Cases. On the Effective Date, all outstanding shares of the Issuer's common stock (the "Old Common Stock") were cancelled and extinguished.

SEC source: 0001104659-19-047511 · a4.xml · nonDerivative · entry 1

ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner

Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner

Ares Holdco LLC · CIK 0001669983 · Director · 10% owner

Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner

Ares Management Corp · CIK 0001176948 · Director · 10% owner

Ares Management GP LLC · CIK 0001620264 · Director · 10% owner

Ares Voting LLC · CIK 0001761656 · Director · 10% owner

Ares Partners Holdco LLC · CIK 0001620263 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 15,335,346

F1 · shares: The amount reported reflects an aggregate of 1,080,862 shares of the Issuer's Common Stock, $0.0001 par value ("Common Stock") sold in open market transactions on August 23, 2019 by the following entities in the following amounts: 292,562 shares by AF IV Energy II AIV B1, L.P., 46,436 shares by AF IV Energy II AIV A1, L.P., 69,646 shares by AF IV Energy II AIV A2, L.P., 29,405 shares by AF IV Energy II AIV A3, L.P., 30,068 shares by AF IV Energy II AIV A4, L.P., 38,537 shares by AF IV Energy II AIV A5, L.P., 30,179 shares by AF IV Energy II AIV A6, L.P., 15,479 shares by AF IV Energy II AIV A7, L.P., 30,028 shares by AF IV Energy II AIV A8, L.P., 31,126 shares by AF IV Energy II AIV A9, L.P., (continued in footnote 2)

F2 · shares: 46,436 shares by AF IV Energy II AIV A10, L.P., 17,410 shares by AF IV Energy II AIV A11, L.P., 30,950 shares by AF IV Energy II AIV A12, L.P., 13,314 shares by SSF III Halcon AIV B1, L.P., 57,058 shares by SSF III Halcon AIV 1, L.P., 8,560 shares by SSF III Halcon AIV 2, L.P., 16,358 shares by SSF III Halcon AIV 3, L.P., 98,295 shares by SSF IV Halcon AIV B1, L.P., 4,574 shares by SSF IV Halcon AIV 1, L.P., 33,708 shares by SSF IV Halcon AIV 2, L.P., 36,608 shares by SSF IV Halcon AIV 3, L.P., 9,154 shares by SSF IV Halcon AIV 4, L.P., 20,192 shares by SSF IV Halcon AIV 5, L.P., 33,963 shares by SSF IV Halcon AIV 6, L.P. and 40,816 shares by SSF IV Halcon AIV 7, L.P.

F3 · balance_after: The amount reported reflects an aggregate of 15,335,346 shares of Common Stock held on August 27, 2019 by the following entities in the following amounts: 4,150,877 shares by AF IV Energy II AIV B1, L.P., 658,831 shares by AF IV Energy II AIV A1, L.P., 988,147 shares by AF IV Energy II AIV A2, L.P., 417,194 shares by AF IV Energy II AIV A3, L.P., 426,607 shares by AF IV Energy II AIV A4, L.P., 546,761 shares by AF IV Energy II AIV A5, L.P., 428,189 shares by AF IV Energy II AIV A6, L.P., 219,622 shares by AF IV Energy II AIV A7, L.P., 426,035 shares by AF IV Energy II AIV A8, L.P., 441,625 shares by AF IV Energy II AIV A9, L.P., 658,831 shares by AF IV Energy II AIV A10, L.P., (continued in footnote 4)

F4 · balance_after: 247,020 shares by AF IV Energy II AIV A11, L.P., 439,128 shares by AF IV Energy II AIV A12, L.P., 188,906 shares by SSF III Halcon AIV B1, L.P., 809,536 shares by SSF III Halcon AIV 1, L.P., 121,447 shares by SSF III Halcon AIV 2, L.P., 232,083 shares by SSF III Halcon AIV 3, L.P., 1,394,620 shares by SSF IV Halcon AIV B1, L.P., 64,890 shares by SSF IV Halcon AIV 1, L.P., 478,250 shares by SSF IV Halcon AIV 2, L.P., 519,401 shares by SSF IV Halcon AIV 3, L.P., 129,885 shares by SSF IV Halcon AIV 4, L.P., 286,486 shares by SSF IV Halcon AIV 5, L.P., 481,875 shares by SSF IV Halcon AIV 6, L.P., and 579,100 shares by SSF IV Halcon AIV 7, L.P.

