Kasparek Leah R.

SEC source: 0001209191-23-011729 · doc4.xml · derivative · entry 3

Kasparek Leah R. · CIK 0001550854 · SVP, HR & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,214

Underlying: Common Stock · 2,214 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: The Reporting Person received an award of restricted stock units ("RSUs") granted on February 21, 2020. Each RSU represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in four equal annual installments beginning February 20, 2021.

F2 · derivative.exercise_date: The Reporting Person received an award of restricted stock units ("RSUs") granted on February 21, 2020. Each RSU represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in four equal annual installments beginning February 20, 2021.

F2 · derivative.expiration_date: The Reporting Person received an award of restricted stock units ("RSUs") granted on February 21, 2020. Each RSU represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in four equal annual installments beginning February 20, 2021.

SEC source: 0001209191-23-011729 · doc4.xml · nonDerivative · entry 2

Kasparek Leah R. · CIK 0001550854 · SVP, HR & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,267

F1 · shares: Shares withheld for taxes owed upon vesting of RSUs.

SEC source: 0001209191-23-011729 · doc4.xml · nonDerivative · entry 1

Kasparek Leah R. · CIK 0001550854 · SVP, HR & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,923

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: 0001209191-22-012287 · doc4.xml · derivative · entry 3

Kasparek Leah R. · CIK 0001550854 · SVP, HR & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,428

Underlying: Common Stock · 2,214 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: The Reporting Person received an award of restricted stock units ("RSUs") granted on February 21, 2020. Each RSU represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in four equal annual installments beginning February 20, 2021.

F2 · derivative.exercise_date: The Reporting Person received an award of restricted stock units ("RSUs") granted on February 21, 2020. Each RSU represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in four equal annual installments beginning February 20, 2021.

F2 · derivative.expiration_date: The Reporting Person received an award of restricted stock units ("RSUs") granted on February 21, 2020. Each RSU represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in four equal annual installments beginning February 20, 2021.

SEC source: 0001209191-22-012287 · doc4.xml · nonDerivative · entry 2

Kasparek Leah R. · CIK 0001550854 · SVP, HR & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,709

F1 · shares: Shares withheld for taxes owed upon vesting of RSUs.

SEC source: 0001209191-22-012287 · doc4.xml · nonDerivative · entry 1

Kasparek Leah R. · CIK 0001550854 · SVP, HR & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,365

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: 0001209191-21-068889 · doc4.xml · nonDerivative · entry 1

Kasparek Leah R. · CIK 0001550854 · SVP, HR & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,151

SEC source: 0001209191-21-013304 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,642

Underlying: Common Stock · 2,213 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: The Reporting Person received an award of restricted stock units ("RSUs") granted on February 21, 2020. Each RSU represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in four equal annual installments beginning February 20, 2021.

F2 · derivative.exercise_date: The Reporting Person received an award of restricted stock units ("RSUs") granted on February 21, 2020. Each RSU represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in four equal annual installments beginning February 20, 2021.

F2 · derivative.expiration_date: The Reporting Person received an award of restricted stock units ("RSUs") granted on February 21, 2020. Each RSU represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in four equal annual installments beginning February 20, 2021.

SEC source: 0001209191-21-013304 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,153

F1 · shares: Shares withheld for taxes owed upon vesting of RSUs.

SEC source: 0001209191-21-013304 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,690

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: 0001209191-21-000503 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 477

SEC source: 0001209191-20-011521 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,709

Underlying: Common Stock · 17,709 shares

Expires not disclosed

F8 · derivative.exercise_price: The Reporting Person received an award of restricted stock units ("RSUs") granted on the first full day of trading of the New Shares following the Effective Date. Each RSU represents a contingent right to receive one share of Issuer's common stock, subject to a decrease to zero based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer companies over the four-year period ending on February 20, 2024 (the "Performance Period".) The RSUs vest at the end of the Performance Period.

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.

F8 · derivative.exercise_date: The Reporting Person received an award of restricted stock units ("RSUs") granted on the first full day of trading of the New Shares following the Effective Date. Each RSU represents a contingent right to receive one share of Issuer's common stock, subject to a decrease to zero based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer companies over the four-year period ending on February 20, 2024 (the "Performance Period".) The RSUs vest at the end of the Performance Period.

F8 · derivative.expiration_date: The Reporting Person received an award of restricted stock units ("RSUs") granted on the first full day of trading of the New Shares following the Effective Date. Each RSU represents a contingent right to receive one share of Issuer's common stock, subject to a decrease to zero based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer companies over the four-year period ending on February 20, 2024 (the "Performance Period".) The RSUs vest at the end of the Performance Period.

SEC source: 0001209191-20-011521 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,855

Underlying: Common Stock · 8,855 shares

Expires not disclosed

F7 · derivative.exercise_price: The Reporting Person received an award of restricted stock units ("RSUs") granted on the first full day of trading of the New Shares following the Effective Date. Each RSU represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in full only upon the achievement of certain business combination goals.

