person · Reporting owner

Ares Holdings Inc.

Disclosed activity across 9 companies

Tapewire entity: 140802
SEC CIK: 0001620317

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
AZEK Co Inc.AZEK · Entity 77750	10% owner	January 26, 2021	January 27, 2021
BATTALION OIL CORPHKRSQ · Entity 6921	Director · 10% owner	August 23, 2019	August 27, 2019
California Resources CorpCRC · Entity 3937	10% owner	October 27, 2020	November 07, 2020
Gastar Exploration Inc.GST · Entity 161347	Director · 10% owner	January 30, 2018	February 02, 2018
Infrastructure & Energy Alternatives, Inc.IEA · Entity 123160	Director · 10% owner	March 26, 2021	March 31, 2021

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.

AZEK Co Inc.

Report date January 26, 2021 · Filed January 27, 2021

Jointly reported with Ares Corporate Opportunities Fund IV, L.P., ACOF Operating Manager IV, LLC, ARES MANAGEMENT LLC, Ares Management Holdings L.P., Ares Holdco LLC, Ares Management Corp, Ares Voting LLC, Ares Management GP LLC, Ares Partners Holdco LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A Common StockSEC Table I · non-derivative	Direct	27,721,090	Reported balance After 2021-01-26 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2021-01-26 · Sale · Disposed 11,500,000 · Balance 27,721,090 F1: The manager of Ares Corporate Opportunities Fund IV, L.P. ("ACOF IV") is ACOF Operating Manager IV, LLC ("ACOF Operating Manager IV"), and the sole member of ACOF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management Corporation ("Ares Management"). Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 2) F2: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. (Continued in footnote 3) F3: Each of the Reporting Persons, other than ACOF IV, and the Board Members, and the other directors, officers, partners, equity holders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Class A Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: The manager of Ares Corporate Opportunities Fund IV, L.P. ("ACOF IV") is ACOF Operating Manager IV, LLC ("ACOF Operating Manager IV"), and the sole member of ACOF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management Corporation ("Ares Management"). Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 2)

F2: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners") (collectively, the "Reporting Persons"). Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over Board Members' decisions. (Continued in footnote 3)

F3: Each of the Reporting Persons, other than ACOF IV, and the Board Members, and the other directors, officers, partners, equity holders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Class A Common Stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes.

BATTALION OIL CORP

Report date August 23, 2019 · Filed August 27, 2019

Jointly reported with ARES MANAGEMENT LLC, Ares Management Holdings L.P., Ares Holdco LLC, Ares Management Corp, Ares Management GP LLC, Ares Voting LLC, Ares Partners Holdco LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $0.0001 par valueSEC Table I · non-derivative	IndirectSee footnotes	15,335,346	Reported balance After 2019-08-23 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2019-08-23 · Sale · Disposed 1,080,862 · Balance 15,335,346 F1: The amount reported reflects an aggregate of 1,080,862 shares of the Issuer's Common Stock, $0.0001 par value ("Common Stock") sold in open market transactions on August 23, 2019 by the following entities in the following amounts: 292,562 shares by AF IV Energy II AIV B1, L.P., 46,436 shares by AF IV Energy II AIV A1, L.P., 69,646 shares by AF IV Energy II AIV A2, L.P., 29,405 shares by AF IV Energy II AIV A3, L.P., 30,068 shares by AF IV Energy II AIV A4, L.P., 38,537 shares by AF IV Energy II AIV A5, L.P., 30,179 shares by AF IV Energy II AIV A6, L.P., 15,479 shares by AF IV Energy II AIV A7, L.P., 30,028 shares by AF IV Energy II AIV A8, L.P., 31,126 shares by AF IV Energy II AIV A9, L.P., (continued in footnote 2) F2: 46,436 shares by AF IV Energy II AIV A10, L.P., 17,410 shares by AF IV Energy II AIV A11, L.P., 30,950 shares by AF IV Energy II AIV A12, L.P., 13,314 shares by SSF III Halcon AIV B1, L.P., 57,058 shares by SSF III Halcon AIV 1, L.P., 8,560 shares by SSF III Halcon AIV 2, L.P., 16,358 shares by SSF III Halcon AIV 3, L.P., 98,295 shares by SSF IV Halcon AIV B1, L.P., 4,574 shares by SSF IV Halcon AIV 1, L.P., 33,708 shares by SSF IV Halcon AIV 2, L.P., 36,608 shares by SSF IV Halcon AIV 3, L.P., 9,154 shares by SSF IV Halcon AIV 4, L.P., 20,192 shares by SSF IV Halcon AIV 5, L.P., 33,963 shares by SSF IV Halcon AIV 6, L.P. and 40,816 shares by SSF IV Halcon AIV 7, L.P. F3: The amount reported reflects an aggregate of 15,335,346 shares of Common Stock held on August 27, 2019 by the following entities in the following amounts: 4,150,877 shares by AF IV Energy II AIV B1, L.P., 658,831 shares by AF IV Energy II AIV A1, L.P., 988,147 shares by AF IV Energy II AIV A2, L.P., 417,194 shares by AF IV Energy II AIV A3, L.P., 426,607 shares by AF IV Energy II AIV A4, L.P., 546,761 shares by AF IV Energy II AIV A5, L.P., 428,189 shares by AF IV Energy II AIV A6, L.P., 219,622 shares by AF IV Energy II AIV A7, L.P., 426,035 shares by AF IV Energy II AIV A8, L.P., 441,625 shares by AF IV Energy II AIV A9, L.P., 658,831 shares by AF IV Energy II AIV A10, L.P., (continued in footnote 4) F4: 247,020 shares by AF IV Energy II AIV A11, L.P., 439,128 shares by AF IV Energy II AIV A12, L.P., 188,906 shares by SSF III Halcon AIV B1, L.P., 809,536 shares by SSF III Halcon AIV 1, L.P., 121,447 shares by SSF III Halcon AIV 2, L.P., 232,083 shares by SSF III Halcon AIV 3, L.P., 1,394,620 shares by SSF IV Halcon AIV B1, L.P., 64,890 shares by SSF IV Halcon AIV 1, L.P., 478,250 shares by SSF IV Halcon AIV 2, L.P., 519,401 shares by SSF IV Halcon AIV 3, L.P., 129,885 shares by SSF IV Halcon AIV 4, L.P., 286,486 shares by SSF IV Halcon AIV 5, L.P., 481,875 shares by SSF IV Halcon AIV 6, L.P., and 579,100 shares by SSF IV Halcon AIV 7, L.P. F5: The Issuer's securities held by the entities listed in footnotes 3, 4, 8 and 9 hereto (collectively, the "Purchasers") is managed by Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"). The sole stockholder of Ares Holdings is Ares Management Corporation ("Ares Management"). Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Class C Common Stock"). (continued in footnote 6) F6: Pursuant to Ares Management's Certificate of Incorporation in effect as of the date of this Form 4, the holders of the Class B Common Stock and the Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners," and together with the Purchasers, Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, Ares Management GP and Ares Voting, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Michael R. McFerran, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). (continued in footnote 7) F7: Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Ares Entities (other than the Purchasers and Ares Management LLC with respect to the securities held directly by them) and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is c/o Ares Management LLC, 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067.
Common Stock, $0.0001 par valueSEC Table I · non-derivative	Direct	86,857	Reported balance Holding disclosure · report date 2019-08-23 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 86,857
Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $14.04 · Expires 2020-09-09	IndirectSee footnotes	332,811	Reported balance Holding disclosure · report date 2019-08-23 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance 332,811 F8: The amount reported reflects warrants exercisable for an aggregate of 332,811 shares, in the following amounts: 105,620 shares by AF IV Energy II AIV B1, L.P., 16,764 shares by AF IV Energy II AIV A1, L.P., 25,136 shares by AF IV Energy II AIV A2, L.P., 10,613 shares by AF IV Energy II AIV A3, L.P., 10,846 shares by AF IV Energy II AIV A4, L.P., 13,916 shares by AF IV Energy II AIV A5, L.P., 10,899 shares by AF IV Energy II AIV A6, L.P., 5,591 shares by AF IV Energy II AIV A7, L.P., 10,840 shares by AF IV Energy II AIV A8, L.P., 11,236 shares by AF IV Energy II AIV A9, L.P., 16,764 shares by AF IV Energy II AIV A10, L.P., (continued in footnote 9) F9: 6,279 shares by AF IV Energy II AIV A11, L.P., 11,166 shares by AF IV Energy II AIV A12, L.P., 2,691 shares by SSF III Halcon AIV B1, L.P., 11,540 shares by SSF III Halcon AIV 1, L.P., 1,735 shares by SSF III Halcon AIV 2, L.P., 3,314 shares by SSF III Halcon AIV 3, L.P., 11. 20,518 shares by SSF IV Halcon AIV B1, L.P., 949 shares by SSF IV Halcon AIV 1, L.P., 7,031 shares by SSF IV Halcon AIV 2, L.P., 7,637 shares by SSF IV Halcon AIV 3, L.P., 1,910 shares by SSF IV Halcon AIV 4, L.P., 4,211 shares by SSF IV Halcon AIV 5, L.P., 7,089 shares by SSF IV Halcon AIV 6, L.P., and 8,516 shares by SSF IV Halcon AIV 7, L.P. F10: These securities were issued in connection with the bankruptcy reorganization plan (the "Plan") of the Issuer and its affiliates effective September 9, 2016 (the "Effective Date"). Pursuant to the Plan, the Reporting Persons were issued 17,981,822 shares of common stock and warrants to purchase 340,906 shares of common stock. Also pursuant to the Plan, on the Effective Date, total debt obligations of the Issuer and its subsidiaries held by the Reporting Persons or their affiliates in the aggregate of $314,929,000 were cancelled. F5: The Issuer's securities held by the entities listed in footnotes 3, 4, 8 and 9 hereto (collectively, the "Purchasers") is managed by Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"). The sole stockholder of Ares Holdings is Ares Management Corporation ("Ares Management"). Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Class C Common Stock"). (continued in footnote 6) F6: Pursuant to Ares Management's Certificate of Incorporation in effect as of the date of this Form 4, the holders of the Class B Common Stock and the Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners," and together with the Purchasers, Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, Ares Management GP and Ares Voting, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Michael R. McFerran, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). (continued in footnote 7) F7: Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Ares Entities (other than the Purchasers and Ares Management LLC with respect to the securities held directly by them) and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is c/o Ares Management LLC, 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067.