F5 · ownership.nature: The Issuer's securities held by the entities listed in footnotes 3, 4, 8 and 9 hereto (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 6)

F6 · ownership.nature: 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. 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)

F7 · ownership.nature: 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.

SEC source: 0001104659-19-047182 · a4.xml · nonDerivative · entry 2

ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner

Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner

Ares Holdco LLC · CIK 0001669983 · Director · 10% owner

Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner

Ares Management Corp · CIK 0001176948 · Director · 10% owner

Ares Management GP LLC · CIK 0001620264 · Director · 10% owner

Ares Voting LLC · CIK 0001761656 · Director · 10% owner

Ares Partners Holdco LLC · CIK 0001620263 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 16,416,208

F3 · shares: The amount reported reflects an aggregate of 57,800 shares of Common Stock sold in open market transactions on August 22, 2019 by the following entities in the following amounts: 15,643 shares by AF IV Energy II AIV B1, L.P., 2,483 shares by AF IV Energy II AIV A1, L.P., 3,724 shares by AF IV Energy II AIV A2, L.P., 1,572 shares by AF IV Energy II AIV A3, L.P., 1,608 shares by AF IV Energy II AIV A4, L.P., 2,061 shares by AF IV Energy II AIV A5, L.P., 1,614 shares by AF IV Energy II AIV A6, L.P., 828 shares by AF IV Energy II AIV A7, L.P., 1,606 shares by AF IV Energy II AIV A8, L.P., 1,665 shares by AF IV Energy II AIV A9, L.P., (continued in footnote 4)

F4 · shares: 2,483 shares by AF IV Energy II AIV A10, L.P., 931 shares by AF IV Energy II AIV A11, L.P., 1,655 shares by AF IV Energy II AIV A12, L.P., 712 shares by SSF III Halcon AIV B1, L.P., 3,051 shares by SSF III Halcon AIV 1, L.P., 458 shares by SSF III Halcon AIV 2, L.P., 875 shares by SSF III Halcon AIV 3, L.P., 5,256 shares by SSF IV Halcon AIV B1, L.P., 245 shares by SSF IV Halcon AIV 1, L.P., 1,803 shares by SSF IV Halcon AIV 2, L.P., 1,958 shares by SSF IV Halcon AIV 3, L.P., 490 shares by SSF IV Halcon AIV 4, L.P., 1,080 shares by SSF IV Halcon AIV 5, L.P., 1,816 shares by SSF IV Halcon AIV 6, L.P. and 2,183 shares by SSF IV Halcon AIV 7, L.P.

F5 · balance_after: The amount reported reflects an aggregate of 16,416,208 shares of Common Stock held on August 23, 2019 by the following entities in the following amounts: 4,443,439 shares by AF IV Energy II AIV B1, L.P., 705,267 shares by AF IV Energy II AIV A1, L.P., 1,057,793 shares by AF IV Energy II AIV A2, L.P., 446,599 shares by AF IV Energy II AIV A3, L.P., 456,675 shares by AF IV Energy II AIV A4, L.P., 585,298 shares by AF IV Energy II AIV A5, L.P., 458,368 shares by AF IV Energy II AIV A6, L.P., 235,101 shares by AF IV Energy II AIV A7, L.P., 456,063 shares by AF IV Energy II AIV A8, L.P., 472,751 shares by AF IV Energy II AIV A9, L.P., 705,267 shares by AF IV Energy II AIV A10, L.P., (continued in footnote 6)

