HPK

SEC source: 0001437749-22-010934 · rdgdoc.xml · derivative · entry 1

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,500

Underlying: Common Stock, par value $0.0001 per share · 121,500 shares

Expires 2032-05-03

F1 · derivative.exercise_date: The option was fully vested as of the date of grant.

F2 · balance_after: This Form 4 reports in Box 9 the aggregate number of Employee Stock Options of the same class beneficially owned by the reporting person. In prior Form 4 filings, the reporting person reported in Box 9 the aggregate number of Employee Stock Options of all classes beneficially owned by the reporting person; however, the reporting person hereby undertakes to report in Box 9 only the aggregate number of Employee Stock Options of the same class beneficially owned by the reporting person herein and in future filings.

SEC source: 0001437749-22-006863 · rdgdoc.xml · derivative · entry 2

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,756

Underlying: Common Stock, par value $0.0001 per share · 97 shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to the Contingent Value Rights Agreement, dated August 21, 2020 (the "CVR Agreement"), by and among (i) HighPeak Energy, Inc. (the "Issuer"), (ii) HighPeak Energy, LP, (iii) HighPeak Energy II, LP, (iv) HighPeak Pure Acquisition, LLC and (v) Continental Stock Transfer & Trust Company, as rights agent, entered into in connection with the Transaction, each CVR entitles Qualifying CVR Holders (as defined in the CVR Agreement) to receive, in certain circumstances, additional shares of common stock (or, in limited circumstances, such other form as is provided for in the CVR Agreement), if necessary, to satisfy a 10% preferred simple annual return (based on a $10.00 per share price at the closing of the Transaction), subject to a floor downside per-share price of $4.00, for certain qualifying holders as of the CVR Maturity Date (as defined in the CVR Agreement).

F5 · kind: The Reporting Person's sale of Contingent Value Rights reported herein was matchable under Section 16(b) of the Securities Act of 1934, as amended. The Reporting Person has agreed to pay the Issuer, upon settlement of the sale, the full amount of profit realized in connection with the short-swing transaction, less transaction costs.

F3 · price: The price reported in Column 8 is the price received in a single sale transaction of contingent value rights.

F1 · derivative.exercise_date: Pursuant to the Contingent Value Rights Agreement, dated August 21, 2020 (the "CVR Agreement"), by and among (i) HighPeak Energy, Inc. (the "Issuer"), (ii) HighPeak Energy, LP, (iii) HighPeak Energy II, LP, (iv) HighPeak Pure Acquisition, LLC and (v) Continental Stock Transfer & Trust Company, as rights agent, entered into in connection with the Transaction, each CVR entitles Qualifying CVR Holders (as defined in the CVR Agreement) to receive, in certain circumstances, additional shares of common stock (or, in limited circumstances, such other form as is provided for in the CVR Agreement), if necessary, to satisfy a 10% preferred simple annual return (based on a $10.00 per share price at the closing of the Transaction), subject to a floor downside per-share price of $4.00, for certain qualifying holders as of the CVR Maturity Date (as defined in the CVR Agreement).

F1 · derivative.expiration_date: Pursuant to the Contingent Value Rights Agreement, dated August 21, 2020 (the "CVR Agreement"), by and among (i) HighPeak Energy, Inc. (the "Issuer"), (ii) HighPeak Energy, LP, (iii) HighPeak Energy II, LP, (iv) HighPeak Pure Acquisition, LLC and (v) Continental Stock Transfer & Trust Company, as rights agent, entered into in connection with the Transaction, each CVR entitles Qualifying CVR Holders (as defined in the CVR Agreement) to receive, in certain circumstances, additional shares of common stock (or, in limited circumstances, such other form as is provided for in the CVR Agreement), if necessary, to satisfy a 10% preferred simple annual return (based on a $10.00 per share price at the closing of the Transaction), subject to a floor downside per-share price of $4.00, for certain qualifying holders as of the CVR Maturity Date (as defined in the CVR Agreement).