Filing footnotes · ownership attribution and instrument terms

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

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

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

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

F5: The Issuer's securities held by the entities listed in footnotes 3, 4, 8 and 9 hereto (collectively, the "Purchasers") is managed by Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"). The sole stockholder of Ares Holdings is Ares Management Corporation ("Ares Management"). Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Class C Common Stock"). (continued in footnote 6)

F6: Pursuant to Ares Management's Certificate of Incorporation in effect as of the date of this Form 4, the holders of the Class B Common Stock and the Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners," and together with the Purchasers, Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, Ares Management GP and Ares Voting, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Michael R. McFerran, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). (continued in footnote 7)

F7: Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Ares Entities (other than the Purchasers and Ares Management LLC with respect to the securities held directly by them) and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is c/o Ares Management LLC, 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067.

F8: The amount reported reflects warrants exercisable for an aggregate of 332,811 shares, in the following amounts: 105,620 shares by AF IV Energy II AIV B1, L.P., 16,764 shares by AF IV Energy II AIV A1, L.P., 25,136 shares by AF IV Energy II AIV A2, L.P., 10,613 shares by AF IV Energy II AIV A3, L.P., 10,846 shares by AF IV Energy II AIV A4, L.P., 13,916 shares by AF IV Energy II AIV A5, L.P., 10,899 shares by AF IV Energy II AIV A6, L.P., 5,591 shares by AF IV Energy II AIV A7, L.P., 10,840 shares by AF IV Energy II AIV A8, L.P., 11,236 shares by AF IV Energy II AIV A9, L.P., 16,764 shares by AF IV Energy II AIV A10, L.P., (continued in footnote 9)

F9: 6,279 shares by AF IV Energy II AIV A11, L.P., 11,166 shares by AF IV Energy II AIV A12, L.P., 2,691 shares by SSF III Halcon AIV B1, L.P., 11,540 shares by SSF III Halcon AIV 1, L.P., 1,735 shares by SSF III Halcon AIV 2, L.P., 3,314 shares by SSF III Halcon AIV 3, L.P., 11. 20,518 shares by SSF IV Halcon AIV B1, L.P., 949 shares by SSF IV Halcon AIV 1, L.P., 7,031 shares by SSF IV Halcon AIV 2, L.P., 7,637 shares by SSF IV Halcon AIV 3, L.P., 1,910 shares by SSF IV Halcon AIV 4, L.P., 4,211 shares by SSF IV Halcon AIV 5, L.P., 7,089 shares by SSF IV Halcon AIV 6, L.P., and 8,516 shares by SSF IV Halcon AIV 7, L.P.

F10: These securities were issued in connection with the bankruptcy reorganization plan (the "Plan") of the Issuer and its affiliates effective September 9, 2016 (the "Effective Date"). Pursuant to the Plan, the Reporting Persons were issued 17,981,822 shares of common stock and warrants to purchase 340,906 shares of common stock. Also pursuant to the Plan, on the Effective Date, total debt obligations of the Issuer and its subsidiaries held by the Reporting Persons or their affiliates in the aggregate of $314,929,000 were cancelled.

California Resources Corp

Report date October 27, 2020 · Filed November 07, 2020

Jointly reported with ARES MANAGEMENT LLC, Ares Management Holdings L.P., Ares Holdco LLC, Ares Management Corp, Ares Voting LLC, Ares Management GP LLC, Ares Partners Holdco LLC, ECR Corporate Holdings L.P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.01SEC Table I · non-derivative	IndirectBy ECR Corporate Holdings L.P.	17,324,848	Reported balance Holding disclosure · report date 2020-10-27 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 17,324,848 F1: On July 15, 2020, the Issuer and certain of its subsidiaries filed voluntary petitions for relief under Chapter 11 of the United States Code, 11 U.S.C. Section 101-1532 in the United States Bankruptcy Court for the Southern District of Texas (the "Bankruptcy Court"). On October 8, 2020 the Issuer filed the Amended Debtors' Joint Plan of Reorganization Under Chapter 11 of the Bankruptcy Code with the Bankruptcy Court (the "Plan"). On October 13, 2020, the Bankruptcy Court entered an order (the "Confirmation Order") confirming the Plan. On October 27, 2020 (the "Effective Date"), the conditions to effectiveness of the Plan were satisfied or waived and the Issuer emerged from Chapter 11. F2: Pursuant to the Plan and the Confirmation Order, the Issuer issued 17,324,848 shares of its common stock, par value $0.01 (the "Common Stock") to ECR Corporate Holdings L.P. ("ECR"), on the Effective Date in exchange for all of the equity interests of Elk Hills Power, LLC held by ECR. F3: ECR Corporate Holdings GP LLC ("ECR GP"), the general partner of ECR, may be deemed to be a beneficial owner of, or have a pecuniary interest in, the Common Stock held by ECR. Ares Management LLC indirectly controls ECR GP. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management Corporation ("Ares Management"). Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 4) F4: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners"). Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. (Continued in footnote 5) F5: Each of the Reporting Persons (other than ECR with respect to the shares of Common Stock directly held by it), and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 3 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: On July 15, 2020, the Issuer and certain of its subsidiaries filed voluntary petitions for relief under Chapter 11 of the United States Code, 11 U.S.C. Section 101-1532 in the United States Bankruptcy Court for the Southern District of Texas (the "Bankruptcy Court"). On October 8, 2020 the Issuer filed the Amended Debtors' Joint Plan of Reorganization Under Chapter 11 of the Bankruptcy Code with the Bankruptcy Court (the "Plan"). On October 13, 2020, the Bankruptcy Court entered an order (the "Confirmation Order") confirming the Plan. On October 27, 2020 (the "Effective Date"), the conditions to effectiveness of the Plan were satisfied or waived and the Issuer emerged from Chapter 11.