F6 · balance_after: 264,430 shares by AF IV Energy II AIV A11, L.P., 470,078 shares by AF IV Energy II AIV A12, L.P., 202,220 shares by SSF III Halcon AIV B1, L.P., 866,594 shares by SSF III Halcon AIV 1, L.P., 130,007 shares by SSF III Halcon AIV 2, L.P., 248,441 shares by SSF III Halcon AIV 3, L.P., 1,492,915 shares by SSF IV Halcon AIV B1, L.P., 69,464 shares by SSF IV Halcon AIV 1, L.P., 511,958 shares by SSF IV Halcon AIV 2, L.P., 556,009 shares by SSF IV Halcon AIV 3, L.P., 139,039 shares by SSF IV Halcon AIV 4, L.P., 306,678 shares by SSF IV Halcon AIV 5, L.P., 515,838 shares by SSF IV Halcon AIV 6, L.P., and 619,916 shares by SSF IV Halcon AIV 7, L.P.

F7 · ownership.nature: The Issuer's securities held by the entities listed in footnotes 5, 6, 10 and 11 hereto (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 8)

F8 · ownership.nature: 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. 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 9)

F9 · ownership.nature: 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.

SEC source: 0001104659-19-047182 · a4.xml · nonDerivative · entry 1

ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner

Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner

Ares Holdco LLC · CIK 0001669983 · Director · 10% owner

Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner

Ares Management Corp · CIK 0001176948 · Director · 10% owner

Ares Management GP LLC · CIK 0001620264 · Director · 10% owner

Ares Voting LLC · CIK 0001761656 · Director · 10% owner

Ares Partners Holdco LLC · CIK 0001620263 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 16,474,008

F1 · shares: The amount reported reflects an aggregate of 350,000 shares of the Issuer's Common Stock, $0.0001 par value ("Common Stock") sold in open market transactions on August 21, 2019 by the following entities in the following amounts: 94,735 shares by AF IV Energy II AIV B1, L.P., 15,037 shares by AF IV Energy II AIV A1, L.P., 22,553 shares by AF IV Energy II AIV A2, L.P., 9,522 shares by AF IV Energy II AIV A3, L.P., 9,737 shares by AF IV Energy II AIV A4, L.P., 12,479 shares by AF IV Energy II AIV A5, L.P., 9,773 shares by AF IV Energy II AIV A6, L.P., 5,012 shares by AF IV Energy II AIV A7, L.P., 9,723 shares by AF IV Energy II AIV A8, L.P., 10,079 shares by AF IV Energy II AIV A9, L.P., (continued in footnote 2)

F2 · shares: 15,037 shares by AF IV Energy II AIV A10, L.P., 5,638 shares by AF IV Energy II AIV A11, L.P., 10,022 shares by AF IV Energy II AIV A12, L.P., 4,311 shares by SSF III Halcon AIV B1, L.P., 18,476 shares by SSF III Halcon AIV 1, L.P., 2,772 shares by SSF III Halcon AIV 2, L.P., 5,297 shares by SSF III Halcon AIV 3, L.P., 31,830 shares by SSF IV Halcon AIV B1, L.P., 1,481 shares by SSF IV Halcon AIV 1, L.P., 10,915 shares by SSF IV Halcon AIV 2, L.P., 11,854 shares by SSF IV Halcon AIV 3, L.P., 2,964 shares by SSF IV Halcon AIV 4, L.P., 6,538 shares by SSF IV Halcon AIV 5, L.P., 10,998 shares by SSF IV Halcon AIV 6, L.P. and 13,217 shares by SSF IV Halcon AIV 7, L.P.

F7 · ownership.nature: The Issuer's securities held by the entities listed in footnotes 5, 6, 10 and 11 hereto (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 8)

F8 · ownership.nature: 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. 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 9)

F9 · ownership.nature: 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.