F1 · derivative.underlying_shares: Pursuant to the Contingent Value Rights Agreement, dated August 21, 2020 (the "CVR Agreement"), by and among (i) HighPeak Energy, Inc. (the "Issuer"), (ii) HighPeak Energy, LP, (iii) HighPeak Energy II, LP, (iv) HighPeak Pure Acquisition, LLC and (v) Continental Stock Transfer & Trust Company, as rights agent, entered into in connection with the Transaction, each CVR entitles Qualifying CVR Holders (as defined in the CVR Agreement) to receive, in certain circumstances, additional shares of common stock (or, in limited circumstances, such other form as is provided for in the CVR Agreement), if necessary, to satisfy a 10% preferred simple annual return (based on a $10.00 per share price at the closing of the Transaction), subject to a floor downside per-share price of $4.00, for certain qualifying holders as of the CVR Maturity Date (as defined in the CVR Agreement).

F1 · balance_after: Pursuant to the Contingent Value Rights Agreement, dated August 21, 2020 (the "CVR Agreement"), by and among (i) HighPeak Energy, Inc. (the "Issuer"), (ii) HighPeak Energy, LP, (iii) HighPeak Energy II, LP, (iv) HighPeak Pure Acquisition, LLC and (v) Continental Stock Transfer & Trust Company, as rights agent, entered into in connection with the Transaction, each CVR entitles Qualifying CVR Holders (as defined in the CVR Agreement) to receive, in certain circumstances, additional shares of common stock (or, in limited circumstances, such other form as is provided for in the CVR Agreement), if necessary, to satisfy a 10% preferred simple annual return (based on a $10.00 per share price at the closing of the Transaction), subject to a floor downside per-share price of $4.00, for certain qualifying holders as of the CVR Maturity Date (as defined in the CVR Agreement).

SEC source: 0001437749-22-006863 · rdgdoc.xml · derivative · entry 1

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,802

Underlying: Common Stock, par value $0.0001 per share · 31,875 shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to the Contingent Value Rights Agreement, dated August 21, 2020 (the "CVR Agreement"), by and among (i) HighPeak Energy, Inc. (the "Issuer"), (ii) HighPeak Energy, LP, (iii) HighPeak Energy II, LP, (iv) HighPeak Pure Acquisition, LLC and (v) Continental Stock Transfer & Trust Company, as rights agent, entered into in connection with the Transaction, each CVR entitles Qualifying CVR Holders (as defined in the CVR Agreement) to receive, in certain circumstances, additional shares of common stock (or, in limited circumstances, such other form as is provided for in the CVR Agreement), if necessary, to satisfy a 10% preferred simple annual return (based on a $10.00 per share price at the closing of the Transaction), subject to a floor downside per-share price of $4.00, for certain qualifying holders as of the CVR Maturity Date (as defined in the CVR Agreement).

F5 · kind: The Reporting Person's sale of Contingent Value Rights reported herein was matchable under Section 16(b) of the Securities Act of 1934, as amended. The Reporting Person has agreed to pay the Issuer, upon settlement of the sale, the full amount of profit realized in connection with the short-swing transaction, less transaction costs.

F2 · price: The price reported in Column 8 is the price received in a single sale transaction of contingent value rights.

F1 · derivative.exercise_date: Pursuant to the Contingent Value Rights Agreement, dated August 21, 2020 (the "CVR Agreement"), by and among (i) HighPeak Energy, Inc. (the "Issuer"), (ii) HighPeak Energy, LP, (iii) HighPeak Energy II, LP, (iv) HighPeak Pure Acquisition, LLC and (v) Continental Stock Transfer & Trust Company, as rights agent, entered into in connection with the Transaction, each CVR entitles Qualifying CVR Holders (as defined in the CVR Agreement) to receive, in certain circumstances, additional shares of common stock (or, in limited circumstances, such other form as is provided for in the CVR Agreement), if necessary, to satisfy a 10% preferred simple annual return (based on a $10.00 per share price at the closing of the Transaction), subject to a floor downside per-share price of $4.00, for certain qualifying holders as of the CVR Maturity Date (as defined in the CVR Agreement).