F2: Pursuant to the Plan and the Confirmation Order, the Issuer issued 17,324,848 shares of its common stock, par value $0.01 (the "Common Stock") to ECR Corporate Holdings L.P. ("ECR"), on the Effective Date in exchange for all of the equity interests of Elk Hills Power, LLC held by ECR.

F3: ECR Corporate Holdings GP LLC ("ECR GP"), the general partner of ECR, may be deemed to be a beneficial owner of, or have a pecuniary interest in, the Common Stock held by ECR. Ares Management LLC indirectly controls ECR GP. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management Corporation ("Ares Management"). Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Ares Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Ares Class C Common Stock"). (Continued in footnote 4)

F4: Pursuant to Ares Management's Certificate of Incorporation, the holders of the Ares Class B Common Stock and the Ares Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners"). Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members. (Continued in footnote 5)

F5: Each of the Reporting Persons (other than ECR with respect to the shares of Common Stock directly held by it), and the Board Members, and the other directors, officers, partners, stockholders, members and managers of the Reporting Persons, expressly disclaims beneficial ownership of the Common Stock, except to the extent of any pecuniary interest therein, and this Form 3 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes.

Gastar Exploration Inc.

Report date January 30, 2018 · Filed February 02, 2018

Jointly reported with ARES MANAGEMENT LLC, AF V Energy I AIV B1, L.P., ACOF Investment Management LLC, Ares Management Holdings L.P., Ares Holdco LLC, Ares Management Corp, Ares Management GP LLC, Ares Partners Holdco LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $0.001 par valueSEC Table I · non-derivative	IndirectSee footnotes	115,410	Reported balance After 2018-01-30 transaction · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · 2018-01-30 · Grant · Acquired 62,500 · Balance 115,410 F1: The amount reported reflects 115,410 shares held by Nathan Walton, which represents shares granted to Mr. Walton in his capacity as a director of the Issuer. Mr. Walton is associated with Ares Management LLC and certain of the other Ares Entities (as defined below). Pursuant to the policies of the Ares Entities, Mr. Walton holds these securities as a nominee on behalf of, and for the sole benefit of, the Ares Entities and has assigned to Ares Management LLC all economic, pecuniary and voting rights in respect of such securities.
Common Stock, $0.001 par valueSEC Table I · non-derivative	IndirectSee footnotes	56,712,088	Reported balance Holding disclosure · report date 2018-01-30 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 56,712,088 F2: The amount reported reflects an aggregate 56,712,088 shares of the Issuer's common stock, par value $0.001 ("Common Stock") acquired in the following individual amounts: held in the following individual amounts: 2,817,506 shares by AF V Energy I AIV A1, L.P., 2,792,028 shares by AF V Energy I AIV A2, L.P., 2,795,856 shares by AF V Energy I AIV A3, L.P., 2,810,129 shares by AF V Energy I AIV A4, L.P., 2,824,880 shares by AF V Energy I AIV A5, L.P., 2,806,979 shares by AF V Energy I AIV A6, L.P., 2,745,103 shares by AF V Energy I AIV A7, L.P., 2,781,304 shares by AF V Energy I AIV A8, L.P., 2,817,506 shares by AF V Energy I AIV A9, L.P., 2,817,506 shares by AF V Energy I AIV A10, L.P., 2,781,304 shares by AF V Energy I AIV A11, L.P., 2,745,781 shares by AF V Energy I AIV A12, L.P., 3,308,876 shares by AF V Energy I AIV A13, L.P., and 19,867,330 shares by AF V Energy I AIV B1, L.P. F3: The manager of the entities (collectively, the "Purchasers") identified in footnote (2) is ACOF Investment Management LLC ("ACOF"). The sole member of ACOF is Ares Management LLC, and the sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management, L.P. ("Ares Management"). The general partner of Ares Management is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with the Purchasers, ACOF, Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, and Ares Management GP, the "Ares Entities"). (continued in footnote 4) F4: Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal. Mr. Ressler generally has veto authority over Board decisions. Each of the Ares Entities (other than each Purchaser, with respect to the securities held directly by it) and the members of Ares Partners' board of managers and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. (continued in footnote 5) F5: The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067.

Filing footnotes · ownership attribution and instrument terms

F1: The amount reported reflects 115,410 shares held by Nathan Walton, which represents shares granted to Mr. Walton in his capacity as a director of the Issuer. Mr. Walton is associated with Ares Management LLC and certain of the other Ares Entities (as defined below). Pursuant to the policies of the Ares Entities, Mr. Walton holds these securities as a nominee on behalf of, and for the sole benefit of, the Ares Entities and has assigned to Ares Management LLC all economic, pecuniary and voting rights in respect of such securities.

F2: The amount reported reflects an aggregate 56,712,088 shares of the Issuer's common stock, par value $0.001 ("Common Stock") acquired in the following individual amounts: held in the following individual amounts: 2,817,506 shares by AF V Energy I AIV A1, L.P., 2,792,028 shares by AF V Energy I AIV A2, L.P., 2,795,856 shares by AF V Energy I AIV A3, L.P., 2,810,129 shares by AF V Energy I AIV A4, L.P., 2,824,880 shares by AF V Energy I AIV A5, L.P., 2,806,979 shares by AF V Energy I AIV A6, L.P., 2,745,103 shares by AF V Energy I AIV A7, L.P., 2,781,304 shares by AF V Energy I AIV A8, L.P., 2,817,506 shares by AF V Energy I AIV A9, L.P., 2,817,506 shares by AF V Energy I AIV A10, L.P., 2,781,304 shares by AF V Energy I AIV A11, L.P., 2,745,781 shares by AF V Energy I AIV A12, L.P., 3,308,876 shares by AF V Energy I AIV A13, L.P., and 19,867,330 shares by AF V Energy I AIV B1, L.P.

F3: The manager of the entities (collectively, the "Purchasers") identified in footnote (2) is ACOF Investment Management LLC ("ACOF"). The sole member of ACOF is Ares Management LLC, and the sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management, L.P. ("Ares Management"). The general partner of Ares Management is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with the Purchasers, ACOF, Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, and Ares Management GP, the "Ares Entities"). (continued in footnote 4)

F4: Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal. Mr. Ressler generally has veto authority over Board decisions. Each of the Ares Entities (other than each Purchaser, with respect to the securities held directly by it) and the members of Ares Partners' board of managers and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. (continued in footnote 5)

F5: The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067.

Infrastructure & Energy Alternatives, Inc.