SEC source: 0001104659-19-046544 · a4.xml · nonDerivative · entry 2

ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner

Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner

Ares Holdco LLC · CIK 0001669983 · Director · 10% owner

Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner

Ares Management Corp · CIK 0001176948 · Director · 10% owner

Ares Management GP LLC · CIK 0001620264 · Director · 10% owner

Ares Voting LLC · CIK 0001761656 · Director · 10% owner

Ares Partners Holdco LLC · CIK 0001620263 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 16,824,008

F3 · shares: The amount reported reflects an aggregate of 545,000 shares of the Issuer's Common Stock, $0.0001 par value ("Common Stock") sold in open market transactions on August 16, 2019 by the following entities in the following amounts: 147,518 shares by AF IV Energy II AIV B1, L.P., 23,414 shares by AF IV Energy II AIV A1, L.P., 35,118 shares by AF IV Energy II AIV A2, L.P., 14,827 shares by AF IV Energy II AIV A3, L.P., 15,161 shares by AF IV Energy II AIV A4, L.P., 19,431 shares by AF IV Energy II AIV A5, L.P., 15,217 shares by AF IV Energy II AIV A6, L.P., 7,805 shares by AF IV Energy II AIV A7, L.P., 15,141 shares by AF IV Energy II AIV A8, L.P., 15,695 shares by AF IV Energy II AIV A9, L.P., (continued in footnote 4)

F4 · shares: 23,414 shares by AF IV Energy II AIV A10, L.P., 8,779 shares by AF IV Energy II AIV A11, L.P., 15,606 shares by AF IV Energy II AIV A12, L.P., 6,713 shares by SSF III Halcon AIV B1, L.P., 28,770 shares by SSF III Halcon AIV 1, L.P., 4,316 shares by SSF III Halcon AIV 2, L.P., 8,248 shares by SSF III Halcon AIV 3, L.P., 49,563 shares by SSF IV Halcon AIV B1, L.P., 2,306 shares by SSF IV Halcon AIV 1, L.P., 16,996 shares by SSF IV Halcon AIV 2, L.P., 18,459 shares by SSF IV Halcon AIV 3, L.P., 4,616 shares by SSF IV Halcon AIV 4, L.P., 10,181 shares by SSF IV Halcon AIV 5, L.P., 17,125 shares by SSF IV Halcon AIV 6, L.P. and 20,581 shares by SSF IV Halcon AIV 7, L.P.

F5 · balance_after: The amount reported reflects an aggregate of 16,824,008 shares of Common Stock held on August 19, 2019 by the following entities in the following amounts: 4,553,817 shares by AF IV Energy II AIV B1, L.P., 722,787 shares by AF IV Energy II AIV A1, L.P., 1,084,070 shares by AF IV Energy II AIV A2, L.P., 457,693 shares by AF IV Energy II AIV A3, L.P., 468,020 shares by AF IV Energy II AIV A4, L.P., 599,838 shares by AF IV Energy II AIV A5, L.P., 469,755 shares by AF IV Energy II AIV A6, L.P., 240,941 shares by AF IV Energy II AIV A7, L.P., 467,392 shares by AF IV Energy II AIV A8, L.P., 484,495 shares by AF IV Energy II AIV A9, L.P., 722,787 shares by AF IV Energy II AIV A10, L.P., (continued in footnote 6)

F6 · balance_after: 270,999 shares by AF IV Energy II AIV A11, L.P., 481,755 shares by AF IV Energy II AIV A12, L.P., 207,243 shares by SSF III Halcon AIV B1, L.P., 888,121 shares by SSF III Halcon AIV 1, L.P., 133,237 shares by SSF III Halcon AIV 2, L.P., 254,613 shares by SSF III Halcon AIV 3, L.P., 1,530,001 shares by SSF IV Halcon AIV B1, L.P., 71,190 shares by SSF IV Halcon AIV 1, L.P., 524,676 shares by SSF IV Halcon AIV 2, L.P., 569,821 shares by SSF IV Halcon AIV 3, L.P., 142,493 shares by SSF IV Halcon AIV 4, L.P., 314,296 shares by SSF IV Halcon AIV 5, L.P., 528,652 shares by SSF IV Halcon AIV 6, L.P., and 635,316 shares by SSF IV Halcon AIV 7, L.P.

