organization · Reporting owner
Wilks Brothers, LLC
Disclosed activity across 3 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Approach Resources IncAREX · Entity 152620 | 10% owner · See Remarks | January 12, 2018 | January 12, 2018 |
| CARBO CERAMICS INCCRR · Entity 148009 | 10% owner · See Remarks | June 11, 2018 | June 28, 2018 |
| DAWSON GEOPHYSICAL CODWSN · Entity 6724 | Director · 10% owner | September 13, 2023 | October 30, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Approach Resources Inc
Report date January 12, 2018 · Filed January 12, 2018
Jointly reported with Wilks Dan H., Wilks Staci, Wilks Farris, SDW Investments, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 37,799,413 |
Reported balance
After 2018-01-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-01-12 · Purchase · Acquired 200,000 · Balance 37,799,413 F1: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017. F2: See Remarks. F3: These shares are owned directly by Wilks Brothers, LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.
F2: See Remarks.
F3: These shares are owned directly by Wilks Brothers, LLC.
CARBO CERAMICS INC
Report date June 11, 2018 · Filed June 28, 2018
Jointly reported with Wilks Dan H., Wilks Staci, Wilks Farris
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Put Option (obligation to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.00 · Expires 2018-06-15 | Direct | 0 |
Reported balance
After 2018-06-11 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-06-11 · Purchase · Acquired 700 · Balance 0 F1: The Reporting Person bought-to-close 6,275 put options referencing 627,500 shares of Common Stock. |
| Put Option (obligation to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.00 · Expires 2018-06-15 | Direct | 0 |
Reported balance
After 2018-06-12 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-06-12 · Purchase · Acquired 1,060 · Balance 0 F1: The Reporting Person bought-to-close 6,275 put options referencing 627,500 shares of Common Stock. |
| Put Option (obligation to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.00 · Expires 2018-06-15 | Direct | 0 |
Reported balance
After 2018-06-13 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-06-13 · Purchase · Acquired 585 · Balance 0 F1: The Reporting Person bought-to-close 6,275 put options referencing 627,500 shares of Common Stock. |
| Put Option (obligation to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.00 · Expires 2018-06-15 | Direct | 0 |
Reported balance
After 2018-06-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-06-14 · Purchase · Acquired 3,930 · Balance 0 F1: The Reporting Person bought-to-close 6,275 put options referencing 627,500 shares of Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person bought-to-close 6,275 put options referencing 627,500 shares of Common Stock.
DAWSON GEOPHYSICAL CO
Report date September 13, 2023 · Filed October 30, 2023
Jointly reported with WB Acquisitions Inc., Wilks Dan H., Wilks Staci, Wilks Farris, Krylov Sergei, Wilks Matthew
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A common stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnote | 24,609,095 |
Reported balance
After 2023-09-13 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-09-13 · Conversion · Acquired 5,811,765 · Balance 24,609,095 F1: On September 13, 2023, Dawson Geophysical Company ("Dawson") held a virtual special meeting of its stockholders. At the Special Meeting, Dawson's stockholders voted and approved the issuance of 5,811,765 shares of Common Stock of Issuer to Wilks Brothers, LLC ("Wilks Brothers") upon conversion of $9,880,000.50 in principal amount of the Convertible Note dated March 24, 2023 between Dawson and Wilks at a conversion price of $1.70 per share. Upon such approval, the Convertible Note automatically converted in full into the Conversion Shares upon such approval. F2: Consists of (i) 9,111,736 directly owned by Wilks, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions, and (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks. F3: Wilks Brothers is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is an affiliate of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers; Dan H. Wilks and Staci Wilks are husband and wife and share the same household; Matthew D. Wilks is the Director of the Issuer and VP - Investments of Wilks Brothers; and Sergei Krylov, is the Director of the Issuer and Chief Financial Officer of Wilks Brothers. Matthew D. Wilks and Sergei Krylov were each inadvertently excluded in prior filings and have been added as Reporting Persons. Each of the foregoing are reporting persons on a Schedule 13D/A (as amended from time to time, the "13D") filed with the SEC on June 29, 2023 (such Reporting Persons on the 13D, collectively, the "13D Group") and may be deemed to beneficially own the shares of the Issuer's Common Stock owned by other members of the 13D Group. (Continued in footnote 4) F4: (Continued from footnote 3) Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. |