F1 · derivative.expiration_date: Pursuant to the Contingent Value Rights Agreement, dated August 21, 2020 (the "CVR Agreement"), by and among (i) HighPeak Energy, Inc. (the "Issuer"), (ii) HighPeak Energy, LP, (iii) HighPeak Energy II, LP, (iv) HighPeak Pure Acquisition, LLC and (v) Continental Stock Transfer & Trust Company, as rights agent, entered into in connection with the Transaction, each CVR entitles Qualifying CVR Holders (as defined in the CVR Agreement) to receive, in certain circumstances, additional shares of common stock (or, in limited circumstances, such other form as is provided for in the CVR Agreement), if necessary, to satisfy a 10% preferred simple annual return (based on a $10.00 per share price at the closing of the Transaction), subject to a floor downside per-share price of $4.00, for certain qualifying holders as of the CVR Maturity Date (as defined in the CVR Agreement).

F1 · derivative.underlying_shares: Pursuant to the Contingent Value Rights Agreement, dated August 21, 2020 (the "CVR Agreement"), by and among (i) HighPeak Energy, Inc. (the "Issuer"), (ii) HighPeak Energy, LP, (iii) HighPeak Energy II, LP, (iv) HighPeak Pure Acquisition, LLC and (v) Continental Stock Transfer & Trust Company, as rights agent, entered into in connection with the Transaction, each CVR entitles Qualifying CVR Holders (as defined in the CVR Agreement) to receive, in certain circumstances, additional shares of common stock (or, in limited circumstances, such other form as is provided for in the CVR Agreement), if necessary, to satisfy a 10% preferred simple annual return (based on a $10.00 per share price at the closing of the Transaction), subject to a floor downside per-share price of $4.00, for certain qualifying holders as of the CVR Maturity Date (as defined in the CVR Agreement).

F1 · balance_after: Pursuant to the Contingent Value Rights Agreement, dated August 21, 2020 (the "CVR Agreement"), by and among (i) HighPeak Energy, Inc. (the "Issuer"), (ii) HighPeak Energy, LP, (iii) HighPeak Energy II, LP, (iv) HighPeak Pure Acquisition, LLC and (v) Continental Stock Transfer & Trust Company, as rights agent, entered into in connection with the Transaction, each CVR entitles Qualifying CVR Holders (as defined in the CVR Agreement) to receive, in certain circumstances, additional shares of common stock (or, in limited circumstances, such other form as is provided for in the CVR Agreement), if necessary, to satisfy a 10% preferred simple annual return (based on a $10.00 per share price at the closing of the Transaction), subject to a floor downside per-share price of $4.00, for certain qualifying holders as of the CVR Maturity Date (as defined in the CVR Agreement).

SEC source: 0001437749-22-006186 · rdgdoc.xml · nonDerivative · entry 1

Gustin Michael H. · CIK 0001821852 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Trust

Disclosed balance after: 18,914

F1 · price: These shares of common stock were sold in multiple transactions at prices ranging from $22.51 to $23.19, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of common stock purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4.

SEC source: 0001437749-21-028023 · rdgdoc.xml · derivative · entry 2

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,051

Underlying: Common Stock, par value $0.0001 per share · 130 shares

Expires 2025-08-21

F2 · price: These warrants were purchased in multiple transactions at a price of $4.50 per warrant.

SEC source: 0001437749-21-028023 · rdgdoc.xml · derivative · entry 1

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,921

Underlying: Common Stock, par value $0.0001 per share · 3,000 shares

Expires 2025-08-21

F1 · price: These warrants were purchased in multiple transactions at a price of $4.45 per warrant.