F7 · ownership.nature: The Issuer's securities held by the entities listed in footnotes 5, 6, 10 and 11 hereto (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 8)

F8 · ownership.nature: 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. 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 9)

F9 · ownership.nature: 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.

SEC source: 0001209191-19-046331 · doc4.xml · nonDerivative · entry 1

Elkouri David S · CIK 0001408621 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 561,898

SEC source: 0001104659-19-046544 · a4.xml · nonDerivative · entry 1

ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner

Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner

Ares Holdco LLC · CIK 0001669983 · Director · 10% owner

Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner

Ares Management Corp · CIK 0001176948 · Director · 10% owner

Ares Management GP LLC · CIK 0001620264 · Director · 10% owner

Ares Voting LLC · CIK 0001761656 · Director · 10% owner

Ares Partners Holdco LLC · CIK 0001620263 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 17,369,008

F1 · shares: The amount reported reflects an aggregate of 3,500,000 shares of the Issuer's Common Stock, $0.0001 par value ("Common Stock") sold in open market transactions on August 15, 2019 by the following entities in the following amounts: 947,355 shares by AF IV Energy II AIV B1, L.P., 150,366 shares by AF IV Energy II AIV A1, L.P., 225,526 shares by AF IV Energy II AIV A2, L.P., 95,217 shares by AF IV Energy II AIV A3, L.P., 97,365 shares by AF IV Energy II AIV A4, L.P., 124,788 shares by AF IV Energy II AIV A5, L.P., 97,726 shares by AF IV Energy II AIV A6, L.P., 50,124 shares by AF IV Energy II AIV A7, L.P., 97,235 shares by AF IV Energy II AIV A8, L.P., 100,793 shares by AF IV Energy II AIV A9, L.P., (continued in footnote 2)

F2 · shares: 150,366 shares by AF IV Energy II AIV A10, L.P., 56,378 shares by AF IV Energy II AIV A11, L.P., 100,222 shares by AF IV Energy II AIV A12, L.P., 43,114 shares by SSF III Halcon AIV B1, L.P., 184,761 shares by SSF III Halcon AIV 1, L.P., 27,718 shares by SSF III Halcon AIV 2, L.P., 52,969 shares by SSF III Halcon AIV 3, L.P., 318,295 shares by SSF IV Halcon AIV B1, L.P., 14,810 shares by SSF IV Halcon AIV 1, L.P., 109,152 shares by SSF IV Halcon AIV 2, L.P., 118,543 shares by SSF IV Halcon AIV 3, L.P., 29,644 shares by SSF IV Halcon AIV 4, L.P., 65,385 shares by SSF IV Halcon AIV 5, L.P., 109,979 shares by SSF IV Halcon AIV 6, L.P. and 132,169 shares by SSF IV Halcon AIV 7, L.P.

F7 · ownership.nature: The Issuer's securities held by the entities listed in footnotes 5, 6, 10 and 11 hereto (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 8)

F8 · ownership.nature: 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. 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 9)

F9 · ownership.nature: 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.

SEC source: 0001209191-19-046109 · doc4.xml · nonDerivative · entry 1

Schall Darryl · CIK 0001373020 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001209191-19-025360 · doc4.xml · nonDerivative · entry 1

BARTH CARIN MARCY · CIK 0001224909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,568

F1 · price: The restricted stock grant vests in one installment on October 17, 2019.