| Convertible Note (convertible into Common Stock)SEC Table II · derivative / convertible security · Conversion / exercise price $1.70 · Expires 2024-06-30 | IndirectSee Footnote | 24,609,095 |
Reported balance
After 2023-09-13 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-09-13 · Conversion · Disposed 5,811,765 · Balance 24,609,095 F1: On September 13, 2023, Dawson Geophysical Company ("Dawson") held a virtual special meeting of its stockholders. At the Special Meeting, Dawson's stockholders voted and approved the issuance of 5,811,765 shares of Common Stock of Issuer to Wilks Brothers, LLC ("Wilks Brothers") upon conversion of $9,880,000.50 in principal amount of the Convertible Note dated March 24, 2023 between Dawson and Wilks at a conversion price of $1.70 per share. Upon such approval, the Convertible Note automatically converted in full into the Conversion Shares upon such approval. F2: Consists of (i) 9,111,736 directly owned by Wilks, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions, and (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks. F3: Wilks Brothers is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is an affiliate of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers; Dan H. Wilks and Staci Wilks are husband and wife and share the same household; Matthew D. Wilks is the Director of the Issuer and VP - Investments of Wilks Brothers; and Sergei Krylov, is the Director of the Issuer and Chief Financial Officer of Wilks Brothers. Matthew D. Wilks and Sergei Krylov were each inadvertently excluded in prior filings and have been added as Reporting Persons. Each of the foregoing are reporting persons on a Schedule 13D/A (as amended from time to time, the "13D") filed with the SEC on June 29, 2023 (such Reporting Persons on the 13D, collectively, the "13D Group") and may be deemed to beneficially own the shares of the Issuer's Common Stock owned by other members of the 13D Group. (Continued in footnote 4) F4: (Continued from footnote 3) Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: On September 13, 2023, Dawson Geophysical Company ("Dawson") held a virtual special meeting of its stockholders. At the Special Meeting, Dawson's stockholders voted and approved the issuance of 5,811,765 shares of Common Stock of Issuer to Wilks Brothers, LLC ("Wilks Brothers") upon conversion of $9,880,000.50 in principal amount of the Convertible Note dated March 24, 2023 between Dawson and Wilks at a conversion price of $1.70 per share. Upon such approval, the Convertible Note automatically converted in full into the Conversion Shares upon such approval.
F2: Consists of (i) 9,111,736 directly owned by Wilks, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions, and (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks.
F3: Wilks Brothers is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is an affiliate of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers; Dan H. Wilks and Staci Wilks are husband and wife and share the same household; Matthew D. Wilks is the Director of the Issuer and VP - Investments of Wilks Brothers; and Sergei Krylov, is the Director of the Issuer and Chief Financial Officer of Wilks Brothers. Matthew D. Wilks and Sergei Krylov were each inadvertently excluded in prior filings and have been added as Reporting Persons. Each of the foregoing are reporting persons on a Schedule 13D/A (as amended from time to time, the "13D") filed with the SEC on June 29, 2023 (such Reporting Persons on the 13D, collectively, the "13D Group") and may be deemed to beneficially own the shares of the Issuer's Common Stock owned by other members of the 13D Group. (Continued in footnote 4)
F4: (Continued from footnote 3) Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 09, 2017 Filed Jun 13, 2017 19:34 UTC | Approach Resources Inc AREX · Entity 152620 | PurchaseCommon Stock | 200,000 | $2.70 | $540,800.00 |
DisclosureSEC source: 0000899243-17-016298 · doc4.xml · nonDerivative · entry 1 Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner Wilks Staci · CIK 0001641796 · 10% owner Wilks Farris · CIK 0001641794 · 10% owner SDW Investments, LLC · CIK 0001589906 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,951,300 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017. F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC. F3 · ownership.direct: See Remarks Read SEC document |
| June 08, 2017 Filed Jun 8, 2017 20:11 UTC | Approach Resources Inc AREX · Entity 152620 | PurchaseCommon Stock | 100,000 | $2.63 | $263,080.00 |
DisclosureSEC source: 0000899243-17-015837 · doc4.xml · nonDerivative · entry 3 Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner · See Remarks Wilks Staci · CIK 0001641796 · 10% owner · See Remarks Wilks Farris · CIK 0001641794 · 10% owner · See Remarks SDW Investments, LLC · CIK 0001589906 · 10% owner · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,751,300 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017. F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC. F3 · ownership.direct: See Remarks. Read SEC document |