SEC source: 0001437749-21-027741 · rdgdoc.xml · derivative · entry 5

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,921

Underlying: Common Stock, par value $0.0001 per share · 3,403 shares

Expires 2025-08-21

F5 · price: The price reported in Column 8 is a weighted average price. These warrants were purchased in multiple transactions at prices ranging from $4.44 to $4.50, inclusive.

SEC source: 0001437749-21-027741 · rdgdoc.xml · nonDerivative · entry 2

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,257

F2 · price: The price reported in Column 4 is a weighted average price. These shares of common stock were purchased in multiple transactions at prices ranging from $13.13 to $13.25, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of common stock purchased at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001437749-21-027741 · rdgdoc.xml · derivative · entry 4

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,518

Underlying: Common Stock, par value $0.0001 per share · 1,846 shares

Expires 2025-08-21

F4 · price: These warrants were purchased in multiple transactions at a price of $4.50 per warrant.

SEC source: 0001437749-21-027741 · rdgdoc.xml · derivative · entry 3

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,672

Underlying: Common Stock, par value $0.0001 per share · 2,538 shares

Expires 2025-08-21

F3 · price: The price reported in Column 8 is a weighted average price. These warrants were purchased in multiple transactions at prices ranging from $4.42 to $4.50, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of warrants purchased at each separate price within the ranges set forth in footnotes (3) and (5) to this Form 4.

SEC source: 0001437749-21-027741 · rdgdoc.xml · nonDerivative · entry 1

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,057

F1 · price: These shares of common stock were purchased in multiple transactions at a price of $13.25 per share.

SEC source: 0001437749-21-027253 · rdgdoc.xml · derivative · entry 3

HIGHTOWER JACK · CIK 0001035234 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 681,298

Underlying: Common Stock, par value $0.0001 per share · 1,219 shares

Expires 2025-08-21

F3 · price: The price reported in Column 8 is a weighted average price. These warrants were purchased in multiple transactions at prices ranging from $4.38 to $4.50, inclusive.

SEC source: 0001437749-21-027414 · rdgdoc.xml · derivative · entry 1

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,134

Underlying: Common Stock, par value $0.0001 per share · 366 shares

Expires 2025-08-21

F1 · price: The price reported in Column 8 is a weighted average price. These warrants were purchased in multiple transactions at prices ranging from $4.45 to $4.50, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of warrants purchased at each separate price within the ranges set forth in footnote (1) to this Form 4.

SEC source: 0001437749-21-027253 · rdgdoc.xml · derivative · entry 2

HIGHTOWER JACK · CIK 0001035234 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 680,079

Underlying: Common Stock, par value $0.0001 per share · 2,339 shares

Expires 2025-08-21

F2 · price: The price reported in Column 8 is a weighted average price. These warrants were purchased in multiple transactions at prices ranging from $4.50 to $4.47, inclusive.

SEC source: 0001437749-21-027253 · rdgdoc.xml · derivative · entry 1

HIGHTOWER JACK · CIK 0001035234 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 677,740

Underlying: Common Stock, par value $0.0001 per share · 3,777 shares

Expires 2025-08-21

F1 · price: The price reported in Column 8 is a weighted average price. These warrants were purchased in multiple transactions at prices ranging from $4.84 to $5.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of warrants purchased at each separate price within the ranges set forth in footnotes (1), (2) and (3) to this Form 4.

SEC source: 0001437749-21-026989 · rdgdoc.xml · derivative · entry 3

HIGHTOWER JACK · CIK 0001035234 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 673,963

Underlying: Common Stock, par value $0.0001 per share · 12,863 shares

Expires 2025-08-21

F3 · price: The price reported in Column 8 is a weighted average price. These warrants were purchased in multiple transactions at prices ranging from $4.87 to $5.00, inclusive.