Report date March 26, 2021 · Filed March 31, 2021

Jointly reported with ARES MANAGEMENT LLC, Ares Management Holdings L.P., Ares Holdco LLC, Ares Management Corp, Ares Management GP LLC, Ares Voting LLC, Ares Partners Holdco LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $0.0001 par value per shareSEC Table I · non-derivative	Direct	46,039	Reported balance After 2021-03-26 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2021-03-26 · Grant · Acquired 5,904 · Balance 46,039 F1: Represents 5,904 restricted stock units granted to Matthew Underwood, Principal at Ares Management, as a director of Infrastructure and Energy Alternatives, Inc. (the "Issuer"). Each restricted stock unit represents the right to receive one share of common stock upon vesting. Vesting of the restricted stock units will occur on March 26, 2022, the first anniversary of the grant date. F2: Ares Management LLC, on behalf of its affiliated funds, investment vehicles and/or managed accounts, designated Mr. Underwood to be appointed to the Issuer's board of directors on March 10, 2020. Pursuant to an agreement between Ares Management LLC and Mr. Underwood, Mr. Underwood has agreed to pay Ares Management LLC all of his director compensation, and has instructed the Issuer to pay all such compensation directly to Ares Management LLC. Accordingly, Ares Management LLC is the direct holder of the 5,904 restricted stock units granted to Mr. Underwood on March 26, 2021. F3: The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"). The sole stockholder of Ares Holdings is Ares Management Corporation ("Ares Management"). Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Class C Common Stock"). (continued in footnote 4) F4: Pursuant to Ares Management's Certificate of Incorporation in effect as of the date of this Form 4, the holders of the Class B Common Stock and the Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners" and together with Ares Voting, Ares Management GP, Ares Management, Ares Holdings, Ares Holdco, Ares Management Holdings and Ares Management LLC, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Michael R. McFerran, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). (continued in footnote 5) F5: Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Ares Entities and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is c/o Ares Management LLC, 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067.

Filing footnotes · ownership attribution and instrument terms

F1: Represents 5,904 restricted stock units granted to Matthew Underwood, Principal at Ares Management, as a director of Infrastructure and Energy Alternatives, Inc. (the "Issuer"). Each restricted stock unit represents the right to receive one share of common stock upon vesting. Vesting of the restricted stock units will occur on March 26, 2022, the first anniversary of the grant date.

F2: Ares Management LLC, on behalf of its affiliated funds, investment vehicles and/or managed accounts, designated Mr. Underwood to be appointed to the Issuer's board of directors on March 10, 2020. Pursuant to an agreement between Ares Management LLC and Mr. Underwood, Mr. Underwood has agreed to pay Ares Management LLC all of his director compensation, and has instructed the Issuer to pay all such compensation directly to Ares Management LLC. Accordingly, Ares Management LLC is the direct holder of the 5,904 restricted stock units granted to Mr. Underwood on March 26, 2021.

F3: The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"). The sole stockholder of Ares Holdings is Ares Management Corporation ("Ares Management"). Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Class C Common Stock"). (continued in footnote 4)

F4: Pursuant to Ares Management's Certificate of Incorporation in effect as of the date of this Form 4, the holders of the Class B Common Stock and the Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners" and together with Ares Voting, Ares Management GP, Ares Management, Ares Holdings, Ares Holdco, Ares Management Holdings and Ares Management LLC, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Michael R. McFerran, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). (continued in footnote 5)

F5: Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Ares Entities and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is c/o Ares Management LLC, 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067.

Past disclosures · reporting ended (4)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Affinion Group Holdings, Inc.

Report date November 28, 2016 · Filed February 24, 2017

Jointly reported with ARES MANAGEMENT LLC, Ares Holdco LLC, Ares Management Corp, Ares Management GP LLC, Ares Partners Holdco LLC, Ares Management Holdings L.P.

Section 16 reporting ended · disclosed 2017-02-24. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.01 per shareSEC Table I · non-derivative	IndirectSee footnotes	919,609	Reported balance After 2016-11-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2016-11-28 · Sale · Disposed 25,000 · Balance 919,609 F1: The amount reported reflects an aggregate of 25,000 shares of Common Stock sold in open market sales in the following amounts: 10,870 shares sold by Ares Special Situations Fund III, L.P. ("ASSF III"), 2,255 shares sold by Ares Strategic Investment Partners Ltd ("ASIP I"), 5,028 shares sold by Future Fund Board of Guardians ("AFF"), 2,989 shares sold by Ares Dynamic Credit Allocation Fund, Inc. ("ARDC") (NYSE: ARDC), 1,032 shares sold by ASIP (Holdco) IV S.a.r.l. ("ASIP IV"), 1,902 shares sold by Transatlantic Reinsurance Company ("TRC"), and 924 shares sold by RSUI Indemnity Company ("RSUI"). F2: ASIP I is wholly owned by Ares Strategic Investment Partners, L.P. ("ASIP Master"). Ares Strategic Investment GP, LLC serves as the general partner of ASIP Master and is owned by Ares Offshore Holdings L.P. ("Ares Offshore"). The general partner of Ares Offshore is AOF Holdco LLC ("AOF Holdco"), and the sole member of AOF Holdco is Ares Offshore Holdings, Ltd ("Ares Offshore Holdings"). The sole stockholder of Ares Offshore Holdings is Ares Management L.P. The general partner of ASSF III is ASSF Management III, L.P. ("ASSF Management III") and the general partner of ASSF Management III is ASSF Management III GP, LLC ("ASSF Management III GP"). ASSF Management III GP LLC is wholly owned by Ares Investments Holdings LLC ("Ares Investments"). Ares Investments is wholly owned by Ares Investments L.P. The general partner of Ares Investments L.P. is AI Holdco LLC, who is wholly owned by Ares Management, L.P. (continued in footnote 3) F3: Ares Capital Management II LLC serves as the investment adviser of ARDC and is wholly owned by Ares Management LLC. Ares Strategic Investment Partners IV is the sole shareholder of ASIP IV. Ares Strategic Investment Partners IV's issued shares are listed on the Luxembourg Stock Exchange, but wholly owned by a Swedish pension fund. ASIP Operating Manager IV LLC serves as the investment adviser of each of ASIP IV and Ares Strategic Investment Partners IV and is wholly owned by Ares Management LLC. Ares Enhanced Loan Investment Strategy Advisor IV, L.P. ("Ares Enhanced Loan Investment Strategy Advisor IV") serves as the investment adviser of AFF. (continued in footnote 4) F4: Ares Enhanced Loan Investment Strategy Advisor IV GP, LLC serves as the general partner of Ares Enhanced Loan Investment Strategy Advisor IV and is wholly owned by Ares Management LLC. Ares ASIP VII Management L.P. ("Ares ASIP VII Management") serves as the investment adviser of both RSIU and TRC. Ares ASIP VII GP, LLC serves as the general partner of Ares ASIP VII Management, and is wholly owned by Ares Management LLC. Ares WLP Management L.P. serves as the investment adviser of Anthem, Inc. ("Anthem"). Ares WLP Management GP LLC serves as the general partner of Ares WLP Management L.P. and is wholly owned by Ares Management LLC. (continued in footnote 5) F5: The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"), and the sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management, L.P. The general partner of Ares Management, L.P. is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, L.P., and Ares Management GP, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, R. Kipp deVeer, David Kaplan, Antony Ressler and Bennett Rosenthal. (continued in footnote 6) F6: Decisions by Ares Partners' board of managers generally are made by a majority of the members, which majority, subject to certain conditions, must include Antony Ressler. (continued in footnote 7) F7: Each of the Ares Entities and the members of Ares Partners' board of managers and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067.
Common Stock, par value $0.01 per shareSEC Table I · non-derivative	IndirectSee footnotes	754,609	Reported balance After 2016-11-30 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2016-11-30 · Sale · Disposed 165,000 · Balance 754,609 F8: The amount reported reflects an aggregate of 165,000 shares of Common Stock sold in open market sales in the following amounts: 71,740 shares sold by ASSF III, 14,885 shares sold by ASIP I, 33,180 shares sold by AFF, 19,728 shares sold by ARDC, 6,815 shares sold by ASIP IV, 12,554 shares sold by TRC, and 6,098 shares sold by RSUI. F9: The amount reported reflects an aggregate of 754,609 shares of Common Stock, directly held in the following amounts: 329,498 shares by ASSF III, 10,334 shares by Anthem, 27,393 shares by RSUI, 54,590 shares by TRC, 30,207 shares by ASIP IV, 148,397 shares by AFF, 66,507 shares by ASIP I, and 87,683 shares by ARDC. F2: ASIP I is wholly owned by Ares Strategic Investment Partners, L.P. ("ASIP Master"). Ares Strategic Investment GP, LLC serves as the general partner of ASIP Master and is owned by Ares Offshore Holdings L.P. ("Ares Offshore"). The general partner of Ares Offshore is AOF Holdco LLC ("AOF Holdco"), and the sole member of AOF Holdco is Ares Offshore Holdings, Ltd ("Ares Offshore Holdings"). The sole stockholder of Ares Offshore Holdings is Ares Management L.P. The general partner of ASSF III is ASSF Management III, L.P. ("ASSF Management III") and the general partner of ASSF Management III is ASSF Management III GP, LLC ("ASSF Management III GP"). ASSF Management III GP LLC is wholly owned by Ares Investments Holdings LLC ("Ares Investments"). Ares Investments is wholly owned by Ares Investments L.P. The general partner of Ares Investments L.P. is AI Holdco LLC, who is wholly owned by Ares Management, L.P. (continued in footnote 3) F3: Ares Capital Management II LLC serves as the investment adviser of ARDC and is wholly owned by Ares Management LLC. Ares Strategic Investment Partners IV is the sole shareholder of ASIP IV. Ares Strategic Investment Partners IV's issued shares are listed on the Luxembourg Stock Exchange, but wholly owned by a Swedish pension fund. ASIP Operating Manager IV LLC serves as the investment adviser of each of ASIP IV and Ares Strategic Investment Partners IV and is wholly owned by Ares Management LLC. Ares Enhanced Loan Investment Strategy Advisor IV, L.P. ("Ares Enhanced Loan Investment Strategy Advisor IV") serves as the investment adviser of AFF. (continued in footnote 4) F4: Ares Enhanced Loan Investment Strategy Advisor IV GP, LLC serves as the general partner of Ares Enhanced Loan Investment Strategy Advisor IV and is wholly owned by Ares Management LLC. Ares ASIP VII Management L.P. ("Ares ASIP VII Management") serves as the investment adviser of both RSIU and TRC. Ares ASIP VII GP, LLC serves as the general partner of Ares ASIP VII Management, and is wholly owned by Ares Management LLC. Ares WLP Management L.P. serves as the investment adviser of Anthem, Inc. ("Anthem"). Ares WLP Management GP LLC serves as the general partner of Ares WLP Management L.P. and is wholly owned by Ares Management LLC. (continued in footnote 5) F5: The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"), and the sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management, L.P. The general partner of Ares Management, L.P. is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, L.P., and Ares Management GP, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, R. Kipp deVeer, David Kaplan, Antony Ressler and Bennett Rosenthal. (continued in footnote 6) F6: Decisions by Ares Partners' board of managers generally are made by a majority of the members, which majority, subject to certain conditions, must include Antony Ressler. (continued in footnote 7) F7: Each of the Ares Entities and the members of Ares Partners' board of managers and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067.