| June 07, 2017 Filed Jun 8, 2017 20:11 UTC | Approach Resources Inc AREX · Entity 152620 | PurchaseCommon Stock | 100,000 | $2.71 | $271,070.00 |
DisclosureSEC source: 0000899243-17-015837 · doc4.xml · nonDerivative · entry 2 Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner · See Remarks Wilks Staci · CIK 0001641796 · 10% owner · See Remarks Wilks Farris · CIK 0001641794 · 10% owner · See Remarks SDW Investments, LLC · CIK 0001589906 · 10% owner · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,651,300 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017. F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC. F3 · ownership.direct: See Remarks. Read SEC document |
| June 06, 2017 Filed Jun 8, 2017 20:11 UTC | Approach Resources Inc AREX · Entity 152620 | PurchaseCommon Stock | 100,000 | $2.76 | $276,360.00 |
DisclosureSEC source: 0000899243-17-015837 · doc4.xml · nonDerivative · entry 1 Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner · See Remarks Wilks Staci · CIK 0001641796 · 10% owner · See Remarks Wilks Farris · CIK 0001641794 · 10% owner · See Remarks SDW Investments, LLC · CIK 0001589906 · 10% owner · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,551,300 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017. F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC. F3 · ownership.direct: See Remarks. Read SEC document |
| June 02, 2017 Filed Jun 2, 2017 19:16 UTC | Approach Resources Inc AREX · Entity 152620 | PurchaseCommon Stock | 100,000 | $2.61 | $260,510.00 |
DisclosureSEC source: 0000899243-17-015217 · doc4.xml · nonDerivative · entry 2 Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner · See Remarks Wilks Staci · CIK 0001641796 · 10% owner · See Remarks Wilks Farris · CIK 0001641794 · 10% owner · See Remarks SDW Investments, LLC · CIK 0001589906 · 10% owner · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,451,300 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017. F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC. F3 · ownership.direct: See Remarks. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 19:16 UTC | Approach Resources Inc AREX · Entity 152620 | PurchaseCommon Stock | 100,000 | $2.62 | $262,130.00 |
DisclosureSEC source: 0000899243-17-015217 · doc4.xml · nonDerivative · entry 1 Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner · See Remarks Wilks Staci · CIK 0001641796 · 10% owner · See Remarks Wilks Farris · CIK 0001641794 · 10% owner · See Remarks SDW Investments, LLC · CIK 0001589906 · 10% owner · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,351,300 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017. F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC. F3 · ownership.direct: See Remarks. Read SEC document |
| May 31, 2017 Filed Dec 29, 2017 21:30 UTC | CARBO CERAMICS INC CRR · Entity 148009 | PurchasePut Option (obligation to buy) · Derivative | 6,275 | $6.49 Strike: $14.00 | $40,724.75 |
DisclosureSEC source: 0000899243-17-029748 · doc4.xml · derivative · entry 7 Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner Wilks Staci · CIK 0001641796 · 10% owner Wilks Farris · CIK 0001641794 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,275 Underlying: Common Stock · 627,500 shares Expires 2017-06-15 Read SEC document |
| May 31, 2017 Filed Dec 29, 2017 21:30 UTC | CARBO CERAMICS INC CRR · Entity 148009 | SalePut Option (obligation to buy) · Derivative | 6,275 | $5.42 Strike: $13.00 | $34,010.50 |
DisclosureSEC source: 0000899243-17-029748 · doc4.xml · derivative · entry 6 Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner Wilks Staci · CIK 0001641796 · 10% owner Wilks Farris · CIK 0001641794 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,275 Underlying: Common Stock · 627,500 shares Expires 2017-12-15 Read SEC document |
| May 30, 2017 Filed Jun 1, 2017 19:17 UTC | Approach Resources Inc AREX · Entity 152620 | PurchaseCommon Stock | 100,000 | $2.70 | $270,400.00 |
DisclosureSEC source: 0000899243-17-015018 · doc4.xml · nonDerivative · entry 1 Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner · See Remarks Wilks Staci · CIK 0001641796 · 10% owner · See Remarks Wilks Farris · CIK 0001641794 · 10% owner · See Remarks SDW Investments, LLC · CIK 0001589906 · 10% owner · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,251,300 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017. F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC. F3 · ownership.direct: See Remarks. Read SEC document |
| May 25, 2017 Filed May 26, 2017 17:16 UTC | Approach Resources Inc AREX · Entity 152620 | PurchaseCommon Stock | 200,000 | $2.67 | $533,340.00 |
DisclosureSEC source: 0000899243-17-014591 · doc4.xml · nonDerivative · entry 3 Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner Wilks Staci · CIK 0001641796 · 10% owner Wilks Farris · CIK 0001641794 · 10% owner SDW Investments, LLC · CIK 0001589906 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,151,300 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017. F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC. F3 · ownership.direct: See Remarks. Read SEC document |