SEC source: 0001209191-19-019796 · doc4.xml · nonDerivative · entry 1

HICKS QUENTIN R · CIK 0001676649 · EVP, Finance and IR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 435,028

F1 · price: The restricted stock award vests in three equal annual installments beginning March 13, 2020.

SEC source: 0001209191-19-019797 · doc4.xml · nonDerivative · entry 1

Kasparek Leah R. · CIK 0001550854 · SVP, HR & Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 278,475

F1 · price: The restricted stock award vests in three equal annual installments beginning March 13, 2020.

SEC source: 0001209191-19-019792 · doc4.xml · nonDerivative · entry 1

Elkouri David S · CIK 0001408621 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 569,431

F1 · price: The restricted stock award vests in three equal annual installments beginning March 13, 2020.

SEC source: 0001209191-19-019794 · doc4.xml · nonDerivative · entry 1

Wright Jon C. · CIK 0001551455 · EVP & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 481,656

F1 · price: The restricted stock award vests in three equal annual installments beginning March 13, 2020.

SEC source: 0001209191-19-017066 · doc4.xml · nonDerivative · entry 1

HICKS QUENTIN R · CIK 0001676649 · EVP, Finance and IR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 247,168

F1 · kind: Represents shares withheld to satisfy withholding taxes applicable upon vesting of the March 1, 2018 restricted stock grant.

SEC source: 0001209191-19-017069 · doc4.xml · nonDerivative · entry 1

Obut Tina S · CIK 0001391523 · SVP, Corporate Reserves

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,470

F1 · kind: Represents shares withheld to satisfy withholding taxes applicable upon vesting of the March 1, 2018 restricted stock grant.

SEC source: 0001209191-19-017068 · doc4.xml · nonDerivative · entry 1

Kasparek Leah R. · CIK 0001550854 · SVP, HR & Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,925

F1 · kind: Represents shares withheld to satisfy withholding taxes applicable upon vesting of the March 1, 2018 restricted stock grant.

SEC source: 0001209191-19-017064 · doc4.xml · nonDerivative · entry 1

Wright Jon C. · CIK 0001551455 · EVP & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 294,946

F1 · kind: Represents shares withheld to satisfy withholding taxes applicable upon vesting of the March 1, 2018 restricted stock grant.

SEC source: 0001209191-19-017062 · doc4.xml · nonDerivative · entry 1

Elkouri David S · CIK 0001408621 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368,271

F1 · kind: Represents shares withheld to satisfy withholding taxes applicable upon vesting of the March 1, 2018 restricted stock grant.

SEC source: 0001209191-19-017059 · doc4.xml · nonDerivative · entry 1

Mize Mark · CIK 0001310117 · EVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 408,450

F1 · kind: Represents shares withheld to satisfy withholding taxes applicable upon vesting of the March 1, 2018 restricted stock grant.

SEC source: 0001209191-19-017057 · doc4.xml · nonDerivative · entry 1

HEROD STEPHEN W · CIK 0001195114 · EVP, Corporate Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 424,463

F1 · kind: Represents shares withheld to satisfy withholding taxes applicable upon vesting of the March 1, 2018 restricted stock grant.

SEC source: 0001209191-18-060152 · doc4.xml · nonDerivative · entry 1

FULLER THOMAS R · CIK 0001248903 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,323

SEC source: 0001209191-18-059536 · doc4.xml · nonDerivative · entry 1

Kasparek Leah R. · CIK 0001550854 · SVP, HR & Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,340

SEC source: 0001209191-18-059527 · doc4.xml · nonDerivative · entry 1

Elkouri David S · CIK 0001408621 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 379,948

SEC source: 0001104659-19-020895 · a4.xml · nonDerivative · entry 1

ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner

Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner

Ares Holdco LLC · CIK 0001669983 · Director · 10% owner

Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner

Ares Management Corp · CIK 0001176948 · Director · 10% owner

Ares Management GP LLC · CIK 0001620264 · Director · 10% owner

Ares Voting LLC · CIK 0001761656 · Director · 10% owner

Ares Partners Holdco LLC · CIK 0001620263 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 20,869,008

F1 · shares: 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.