Filing footnotes · ownership attribution and instrument terms

F1: The amount reported reflects an aggregate of 25,000 shares of Common Stock sold in open market sales in the following amounts: 10,870 shares sold by Ares Special Situations Fund III, L.P. ("ASSF III"), 2,255 shares sold by Ares Strategic Investment Partners Ltd ("ASIP I"), 5,028 shares sold by Future Fund Board of Guardians ("AFF"), 2,989 shares sold by Ares Dynamic Credit Allocation Fund, Inc. ("ARDC") (NYSE: ARDC), 1,032 shares sold by ASIP (Holdco) IV S.a.r.l. ("ASIP IV"), 1,902 shares sold by Transatlantic Reinsurance Company ("TRC"), and 924 shares sold by RSUI Indemnity Company ("RSUI").

F2: ASIP I is wholly owned by Ares Strategic Investment Partners, L.P. ("ASIP Master"). Ares Strategic Investment GP, LLC serves as the general partner of ASIP Master and is owned by Ares Offshore Holdings L.P. ("Ares Offshore"). The general partner of Ares Offshore is AOF Holdco LLC ("AOF Holdco"), and the sole member of AOF Holdco is Ares Offshore Holdings, Ltd ("Ares Offshore Holdings"). The sole stockholder of Ares Offshore Holdings is Ares Management L.P. The general partner of ASSF III is ASSF Management III, L.P. ("ASSF Management III") and the general partner of ASSF Management III is ASSF Management III GP, LLC ("ASSF Management III GP"). ASSF Management III GP LLC is wholly owned by Ares Investments Holdings LLC ("Ares Investments"). Ares Investments is wholly owned by Ares Investments L.P. The general partner of Ares Investments L.P. is AI Holdco LLC, who is wholly owned by Ares Management, L.P. (continued in footnote 3)

F3: Ares Capital Management II LLC serves as the investment adviser of ARDC and is wholly owned by Ares Management LLC. Ares Strategic Investment Partners IV is the sole shareholder of ASIP IV. Ares Strategic Investment Partners IV's issued shares are listed on the Luxembourg Stock Exchange, but wholly owned by a Swedish pension fund. ASIP Operating Manager IV LLC serves as the investment adviser of each of ASIP IV and Ares Strategic Investment Partners IV and is wholly owned by Ares Management LLC. Ares Enhanced Loan Investment Strategy Advisor IV, L.P. ("Ares Enhanced Loan Investment Strategy Advisor IV") serves as the investment adviser of AFF. (continued in footnote 4)

F4: Ares Enhanced Loan Investment Strategy Advisor IV GP, LLC serves as the general partner of Ares Enhanced Loan Investment Strategy Advisor IV and is wholly owned by Ares Management LLC. Ares ASIP VII Management L.P. ("Ares ASIP VII Management") serves as the investment adviser of both RSIU and TRC. Ares ASIP VII GP, LLC serves as the general partner of Ares ASIP VII Management, and is wholly owned by Ares Management LLC. Ares WLP Management L.P. serves as the investment adviser of Anthem, Inc. ("Anthem"). Ares WLP Management GP LLC serves as the general partner of Ares WLP Management L.P. and is wholly owned by Ares Management LLC. (continued in footnote 5)

F5: The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"), and the sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management, L.P. The general partner of Ares Management, L.P. is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, L.P., and Ares Management GP, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, R. Kipp deVeer, David Kaplan, Antony Ressler and Bennett Rosenthal. (continued in footnote 6)

F6: Decisions by Ares Partners' board of managers generally are made by a majority of the members, which majority, subject to certain conditions, must include Antony Ressler. (continued in footnote 7)

F7: Each of the Ares Entities and the members of Ares Partners' board of managers and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067.

F8: The amount reported reflects an aggregate of 165,000 shares of Common Stock sold in open market sales in the following amounts: 71,740 shares sold by ASSF III, 14,885 shares sold by ASIP I, 33,180 shares sold by AFF, 19,728 shares sold by ARDC, 6,815 shares sold by ASIP IV, 12,554 shares sold by TRC, and 6,098 shares sold by RSUI.

F9: The amount reported reflects an aggregate of 754,609 shares of Common Stock, directly held in the following amounts: 329,498 shares by ASSF III, 10,334 shares by Anthem, 27,393 shares by RSUI, 54,590 shares by TRC, 30,207 shares by ASIP IV, 148,397 shares by AFF, 66,507 shares by ASIP I, and 87,683 shares by ARDC.