| May 24, 2017 Filed May 26, 2017 17:16 UTC | Approach Resources Inc AREX · Entity 152620 | PurchaseCommon Stock | 100,000 | $2.90 | $290,360.00 |
DisclosureSEC source: 0000899243-17-014591 · doc4.xml · nonDerivative · entry 2 Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner Wilks Staci · CIK 0001641796 · 10% owner Wilks Farris · CIK 0001641794 · 10% owner SDW Investments, LLC · CIK 0001589906 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,951,300 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017. F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC. F3 · ownership.direct: See Remarks. Read SEC document |
| May 22, 2017 Filed May 26, 2017 17:16 UTC | Approach Resources Inc AREX · Entity 152620 | PurchaseCommon Stock | 75,000 | $2.98 | $223,215.00 |
DisclosureSEC source: 0000899243-17-014591 · doc4.xml · nonDerivative · entry 1 Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner Wilks Staci · CIK 0001641796 · 10% owner Wilks Farris · CIK 0001641794 · 10% owner SDW Investments, LLC · CIK 0001589906 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,851,000 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017. F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC. F3 · ownership.direct: See Remarks. Read SEC document |
| May 19, 2017 Filed May 22, 2017 16:53 UTC | CARBO CERAMICS INC CRR · Entity 148009 | OtherWarrant · Derivative | 251,608 | Not disclosed Strike: $14.91 | Not disclosed |
DisclosureSEC source: 0000899243-17-014059 · doc4.xml · derivative · entry 1 Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner Wilks Staci · CIK 0001641796 · 10% owner Wilks Farris · CIK 0001641794 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 523,022 Underlying: Common Stock · 251,608 shares Expires 2022-12-31 F1 · price: The Warrant is owned directly by Wilks Brothers, LLC. On March 2, 2017, in connection with entry into a credit agreement, the Issuer issued a Warrant (the "Warrant") to Wilks Brothers, LLC. Subject to the terms of the Warrant, the Warrant entitles the holder thereof to purchase up to 523,022 shares of the Common Stock, at an exercise price of $14.91 per share, payable in cash. Until receipt of stockholder approval, the holder of the Warrant shall not be entitled to exercise the Warrant to the extent that the number of shares of Common Stock to be purchased upon such exercise, plus the number of shares of Common Stock purchased on any prior exercise of the Warrant, exceeds 271,414 shares of Common Stock. On May 19, 2017, the Issuer announced it obtained the stockholder approval at a meeting of its stockholders held on May 16, 2017. F1 · derivative.exercise_date: The Warrant is owned directly by Wilks Brothers, LLC. On March 2, 2017, in connection with entry into a credit agreement, the Issuer issued a Warrant (the "Warrant") to Wilks Brothers, LLC. Subject to the terms of the Warrant, the Warrant entitles the holder thereof to purchase up to 523,022 shares of the Common Stock, at an exercise price of $14.91 per share, payable in cash. Until receipt of stockholder approval, the holder of the Warrant shall not be entitled to exercise the Warrant to the extent that the number of shares of Common Stock to be purchased upon such exercise, plus the number of shares of Common Stock purchased on any prior exercise of the Warrant, exceeds 271,414 shares of Common Stock. On May 19, 2017, the Issuer announced it obtained the stockholder approval at a meeting of its stockholders held on May 16, 2017. Read SEC document |
| May 19, 2017 Filed May 22, 2017 16:05 UTC | Approach Resources Inc AREX · Entity 152620 | PurchaseCommon Stock | 75,000 | $2.92 | $219,127.50 |
DisclosureSEC source: 0000899243-17-014031 · doc4.xml · nonDerivative · entry 2 Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner Wilks Staci · CIK 0001641796 · 10% owner Wilks Farris · CIK 0001641794 · 10% owner SDW Investments, LLC · CIK 0001589906 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,776,300 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017. F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC. F3 · ownership.direct: See Remarks. Read SEC document |
| May 18, 2017 Filed May 22, 2017 16:05 UTC | Approach Resources Inc AREX · Entity 152620 | PurchaseCommon Stock | 75,000 | $2.85 | $213,652.50 |
DisclosureSEC source: 0000899243-17-014031 · doc4.xml · nonDerivative · entry 1 Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner Wilks Staci · CIK 0001641796 · 10% owner Wilks Farris · CIK 0001641794 · 10% owner SDW Investments, LLC · CIK 0001589906 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,701,300 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017. F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC. F3 · ownership.direct: See Remarks. Read SEC document |