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.

F7 · derivative.exercise_date: The Reporting Person received an award of restricted stock units ("RSUs") granted on the first full day of trading of the New Shares following the Effective Date. Each RSU represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in full only upon the achievement of certain business combination goals.

F7 · derivative.expiration_date: The Reporting Person received an award of restricted stock units ("RSUs") granted on the first full day of trading of the New Shares following the Effective Date. Each RSU represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in full only upon the achievement of certain business combination goals.

SEC source: 0001209191-20-011521 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,855

Underlying: Common Stock · 8,855 shares

Expires not disclosed

F6 · derivative.exercise_price: The Reporting Person received an award of restricted stock units ("RSUs") granted on the first full day of trading of the New Shares following the Effective Date. Each RSU represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in four equal annual installments beginning February 20, 2021.

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.

F6 · derivative.exercise_date: The Reporting Person received an award of restricted stock units ("RSUs") granted on the first full day of trading of the New Shares following the Effective Date. Each RSU represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in four equal annual installments beginning February 20, 2021.

F6 · derivative.expiration_date: The Reporting Person received an award of restricted stock units ("RSUs") granted on the first full day of trading of the New Shares following the Effective Date. Each RSU represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in four equal annual installments beginning February 20, 2021.

SEC source: 0001209191-20-011521 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,855

Underlying: Common Stock · 8,855 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.

F5 · 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 $670.0 million divided by the number of shares outstanding. The Options vest in four equal annual installments beginning February 20, 2021.

SEC source: 0001209191-20-011521 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,855

Underlying: Common Stock · 8,855 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: 0001209191-20-011521 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,855

Underlying: Common Stock · 8,855 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: 0001209191-19-052986 · 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: 0001209191-19-052588 · 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: 0001209191-19-019797 · 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: 0001209191-19-017068 · 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: 0001209191-18-059536 · 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: 0001209191-18-016820 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,300

Underlying: Common Stock · 52,300 shares

Expires 2028-03-01

F2 · derivative.exercise_date: The option vests in three equal annual installments beginning March 1, 2019.

SEC source: 0001209191-18-016820 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,380

F1 · price: The restricted stock award vests in three equal annual installments beginning March 1, 2019.

SEC source: 0001209191-17-053093 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,190

F2 · kind: Represents shares withheld to satisfy withholding taxes applicable upon vesting of the April 11, 2017 restricted stock grant.

SEC source: 0001209191-17-053093 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,608

F1 · kind: Represents shares withheld to satisfy withholding taxes applicable upon vesting of the September 12, 2016 restricted stock grant.

SEC source: 0001209191-17-026938 · doc4.xml · derivative · entry 2

Kasparek Leah R. · CIK 0001550854 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-04-11

F2 · derivative.exercise_date: Pursuant to that certain Joint Prepackaged Chapter 11 Plan Under Chapter 11 of the Bankruptcy Code, dated as of September 2, 2016 (the "Plan") which became effective pursuant to its terms on September 9, 2016, the Reporting Person received stock options granted in accordance with the terms of the Plan. The stock options will vest fully in three equal annual installments beginning on April 11, 2018.

SEC source: 0001209191-17-026938 · doc4.xml · nonDerivative · entry 1

Kasparek Leah R. · CIK 0001550854 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,736

F1 · price: Pursuant to the certain Joint Prepackaged Chapter 11 Plan Under Chapter 11 of the Bankruptcy Code, dated as of September 2, 2016 (the "Plan") which became effective pursuant to its terms on September 9, 2016, the Reporting Person received an award of restricted stock in accordance with the terms of the Plan. The restricted stock award will vest fully in one installment on September 12, 2017.

SEC source: 0001209191-16-151519 · doc4.xml · derivative · entry 2

Kasparek Leah R. · CIK 0001550854 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172

Underlying: Common Stock · 172 shares

Expires 2020-09-09

F1 · kind: Pro rata distribution from Mwewe Partners LLC.

SEC source: 0001209191-16-151519 · doc4.xml · nonDerivative · entry 1

Kasparek Leah R. · CIK 0001550854 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,236

F1 · kind: Pro rata distribution from Mwewe Partners LLC.

SEC source: 0001209191-16-141282 · doc4.xml · derivative · entry 4

Kasparek Leah R. · CIK 0001550854 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2026-09-12

F4 · derivative.exercise_price: In accordance with the Plan approved by the Bankruptcy Court, 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 the greater of (1) the per share value based on an Issuer equity value of $650.0 million or (2) the weighted average trading price of the New Shares for the seven (7) trading days commencing on the first trading day immediately following the Effective Date (assuming the New Shares are then publicly traded). The Options will vest over 3 years in equal annual installments provided the Reporting Person remains employed by the Issuer as of the respective annual vesting dates.