CLAYTON WILLIAMS ENERGY INC /DE

Report date April 24, 2017 · Filed April 26, 2017

Jointly reported with ARES MANAGEMENT LLC, Ares Management Holdings L.P., Ares Holdco LLC, Ares Management GP LLC, Ares Partners Holdco LLC, Ares Management Corp

Section 16 reporting ended · disclosed 2017-04-26. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $0.10 par valueSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2017-04-24 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2017-04-24 · Other · Disposed 6,093,505 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of January 13, 2017, by and among the Issuer, Noble Energy, Inc. ("Noble") and two indirect wholly owned subsidiaries of Noble (the "Merger Agreement"), at the effective time of the merger (the "Effective Time"), each share of the Issuer's common stock ("Common Stock") reported on this Form 4 was converted into the Merger Consideration (as defined in the Merger Agreement). F2: The amounts of securities reported in this Form 4 reflect an aggregate of 6,093,505 shares of Common Stock that were held directly in the following amounts: 339,543 shares by AF IV Energy AIV A1, L.P., 92,697 shares by AF IV Energy AIV A2, L.P., 229,063 shares by AF IV Energy AIV A3, L.P., 50,282 shares by AF IV Energy AIV A4, L.P., 335,212 shares by AF IV Energy AIV A5, L.P., 223,475 shares by AF IV Energy AIV A6, L.P., 251,407 shares by AF IV Energy AIV A7, L.P., 195,540 shares by AF IV Energy AIV A8, L.P., 156,432 shares by AF IV Energy AIV A9, L.P., 236,604 shares by AF IV Energy AIV A10, L.P., 335,212 shares by AF IV Energy AIV A11, L.P., 2,806,188 shares by AF IV Energy AIV B1, L.P. and 841,850 shares by AF IV(U), L.P. The manager of the foregoing entities is Ares Management LLC. (continued in footnote 3) F3: The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management, L.P. ("Ares Management"). The general partner of Ares Management is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, and Ares Management GP, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, R. Kipp deVeer, David Kaplan, Antony Ressler and Bennett Rosenthal. (continued in footnote 4) F4: Decisions by Ares Partners' board of managers generally are made by a majority of the members, which majority, subject to certain conditions, must include Antony Ressler. Each of the Ares Entities and the members of Ares Partners' board of managers and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067.
Warrant to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $22.00	IndirectSee Footnote	0	Reported balance After 2017-04-24 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2017-04-24 · Other · Disposed 2,251,364 · Balance 0 F6: Pursuant to the terms of the Merger Agreement, at the Effective Time, each warrant to purchase a share of Common Stock reported on this Form 4 was converted into the Merger Consideration (as defined in the Merger Agreement). F5: Each warrant was exercisable at any time and would have expired on March 15, 2026. F7: The amount reported reflects warrants that were exercisable for an aggregate of 2,251,364 shares, in the following amounts: 103,971 shares by AF IV Energy AIV A1, L.P., 28,385 shares by AF IV Energy AIV A2, L.P., 70,141 shares by AF IV Energy AIV A3, L.P., 15,397 shares by AF IV Energy AIV A4, L.P., 102,645 shares by AF IV Energy AIV A5, L.P., 68,431 shares by AF IV Energy AIV A6, L.P., 76,984 shares by AF IV Energy AIV A7, L.P., 59,877 shares by AF IV Energy AIV A8, L.P., 47,901 shares by AF IV Energy AIV A9, L.P., 72,451 shares by AF IV Energy AIV A10, L.P., 102,646 shares by AF IV Energy AIV A11, L.P., 859,288 shares by AF IV Energy AIV B1, L.P. and 643,247 shares by AF IV(U), L.P.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Agreement and Plan of Merger, dated as of January 13, 2017, by and among the Issuer, Noble Energy, Inc. ("Noble") and two indirect wholly owned subsidiaries of Noble (the "Merger Agreement"), at the effective time of the merger (the "Effective Time"), each share of the Issuer's common stock ("Common Stock") reported on this Form 4 was converted into the Merger Consideration (as defined in the Merger Agreement).

F2: The amounts of securities reported in this Form 4 reflect an aggregate of 6,093,505 shares of Common Stock that were held directly in the following amounts: 339,543 shares by AF IV Energy AIV A1, L.P., 92,697 shares by AF IV Energy AIV A2, L.P., 229,063 shares by AF IV Energy AIV A3, L.P., 50,282 shares by AF IV Energy AIV A4, L.P., 335,212 shares by AF IV Energy AIV A5, L.P., 223,475 shares by AF IV Energy AIV A6, L.P., 251,407 shares by AF IV Energy AIV A7, L.P., 195,540 shares by AF IV Energy AIV A8, L.P., 156,432 shares by AF IV Energy AIV A9, L.P., 236,604 shares by AF IV Energy AIV A10, L.P., 335,212 shares by AF IV Energy AIV A11, L.P., 2,806,188 shares by AF IV Energy AIV B1, L.P. and 841,850 shares by AF IV(U), L.P. The manager of the foregoing entities is Ares Management LLC. (continued in footnote 3)

F3: The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management, L.P. ("Ares Management"). The general partner of Ares Management is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, and Ares Management GP, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, R. Kipp deVeer, David Kaplan, Antony Ressler and Bennett Rosenthal. (continued in footnote 4)

F4: Decisions by Ares Partners' board of managers generally are made by a majority of the members, which majority, subject to certain conditions, must include Antony Ressler. Each of the Ares Entities and the members of Ares Partners' board of managers and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of the securities reported on this Form 4, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067.

F5: Each warrant was exercisable at any time and would have expired on March 15, 2026.

F6: Pursuant to the terms of the Merger Agreement, at the Effective Time, each warrant to purchase a share of Common Stock reported on this Form 4 was converted into the Merger Consideration (as defined in the Merger Agreement).

F7: The amount reported reflects warrants that were exercisable for an aggregate of 2,251,364 shares, in the following amounts: 103,971 shares by AF IV Energy AIV A1, L.P., 28,385 shares by AF IV Energy AIV A2, L.P., 70,141 shares by AF IV Energy AIV A3, L.P., 15,397 shares by AF IV Energy AIV A4, L.P., 102,645 shares by AF IV Energy AIV A5, L.P., 68,431 shares by AF IV Energy AIV A6, L.P., 76,984 shares by AF IV Energy AIV A7, L.P., 59,877 shares by AF IV Energy AIV A8, L.P., 47,901 shares by AF IV Energy AIV A9, L.P., 72,451 shares by AF IV Energy AIV A10, L.P., 102,646 shares by AF IV Energy AIV A11, L.P., 859,288 shares by AF IV Energy AIV B1, L.P. and 643,247 shares by AF IV(U), L.P.

Floor & Decor Holdings, Inc.

Report date August 13, 2020 · Filed August 14, 2020

Jointly reported with ARES CORPORATE OPPORTUNITIES FUND III LP, ACOF Operating Manager III LLC, ARES MANAGEMENT LLC, Ares Management Holdings L.P., Ares Holdco LLC, Ares Management Corp, Ares Management GP LLC, Ares Partners Holdco LLC, Ares Voting LLC

Section 16 reporting ended · disclosed 2020-08-14. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A common stock, par value $0.001SEC Table I · non-derivative	Direct	0	Reported balance After 2020-08-13 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2020-08-13 · Sale · Disposed 5,431,478 · Balance 0 F1: Shares of Class A common stock are held directly by Ares Corporate Opportunities Fund III, L.P. ("ACOF III"). The manager of ACOF III is ACOF Operating Manager III, LLC ("ACOF Operating Manager III"), and the sole member of ACOF Operating Manager III is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management Corporation ("Ares Management"). Ares Management GP LLC ("Ares Management GP") is the sole holder of Class B common stock, $0.01 par value per share, of Ares Management and Ares Voting LLC ("Ares Voting") is the sole holder of Class C common stock, $0.01 par value per share, of Ares Management. (continued in footnote 2) F2: Pursuant to Ares Management's Certificate of Incorporation, the holders of Ares Management's Class B common stock and Class C common stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners" and, together with ACOF III, ACOF Operating Manager III, Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, Ares Management GP and Ares Voting, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions of the Board Members. (continued in footnote 3) F3: Each of the Ares Entities (other than ACOF III with respect to the shares held directly by it), the Board Members and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of the shares of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, California 90067.