SEC source: 0001437749-21-026989 · rdgdoc.xml · derivative · entry 2

HIGHTOWER JACK · CIK 0001035234 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 661,100

Underlying: Common Stock, par value $0.0001 per share · 20,689 shares

Expires 2025-08-21

F2 · price: The price reported in Column 8 is a weighted average price. These warrants were purchased in multiple transactions at prices ranging from $4.80 to $5.00, inclusive.

SEC source: 0001437749-21-026989 · rdgdoc.xml · derivative · entry 1

HIGHTOWER JACK · CIK 0001035234 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 640,411

Underlying: Common Stock, par value $0.0001 per share · 40,411 shares

Expires 2025-08-21

F1 · price: The price reported in Column 8 is a weighted average price. These warrants were purchased in multiple transactions at prices ranging from $4.30 to $5.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of warrants purchased at each separate price within the ranges set forth in footnotes (1), (2) and (3) to this Form 4.

SEC source: 0001437749-21-025703 · rdgdoc.xml · derivative · entry 1

THOLEN STEVEN W · CIK 0001044285 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 206,000

Underlying: Common Stock, par value $0.0001 per share · 6,000 shares

Expires 2031-11-03

F1 · derivative.exercise_date: The option vests in three equal installments: one-third on the date of grant, one-third on the first anniversary of the date of grant, and one-third on the second anniversary of the date of grant.

SEC source: 0001437749-21-025696 · rdgdoc.xml · derivative · entry 4

HIGHTOWER JACK · CIK 0001035234 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,117,995

Underlying: Common Stock, par value $0.0001 per share · 164,500 shares

Expires 2031-11-03

F4 · derivative.exercise_date: The option was fully vested as of the date of grant.

SEC source: 0001437749-21-025696 · rdgdoc.xml · nonDerivative · entry 1

HIGHTOWER JACK · CIK 0001035234 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,261,723

F1 · balance_after: On April 5, 2021, the Reporting Person filed a Form 4 which inadvertently reported that, following an open market purchase of the Issuer's common stock, par value $0.0001 per share ("Common Stock") he held a total of 276,223 shares of Common Stock. In fact, in addition to the 276,223 shares of Common Stock previously reported and the acquisition reported in this Form 4, the reporting person directly owns an additional 100,000 shares of Common Stock acquired by the Reporting Person in connection with the business combination transaction between the Issuer and Pure Acquisition Corp., a Delaware corporation (the "Transaction") and 500,000 shares of Common Stock acquired by HighPeak Energy III, LP a Delaware limited partnership ("HighPeak III") in connection with the Transaction and later transferred to the Reporting Person.

SEC source: 0001437749-21-025706 · rdgdoc.xml · derivative · entry 1

Forbes Keith E · CIK 0001831867 · Vice President and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock, par value $0.0001 per share · 5,000 shares

Expires 2031-11-03

F1 · derivative.exercise_date: The option vests in three equal installments: one-third on the date of grant, one-third on the first anniversary of the date of grant, and one-third on the second anniversary of the date of grant.

SEC source: 0001437749-21-025704 · rdgdoc.xml · derivative · entry 1

WOODARD RODNEY L · CIK 0001200104 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 668,000

Underlying: Common Stock, par value $0.0001 per share · 18,000 shares

Expires 2031-11-03

F1 · derivative.exercise_date: The option vests in three equal installments: one-third on the date of grant, one-third on the first anniversary of the date of grant, and one-third on the second anniversary of the date of grant.

SEC source: 0001437749-21-025705 · rdgdoc.xml · derivative · entry 2

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,285,000

Underlying: Common Stock, par value $0.0001 per share · 35,000 shares

Expires 2031-11-03

F1 · derivative.exercise_date: The option vests in three equal installments: one-third on the date of grant, one-third on the first anniversary of the date of grant, and one-third on the second anniversary of the date of grant.