F2 · balance_after: 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)

F3 · balance_after: 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.

F4 · ownership.nature: 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)

F5 · ownership.nature: 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)

F6 · ownership.nature: 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)

F7 · ownership.nature: 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.

SEC source: 0001104659-18-052345 · a4.xml · derivative · entry 7

ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner

Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner

Ares Holdco LLC · CIK 0001669983 · Director · 10% owner

Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner

ARES MANAGEMENT LP · CIK 0001176948 · Director · 10% owner

Ares Management GP LLC · CIK 0001620264 · Director · 10% owner

Ares Partners Holdco LLC · CIK 0001620263 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 332,811

Underlying: Common Stock, $0.0001 par value · 8,095 shares

Expires 2020-09-09

F9 · derivative.underlying_shares: The amount reported reflects warrants exercisable for an aggregate of 8,095 shares, sold by the following entities in the following amounts: 3,244 shares by Future Fund Board of Guardians, 2,132 shares by Ares Enhanced Credit Opportunities Master Fund II, Ltd., 1,677 shares by ASIP (Holdco) IV S.a.r.l. and 1,042 shares by Ares Multi-Strategy Credit Fund V (H), L.P.

F10 · balance_after: The amount reported reflects warrants exercisable for an aggregate of 332,811 shares, in the following amounts: 105,620 shares by AF IV Energy II AIV B1, L.P., 16,764 shares by AF IV Energy II AIV A1, L.P., 25,136 shares by AF IV Energy II AIV A2, L.P., 10,613 shares by AF IV Energy II AIV A3, L.P., 10,846 shares by AF IV Energy II AIV A4, L.P., 13,916 shares by AF IV Energy II AIV A5, L.P., 10,899 shares by AF IV Energy II AIV A6, L.P., 5,591 shares by AF IV Energy II AIV A7, L.P., 10,840 shares by AF IV Energy II AIV A8, L.P., 11,236 shares by AF IV Energy II AIV A9, L.P., 16,764 shares by AF IV Energy II AIV A10, L.P., 6,279 shares by AF IV Energy II AIV A11, L.P., 11,166 shares by AF IV Energy II AIV A12, L.P., 2,691 shares by SSF III Halcon AIV B1, L.P., 11,540 shares by SSF III Halcon AIV 1, L.P., 1,735 shares by SSF III Halcon AIV 2, L.P., 3,314 shares by SSF III Halcon AIV 3, L.P., (continued in footnote 11)

F11 · balance_after: 20,518 shares by SSF IV Halcon AIV B1, L.P., 949 shares by SSF IV Halcon AIV 1, L.P., 7,031 shares by SSF IV Halcon AIV 2, L.P., 7,637 shares by SSF IV Halcon AIV 3, L.P., 1,910 shares by SSF IV Halcon AIV 4, L.P., 4,211 shares by SSF IV Halcon AIV 5, L.P., 7,089 shares by SSF IV Halcon AIV 6, L.P., and 8,516 shares by SSF IV Halcon AIV 7, L.P.

F12 · ownership.nature: The Issuer's securities held by the entities listed in the footnotes above (collectively, the "Purchasers") is managed, directly or indirectly, 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"), whose sole stockholder is Ares Management. The general partner of Ares Management is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with the Purchasers, Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, and Ares Management GP, the "Ares Entities").

F13 · ownership.nature: Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal. Mr. Ressler generally has veto authority over decisions by Ares Partners' board of managers. Each of the Ares Entities (other than each Purchaser, with respect to the securities held directly by it) and the members of Ares Partners' board of managers 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.

F14 · ownership.nature: The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067.