Filing footnotes · ownership attribution and instrument terms

F1: Shares of Class A common stock are held directly by Ares Corporate Opportunities Fund III, L.P. ("ACOF III"). The manager of ACOF III is ACOF Operating Manager III, LLC ("ACOF Operating Manager III"), and the sole member of ACOF Operating Manager III is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management Corporation ("Ares Management"). Ares Management GP LLC ("Ares Management GP") is the sole holder of Class B common stock, $0.01 par value per share, of Ares Management and Ares Voting LLC ("Ares Voting") is the sole holder of Class C common stock, $0.01 par value per share, of Ares Management. (continued in footnote 2)

F2: Pursuant to Ares Management's Certificate of Incorporation, the holders of Ares Management's Class B common stock and Class C common stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners" and, together with ACOF III, ACOF Operating Manager III, Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, Ares Management GP and Ares Voting, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions of the Board Members. (continued in footnote 3)

F3: Each of the Ares Entities (other than ACOF III with respect to the shares held directly by it), the Board Members and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of the shares of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, California 90067.

Smart & Final Stores, Inc.

Report date June 18, 2019 · Filed June 20, 2019

Jointly reported with ARES CORPORATE OPPORTUNITIES FUND III LP, Ares Corporate Opportunities Fund IV, L.P., ACOF Operating Manager III LLC, ACOF Operating Manager IV, LLC, ARES MANAGEMENT LLC, Ares Management Holdings L.P., Ares Holdco LLC, Ares Management Corp, Ares Voting LLC

Section 16 reporting ended · disclosed 2019-06-20. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
common stock, par value $0.001SEC Table I · non-derivative	Direct	0	Reported balance After 2019-06-18 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2019-06-18 · Other · Disposed 44,218,762 · Balance 0 F1: Pursuant to an agreement and plan of merger (the "Merger Agreement") by and among First Street Parent, Inc. a Delaware corporation ("Parent"), First Street Merger Sub, Inc. Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser") and issuer, on June 18, 2019 Purchaser accepted shares of issuer's common stock tendered pursuant to Purchaser's tender offer for all of the outstanding shares of issuer's common stock at a purchase price of $6.50 per share, net to the seller in cash, without interest, subject to any applicable withholding taxes. F2: The manager of ACOF III is ACOF Operating Manager III, LLC ("ACOF Operating Manager III"), and the sole member of ACOF Operating Manager III is Ares Management LLC ("Ares Management LLC"). The manager of ACOF IV is ACOF Operating Manager IV, LLC ("ACOF Operating Manager IV"), and the sole member of ACOF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management Corporation ("Ares Management"). (Continued in footnote 3) F3: Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management ("Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management ("Class C Common Stock"). The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners"). Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to an agreement and plan of merger (the "Merger Agreement") by and among First Street Parent, Inc. a Delaware corporation ("Parent"), First Street Merger Sub, Inc. Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser") and issuer, on June 18, 2019 Purchaser accepted shares of issuer's common stock tendered pursuant to Purchaser's tender offer for all of the outstanding shares of issuer's common stock at a purchase price of $6.50 per share, net to the seller in cash, without interest, subject to any applicable withholding taxes.

F2: The manager of ACOF III is ACOF Operating Manager III, LLC ("ACOF Operating Manager III"), and the sole member of ACOF Operating Manager III is Ares Management LLC ("Ares Management LLC"). The manager of ACOF IV is ACOF Operating Manager IV, LLC ("ACOF Operating Manager IV"), and the sole member of ACOF Operating Manager IV is Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management Corporation ("Ares Management"). (Continued in footnote 3)

F3: Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management ("Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management ("Class C Common Stock"). The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners"). Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal (collectively, the "Board Members"). Mr. Ressler generally has veto authority over decisions by the Board Members.