F4 · shares: In accordance with the Plan approved by the Bankruptcy Court, 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 the greater of (1) the per share value based on an Issuer equity value of $650.0 million or (2) the weighted average trading price of the New Shares for the seven (7) trading days commencing on the first trading day immediately following the Effective Date (assuming the New Shares are then publicly traded). The Options will vest over 3 years in equal annual installments provided the Reporting Person remains employed by the Issuer as of the respective annual vesting dates.

F4 · price: In accordance with the Plan approved by the Bankruptcy Court, 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 the greater of (1) the per share value based on an Issuer equity value of $650.0 million or (2) the weighted average trading price of the New Shares for the seven (7) trading days commencing on the first trading day immediately following the Effective Date (assuming the New Shares are then publicly traded). The Options will vest over 3 years in equal annual installments provided the Reporting Person remains employed by the Issuer as of the respective annual vesting dates.

F4 · derivative.exercise_date: In accordance with the Plan approved by the Bankruptcy Court, 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 the greater of (1) the per share value based on an Issuer equity value of $650.0 million or (2) the weighted average trading price of the New Shares for the seven (7) trading days commencing on the first trading day immediately following the Effective Date (assuming the New Shares are then publicly traded). The Options will vest over 3 years in equal annual installments provided the Reporting Person remains employed by the Issuer as of the respective annual vesting dates.

SEC source: 0001209191-16-141282 · doc4.xml · nonDerivative · entry 3

Kasparek Leah R. · CIK 0001550854 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,581

F3 · kind: In accordance with the Plan approved by the Bankruptcy Court, the Reporting Person received an award of restricted stock, 50% of which will vest on the grant date being the first full day of trading of the New Shares following the Effective Date. The remaining 50% will vest on the first anniversary of the grant date, provided the Reporting Person remains employed by the Issuer as of such vesting date.

F3 · shares: In accordance with the Plan approved by the Bankruptcy Court, the Reporting Person received an award of restricted stock, 50% of which will vest on the grant date being the first full day of trading of the New Shares following the Effective Date. The remaining 50% will vest on the first anniversary of the grant date, provided the Reporting Person remains employed by the Issuer as of such vesting date.

F3 · price: In accordance with the Plan approved by the Bankruptcy Court, the Reporting Person received an award of restricted stock, 50% of which will vest on the grant date being the first full day of trading of the New Shares following the Effective Date. The remaining 50% will vest on the first anniversary of the grant date, provided the Reporting Person remains employed by the Issuer as of such vesting date.

SEC source: 0001209191-16-141282 · doc4.xml · nonDerivative · entry 2

Kasparek Leah R. · CIK 0001550854 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,081

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 every 34 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.

F2 · shares: 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 every 34 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.

F2 · price: 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 every 34 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: 0001209191-16-142457 · doc4a.xml · derivative · entry 2

Kasparek Leah R. · CIK 0001550854 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2026-09-12

F1 · derivative.exercise_price: In accordance with the Plan approved by the Bankruptcy Court, the exercise price of the Options on was determined after the market closed on September 20, 2016. All other details of the Option grant were reported to the Securities and Exchange Commission on September 13, 2016.

F1 · price: In accordance with the Plan approved by the Bankruptcy Court, the exercise price of the Options on was determined after the market closed on September 20, 2016. All other details of the Option grant were reported to the Securities and Exchange Commission on September 13, 2016.

F2 · derivative.exercise_date: The option vests in three equal annual installments beginning September 12, 2017.

SEC source: 0001209191-16-141282 · doc4.xml · nonDerivative · entry 1

Kasparek Leah R. · CIK 0001550854 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On July 27, 2016, the Issuer and certain of its subsidiaries (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 District of Delaware (the "Bankruptcy Court"). On September 8, 2016, the Bankruptcy Court entered an order confirming the Debtors' Amended Joint Prepackaged Chapter 11 Plan Under Chapter 11 of the Bankruptcy Code, dated as of September 2, 2016 (the "Plan") and on September 9, 2016 (the "Effective Date"), the Plan became effective pursuant to 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.

F1 · shares: On July 27, 2016, the Issuer and certain of its subsidiaries (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 District of Delaware (the "Bankruptcy Court"). On September 8, 2016, the Bankruptcy Court entered an order confirming the Debtors' Amended Joint Prepackaged Chapter 11 Plan Under Chapter 11 of the Bankruptcy Code, dated as of September 2, 2016 (the "Plan") and on September 9, 2016 (the "Effective Date"), the Plan became effective pursuant to 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.

F1 · price: On July 27, 2016, the Issuer and certain of its subsidiaries (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 District of Delaware (the "Bankruptcy Court"). On September 8, 2016, the Bankruptcy Court entered an order confirming the Debtors' Amended Joint Prepackaged Chapter 11 Plan Under Chapter 11 of the Bankruptcy Code, dated as of September 2, 2016 (the "Plan") and on September 9, 2016 (the "Effective Date"), the Plan became effective pursuant to 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.