| May 16, 2017 Filed May 17, 2017 19:47 UTC | Approach Resources Inc AREX · Entity 152620 | PurchaseCommon Stock | 150,000 | $3.03 | $454,890.00 |
DisclosureSEC source: 0000899243-17-013596 · doc4.xml · nonDerivative · entry 1 Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner Wilks Staci · CIK 0001641796 · 10% owner Wilks Farris · CIK 0001641794 · 10% owner SDW Investments, LLC · CIK 0001589906 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,626,300 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers LLC on May 5, 2017. F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC F3 · ownership.direct: See Remarks. Read SEC document |
| May 15, 2017 Filed May 15, 2017 21:37 UTC | Approach Resources Inc AREX · Entity 152620 | PurchaseCommon Stock | 100,000 | $3.02 | $301,560.00 |
DisclosureSEC source: 0000899243-17-013264 · doc4.xml · nonDerivative · entry 2 Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner Wilks Staci · CIK 0001641796 · 10% owner Wilks Farris · CIK 0001641794 · 10% owner SDW Investments, LLC · CIK 0001589906 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,476,300 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers LLC on May 5, 2017. F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC. F3 · ownership.direct: See Remarks Read SEC document |
| May 12, 2017 Filed May 15, 2017 21:37 UTC | Approach Resources Inc AREX · Entity 152620 | PurchaseCommon Stock | 50,000 | $2.89 | $144,430.00 |
DisclosureSEC source: 0000899243-17-013264 · doc4.xml · nonDerivative · entry 1 Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner Wilks Staci · CIK 0001641796 · 10% owner Wilks Farris · CIK 0001641794 · 10% owner SDW Investments, LLC · CIK 0001589906 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,376,300 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers LLC on May 5, 2017. F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC. F3 · ownership.direct: See Remarks Read SEC document |
| May 10, 2017 Filed May 11, 2017 20:52 UTC | Approach Resources Inc AREX · Entity 152620 | PurchaseCommon Stock | 100,000 | $2.97 | $296,710.00 |
DisclosureSEC source: 0000899243-17-012939 · doc4.xml · nonDerivative · entry 2 Wilks Brothers, LLC · CIK 0001662888 · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner Wilks Staci · CIK 0001641796 · 10% owner Wilks Farris · CIK 0001641794 · 10% owner SDW Investments, LLC · CIK 0001589906 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,326,300 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers LLC on May 9, 2017. F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC. F3 · ownership.direct: See Remarks. Read SEC document |
| May 09, 2017 Filed May 11, 2017 20:52 UTC | Approach Resources Inc AREX · Entity 152620 | PurchaseCommon Stock | 100,000 | $2.65 | $265,330.00 |
DisclosureSEC source: 0000899243-17-012939 · doc4.xml · nonDerivative · entry 1 Wilks Brothers, LLC · CIK 0001662888 · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner Wilks Staci · CIK 0001641796 · 10% owner Wilks Farris · CIK 0001641794 · 10% owner SDW Investments, LLC · CIK 0001589906 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,226,300 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers LLC on May 9, 2017. F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC. F3 · ownership.direct: See Remarks. Read SEC document |
| December 06, 2016 Filed May 22, 2017 16:53 UTC | CARBO CERAMICS INC CRR · Entity 148009 | OtherPut Option (obligation to buy) · Derivative | 6,275 | Not disclosed Strike: $14.00 | Not disclosed |
DisclosureSEC source: 0000899243-17-014059 · doc4.xml · derivative · entry 2 Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks Wilks Dan H. · CIK 0001641792 · 10% owner Wilks Staci · CIK 0001641796 · 10% owner Wilks Farris · CIK 0001641794 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,275 Underlying: Common Stock · 627,500 shares Expires 2017-06-16 F2 · price: On December 6, 2016, Wilks Brothers sold short 6,325 over the counter market American-style put options referencing 632,500 shares of Common Stock, which have a strike price of $14.00 and expire on June 16, 2017. On April 27, 2017, 4,600 shares were put to Wilks Brothers, LLC. On May 1, 2017 an additional 400 shares were put to Wilks Brothers, LLC. F2 · derivative.exercise_date: On December 6, 2016, Wilks Brothers sold short 6,325 over the counter market American-style put options referencing 632,500 shares of Common Stock, which have a strike price of $14.00 and expire on June 16, 2017. On April 27, 2017, 4,600 shares were put to Wilks Brothers, LLC. On May 1, 2017 an additional 400 shares were put to Wilks Brothers, LLC. F2 · balance_after: On December 6, 2016, Wilks Brothers sold short 6,325 over the counter market American-style put options referencing 632,500 shares of Common Stock, which have a strike price of $14.00 and expire on June 16, 2017. On April 27, 2017, 4,600 shares were put to Wilks Brothers, LLC. On May 1, 2017 an additional 400 shares were put to Wilks Brothers, LLC. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.