SEC source: 0001104659-18-052345 · a4.xml · nonDerivative · entry 5

ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner

Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner

Ares Holdco LLC · CIK 0001669983 · Director · 10% owner

Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner

ARES MANAGEMENT LP · CIK 0001176948 · Director · 10% owner

Ares Management GP LLC · CIK 0001620264 · Director · 10% owner

Ares Partners Holdco LLC · CIK 0001620263 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 20,869,008

F1 · kind: All of the sales reported on this Form 4 were effected by entities managed within the Credit Group of Ares Management, L.P. ("Ares Management"), and were predominantly made in connection with the liquidation of certain funds, fund redemptions or changes in the asset allocations of the selling entities.

F6 · shares: The amount reported reflects an aggregate of 277,674 shares of Common Stock sold by the following entities in the following amounts: 63,249 shares by Future Fund Board of Guardians, 64,567 shares by Ares Enhanced Credit Opportunities Master Fund II, Ltd., 82,354 shares by Ares Dynamic Credit Allocation Fund, Inc., 26,969 by ASIP (Holdco) IV S.a.r.l., 11,839 shares by Ares Multi-Strategy Credit Fund V (H), L.P., 18,927 shares by Transatlantic Reinsurance Company, and 9,769 shares by RSUI Indemnity Company.

F7 · balance_after: The amount reported reflects an aggregate of 20,869,008 shares of Common Stock held 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 8)

F8 · balance_after: 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.

F12 · ownership.nature: The Issuer's securities held by the entities listed in the footnotes above (collectively, the "Purchasers") is managed, directly or indirectly, 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"), whose sole stockholder is Ares Management. The general partner of Ares Management is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with the Purchasers, Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, and Ares Management GP, the "Ares Entities").

F13 · ownership.nature: Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal. Mr. Ressler generally has veto authority over decisions by Ares Partners' board of managers. Each of the Ares Entities (other than each Purchaser, with respect to the securities held directly by it) and the members of Ares Partners' board of managers 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.

F14 · ownership.nature: The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067.

SEC source: 0001104659-18-052345 · a4.xml · nonDerivative · entry 4

ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner

Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner

Ares Holdco LLC · CIK 0001669983 · Director · 10% owner

Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner

ARES MANAGEMENT LP · CIK 0001176948 · Director · 10% owner

Ares Management GP LLC · CIK 0001620264 · Director · 10% owner

Ares Partners Holdco LLC · CIK 0001620263 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 21,146,682

F1 · kind: All of the sales reported on this Form 4 were effected by entities managed within the Credit Group of Ares Management, L.P. ("Ares Management"), and were predominantly made in connection with the liquidation of certain funds, fund redemptions or changes in the asset allocations of the selling entities.

F5 · shares: The amount reported reflects an aggregate of 100,000 shares of Common Stock sold by the following entities in the following amounts: 22,778 shares by Future Fund Board of Guardians, 23,253 shares by Ares Enhanced Credit Opportunities Master Fund II, Ltd., 29,659 shares by Ares Dynamic Credit Allocation Fund, Inc., 9,712 by ASIP (Holdco) IV S.a.r.l., 4,264 shares by Ares Multi-Strategy Credit Fund V (H), L.P., 6,816 shares by Transatlantic Reinsurance Company, and 3,518 shares by RSUI Indemnity Company.

F12 · ownership.nature: The Issuer's securities held by the entities listed in the footnotes above (collectively, the "Purchasers") is managed, directly or indirectly, 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"), whose sole stockholder is Ares Management. The general partner of Ares Management is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with the Purchasers, Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, and Ares Management GP, the "Ares Entities").

F13 · ownership.nature: Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal. Mr. Ressler generally has veto authority over decisions by Ares Partners' board of managers. Each of the Ares Entities (other than each Purchaser, with respect to the securities held directly by it) and the members of Ares Partners' board of managers 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.

F14 · ownership.nature: The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067.