SEC source: 0001437749-21-025705 · rdgdoc.xml · nonDerivative · entry 1

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,256

SEC source: 0001437749-21-024153 · rdgdoc.xml · nonDerivative · entry 1

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,256

F1 · shares: The Reporting Person purchased the shares of common stock reported hereby from the underwriters in an underwritten public offering conducted by the Issuer pursuant to an underwriting agreement, dated October 20, 2021, between the Issuer and the representative of the several underwriters. Each share of common stock was sold by the underwriters at a price of $10.00 per share.

SEC source: 0001437749-21-014730 · rdgdoc.xml · nonDerivative · entry 1

COVINGTON KEITH · CIK 0001201943 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: On June 11, 2021, the Reporting Person transferred 14,896 shares of restricted common stock of the Issuer to a family trust of which the Reporting Person and the Reporting Person's wife are trustees. The Reporting Person and members of his immediate family are the sole beneficiaries of the trust.

SEC source: 0001437749-21-014731 · rdgdoc.xml · nonDerivative · entry 1

Gustin Michael H. · CIK 0001821852 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: On June 11, 2021, the Reporting Person transferred 12,414 shares of restricted common stock of the Issuer to a family trust of which the Reporting Person and the Reporting Person's wife are trustees. The Reporting Person and members of his immediate family are the sole beneficiaries of the trust.

SEC source: 0001437749-21-014123 · rdgdoc.xml · nonDerivative · entry 1

OLDHAM LARRY · CIK 0001246383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,159

SEC source: 0001437749-21-014126 · rdgdoc.xml · nonDerivative · entry 1

COVINGTON KEITH · CIK 0001201943 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,896

SEC source: 0001437749-21-014125 · rdgdoc.xml · nonDerivative · entry 1

Fulgham Sharon F. · CIK 0001821823 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,396

SEC source: 0001437749-21-014127 · rdgdoc.xml · nonDerivative · entry 1

Chernosky Jay M. · CIK 0001821670 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,914

SEC source: 0001437749-21-014124 · rdgdoc.xml · nonDerivative · entry 1

Gustin Michael H. · CIK 0001821852 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,414

SEC source: 0001437749-21-008250 · rdgdoc.xml · nonDerivative · entry 2

HIGHTOWER JACK · CIK 0001035234 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,223

SEC source: 0001437749-21-008250 · rdgdoc.xml · nonDerivative · entry 1

HIGHTOWER JACK · CIK 0001035234 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,250

SEC source: 0001437749-21-000313 · rdgdoc.xml · derivative · entry 7

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,768

Underlying: Common Stock, par value $0.0001 per share · 5,000 shares

Expires 2025-08-21

F5 · kind: The Reporting Person's sale of HPK warrants reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 5,000 shares of common stock, with the following transactions: (i) the Reporting Person's purchase of 188 HPK Warrants at a price of $1.06 per share on August 28, 2020, (ii) the Reporting Person's purchase of 962 HPK warrants at a price of $1.24 per share on August 31, 2020, (iii) the Reporting Person's purchase of 100 HPK Warrants at a price of $1.13 per share on August 31, 2020, and (iv) the Reporting Person's purchase of 3,750 HPK warrants at a weighted average price of $1.18 per share on September 1, 2020. The Reporting Person has agreed to pay the Issuer, upon settlement of the sale, $17,942.84, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs.

SEC source: 0001437749-21-000313 · rdgdoc.xml · derivative · entry 6

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,215,000

Underlying: Common Stock, par value $0.0001 per share · 35,000 shares

Expires 2030-08-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The Reporting Person was granted options pursuant to Rule 16b-3 to purchase a total of 1,250,000 shares on August 24, 2020 (the "date of grant"), vesting in three equal installments: one-third on the date of grant, one-third on the first anniversary of the date of grant, and one-third on the second anniversary of the date of grant.

SEC source: 0001437749-21-000313 · rdgdoc.xml · nonDerivative · entry 3

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,802

F2 · kind: The Reporting Person's sale of common stock of the Issuer reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 3,386 shares of common stock, with the Reporting Person's purchase of 3,386 warrants of the Issuer (the "HPK warrants") at a price of $1.24 per share on August 31, 2020. The Reporting Person has agreed to pay the Issuer, upon settlement of the sale, $12,731.36, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs.

SEC source: 0001437749-21-000313 · rdgdoc.xml · nonDerivative · entry 2

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,802

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.82 to $16.36, inclusive. The Reporting Person undertakes to provide to HighPeak Energy, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares of common stock, par value $0.001 per share of the Issuer ("common stock") sold at each separate price within the ranges set forth in this footnote (1).

SEC source: 0001437749-21-000313 · rdgdoc.xml · nonDerivative · entry 1

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,802

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001437749-22-009152 · rdgdoc.xml · nonDerivative · entry 2

Gustin Michael H. · CIK 0001821852 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Trust

Disclosed balance after: 4,414

F2 · price: The price reported in Column 4 is a weighted average price. These shares of common stock of the Issuer were sold in multiple transactions at prices ranging from $17.83 to $19.97, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares of common stock of the Issuer sold at each separate price within the ranges set forth in this footnote (2) to this Form 4..

SEC source: 0001437749-21-014981 · rdgdoc.xml · nonDerivative · entry 1

Gustin Michael H. · CIK 0001821852 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: This is a reporting of a late-filing of a Form 5 bona fide gift.

F2 · shares: On December 22, 2020, the Reporting Person transferred 12,500 restricted shares of HighPeak Energy, Inc.'s common stock to a family trust of which the Reporting Person and the Reporting Person's wife are trustees. The Reporting Person and members of his immediate family are the sole beneficiaries of the trust.

SEC source: 0001437749-22-009152 · rdgdoc.xml · nonDerivative · entry 1

Gustin Michael H. · CIK 0001821852 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Trust

Disclosed balance after: 16,914

F1 · price: The price reported in Column 4 is a weighted average price. These shares of common stock, par value $0.0001 per share ("common stock") of HighPeak Energy, Inc. (the "Issuer"), were sold in multiple transactions at prices ranging from $12.45 to $14.34, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares of common stock of the Issuer sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.

SEC source: 0001437749-21-014729 · rdgdoc.xml · nonDerivative · entry 1

COVINGTON KEITH · CIK 0001201943 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: This is a reporting of a late-filing of a Form 5 bona fide gift.

F2 · shares: On December 16, 2020, the Reporting Person transferred 12,500 restricted shares of HighPeak Energy, Inc.'s common stock to a family trust of which the Reporting Person and the Reporting Person's wife are trustees. The Reporting Person and members of his immediate family are the sole beneficiaries of the trust

SEC source: 0001437749-20-023047 · rdgdoc.xml · nonDerivative · entry 1

OLDHAM LARRY · CIK 0001246383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

SEC source: 0001437749-20-023050 · rdgdoc.xml · nonDerivative · entry 1

COVINGTON KEITH · CIK 0001201943 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

SEC source: 0001437749-20-023035 · rdgdoc.xml · nonDerivative · entry 1

Chernosky Jay M. · CIK 0001821670 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

SEC source: 0001437749-20-023034 · rdgdoc.xml · nonDerivative · entry 1

Gustin Michael H. · CIK 0001821852 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

SEC source: 0001437749-20-023033 · rdgdoc.xml · nonDerivative · entry 1

Fulgham Sharon F. · CIK 0001821823 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

SEC source: 0001437749-20-019149 · rdgdoc.xml · derivative · entry 3

Hollis Michael L. · CIK 0001559864 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,768

Underlying: Common Stock, par value $0.0001 per share · 3,750 shares

Expires 2025-08-21

F2 · price: The price in column 8 is a weighted average price. The warrants were purchased in multiple transactions at prices ranging from $1.10 to $1.21, inclusive.