Transaction history

JSON API

Purchases/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
February 27, 2017 Filed Mar 1, 2017 22:05 UTC	BATTALION OIL CORP HK · Entity 6921	ConversionCommon Stock, $0.0001 par value	2,760,000	$7.25	$20,010,000.00	Disclosure SEC source: 0001104659-17-013104 · a4.xml · nonDerivative · entry 1 ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner Ares Holdco LLC · CIK 0001669983 · Director · 10% owner Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner ARES MANAGEMENT LP · CIK 0001176948 · Director · 10% owner Ares Management GP LLC · CIK 0001620264 · Director · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 20,741,822 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. F1 · shares: The amount reported reflects an aggregate 2,760,000 shares of the Issuer's Common Stock, $0.0001 par value ("Common Stock"), that will be received upon the conversion of an aggregate of 276 shares of the Issuer's 8% automatically convertible preferred stock ("Preferred Stock"), in the following amounts: 733,705 shares by AF IV Energy II AIV B1 L.P., 116,455 shares by AF IV Energy II AIV A1, L.P., 174,664 shares by AF IV Energy II AIV A2, L.P., 73,743 shares by AF IV Energy II AIV A3, L.P., 75,407 shares by AF IV Energy II AIV A4, L.P., 96,645 shares by AF IV Energy II AIV A5, L.P., 75,686 shares by AF IV Energy II AIV A6, L.P., 38,820 shares by AF IV Energy II AIV A7, L.P., F2 · shares: 75,306 shares by AF IV Energy II AIV A8, L.P., 78,061 shares by AF IV Energy II AIV A9, L.P., 116,455 shares by AF IV Energy II AIV A10, L.P., 43,663 shares by AF IV Energy II AIV A11, L.P., 77,620 shares by AF IV Energy II AIV A12, L.P., 35,466 shares by SSF III Halcon AIV B1, L.P., 151,986 shares by SSF III Halcon AIV 1, L.P., 22,801 shares by SSF III Halcon AIV 2, L.P., (continued in footnote 3) F1 · price: The amount reported reflects an aggregate 2,760,000 shares of the Issuer's Common Stock, $0.0001 par value ("Common Stock"), that will be received upon the conversion of an aggregate of 276 shares of the Issuer's 8% automatically convertible preferred stock ("Preferred Stock"), in the following amounts: 733,705 shares by AF IV Energy II AIV B1 L.P., 116,455 shares by AF IV Energy II AIV A1, L.P., 174,664 shares by AF IV Energy II AIV A2, L.P., 73,743 shares by AF IV Energy II AIV A3, L.P., 75,407 shares by AF IV Energy II AIV A4, L.P., 96,645 shares by AF IV Energy II AIV A5, L.P., 75,686 shares by AF IV Energy II AIV A6, L.P., 38,820 shares by AF IV Energy II AIV A7, L.P., F2 · price: 75,306 shares by AF IV Energy II AIV A8, L.P., 78,061 shares by AF IV Energy II AIV A9, L.P., 116,455 shares by AF IV Energy II AIV A10, L.P., 43,663 shares by AF IV Energy II AIV A11, L.P., 77,620 shares by AF IV Energy II AIV A12, L.P., 35,466 shares by SSF III Halcon AIV B1, L.P., 151,986 shares by SSF III Halcon AIV 1, L.P., 22,801 shares by SSF III Halcon AIV 2, L.P., (continued in footnote 3) F3 · price: 43,573 shares by SSF III Halcon AIV 3, L.P., 246,512 shares by SSF IV Halcon AIV B1, L.P., 11,470 shares by SSF IV Halcon AIV 1, L.P., 84,535 shares by SSF IV Halcon AIV 2, L.P., 91,809 shares by SSF IV Halcon AIV 3, L.P., 22,958 shares by SSF IV Halcon AIV 4, L.P., 50,639 shares by SSF IV Halcon AIV 5, L.P., 85,176 shares by SSF IV Halcon AIV 6, L.P., 102,361 shares by SSF IV Halcon AIV 7, L.P., and 34,484 shares by Ares Strategic Investment Partners Ltd. F4 · ownership.nature: The amount reported reflects an aggregate of 20,741,822 shares of Common Stock, in the following amounts: 5,318,165 shares by AF IV Energy II AIV B1, L.P., 844,106 shares by AF IV Energy II AIV A1, L.P., 1,266,030 shares by AF IV Energy II AIV A2, L.P., 534,517 shares by AF IV Energy II AIV A3, L.P., 546,576 shares by AF IV Energy II AIV A4, L.P., 700,520 shares by AF IV Energy II AIV A5, L.P., 548,602 shares by AF IV Energy II AIV A6, L.P., 281,382 shares by AF IV Energy II AIV A7, L.P., 545,844 shares by AF IV Energy II AIV A8, L.P., 565,817 shares by AF IV Energy II AIV A9, L.P., 844,106 shares by AF IV Energy II AIV A10, L.P., 316,486 shares by AF IV Energy II AIV A11, L.P., 562,616 shares by AF IV Energy II AIV A12, L.P., 257,070 shares by SSF III Halcon AIV B1, L.P., 1,101,652 shares by SSF III Halcon AIV 1, L.P., 165,271 shares by SSF III Halcon AIV 2, L.P., (continued in footnote 5) F5 · ownership.nature: 315,830 shares by SSF III Halcon AIV 3, L.P., 1,786,808 shares by SSF IV Halcon AIV B1, L.P., 83,139 shares by SSF IV Halcon AIV 1, L.P., 612,742 shares by SSF IV Halcon AIV 2, L.P., 665,464 shares by SSF IV Halcon AIV 3, L.P., 166,411 shares by SSF IV Halcon AIV 4, L.P., 367,050 shares by SSF IV Halcon AIV 5, L.P., 617,385 shares by SSF IV Halcon AIV 6, L.P., 741,953 shares by SSF IV Halcon AIV 7, L.P., 292,519 shares by Ares Dynamic Credit Allocation Fund, Inc., 229,342 shares by Ares Strategic Investment Partners Ltd., 224,654 shares by Future Fund Board of Guardians, 95,790 shares by ASIP (Holdco) IV S.a.r.l., 42,051 shares by Ares Multi-Strategy Credit Fund V (H), L.P., 67,228 shares by Transatlantic Reinsurance Company and 34,696 shares by RSUI Indemnity Company. The manager of the foregoing entities is Ares Management LLC. (continued in footnote 6) F6 · ownership.nature: The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management, L.P. ("Ares Management"). The general partner of Ares Management is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, and Ares Management GP, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, R. Kipp deVeer, David Kaplan, Antony Ressler and Bennett Rosenthal. (continued in footnote 7) F7 · ownership.nature: Decisions by Ares Partners' board of managers generally are made by a majority of the members, which majority, subject to certain conditions, must include Antony Ressler. Each of the Ares Entities and the members of Ares Partners' board of managers and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067. Read SEC document
November 30, 2016 Filed Feb 24, 2017 00:35 UTC	Affinion Group Holdings, Inc. AFGR · Entity 158373	SaleCommon Stock, par value $0.01 per share	165,000	$7.00	$1,155,000.00	Disclosure SEC source: 0001104659-17-011343 · a4.xml · nonDerivative · entry 2 ARES MANAGEMENT LLC · CIK 0001259313 · 10% owner Ares Holdco LLC · CIK 0001669983 · 10% owner Ares Holdings Inc. · CIK 0001620317 · 10% owner ARES MANAGEMENT LP · CIK 0001176948 · 10% owner Ares Management GP LLC · CIK 0001620264 · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 754,609 F8 · shares: The amount reported reflects an aggregate of 165,000 shares of Common Stock sold in open market sales in the following amounts: 71,740 shares sold by ASSF III, 14,885 shares sold by ASIP I, 33,180 shares sold by AFF, 19,728 shares sold by ARDC, 6,815 shares sold by ASIP IV, 12,554 shares sold by TRC, and 6,098 shares sold by RSUI. F9 · balance_after: The amount reported reflects an aggregate of 754,609 shares of Common Stock, directly held in the following amounts: 329,498 shares by ASSF III, 10,334 shares by Anthem, 27,393 shares by RSUI, 54,590 shares by TRC, 30,207 shares by ASIP IV, 148,397 shares by AFF, 66,507 shares by ASIP I, and 87,683 shares by ARDC. F2 · ownership.nature: ASIP I is wholly owned by Ares Strategic Investment Partners, L.P. ("ASIP Master"). Ares Strategic Investment GP, LLC serves as the general partner of ASIP Master and is owned by Ares Offshore Holdings L.P. ("Ares Offshore"). The general partner of Ares Offshore is AOF Holdco LLC ("AOF Holdco"), and the sole member of AOF Holdco is Ares Offshore Holdings, Ltd ("Ares Offshore Holdings"). The sole stockholder of Ares Offshore Holdings is Ares Management L.P. The general partner of ASSF III is ASSF Management III, L.P. ("ASSF Management III") and the general partner of ASSF Management III is ASSF Management III GP, LLC ("ASSF Management III GP"). ASSF Management III GP LLC is wholly owned by Ares Investments Holdings LLC ("Ares Investments"). Ares Investments is wholly owned by Ares Investments L.P. The general partner of Ares Investments L.P. is AI Holdco LLC, who is wholly owned by Ares Management, L.P. (continued in footnote 3) F3 · ownership.nature: Ares Capital Management II LLC serves as the investment adviser of ARDC and is wholly owned by Ares Management LLC. Ares Strategic Investment Partners IV is the sole shareholder of ASIP IV. Ares Strategic Investment Partners IV's issued shares are listed on the Luxembourg Stock Exchange, but wholly owned by a Swedish pension fund. ASIP Operating Manager IV LLC serves as the investment adviser of each of ASIP IV and Ares Strategic Investment Partners IV and is wholly owned by Ares Management LLC. Ares Enhanced Loan Investment Strategy Advisor IV, L.P. ("Ares Enhanced Loan Investment Strategy Advisor IV") serves as the investment adviser of AFF. (continued in footnote 4) F4 · ownership.nature: Ares Enhanced Loan Investment Strategy Advisor IV GP, LLC serves as the general partner of Ares Enhanced Loan Investment Strategy Advisor IV and is wholly owned by Ares Management LLC. Ares ASIP VII Management L.P. ("Ares ASIP VII Management") serves as the investment adviser of both RSIU and TRC. Ares ASIP VII GP, LLC serves as the general partner of Ares ASIP VII Management, and is wholly owned by Ares Management LLC. Ares WLP Management L.P. serves as the investment adviser of Anthem, Inc. ("Anthem"). Ares WLP Management GP LLC serves as the general partner of Ares WLP Management L.P. and is wholly owned by Ares Management LLC. (continued in footnote 5) F5 · ownership.nature: The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"), and the sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management, L.P. The general partner of Ares Management, L.P. is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, L.P., and Ares Management GP, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, R. Kipp deVeer, David Kaplan, Antony Ressler and Bennett Rosenthal. (continued in footnote 6) F6 · ownership.nature: Decisions by Ares Partners' board of managers generally are made by a majority of the members, which majority, subject to certain conditions, must include Antony Ressler. (continued in footnote 7) F7 · ownership.nature: Each of the Ares Entities and the members of Ares Partners' board of managers and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067. Read SEC document
November 28, 2016 Filed Feb 24, 2017 00:35 UTC	Affinion Group Holdings, Inc. AFGR · Entity 158373	SaleCommon Stock, par value $0.01 per share	25,000	$4.38	$109,500.00	Disclosure SEC source: 0001104659-17-011343 · a4.xml · nonDerivative · entry 1 ARES MANAGEMENT LLC · CIK 0001259313 · 10% owner Ares Holdco LLC · CIK 0001669983 · 10% owner Ares Holdings Inc. · CIK 0001620317 · 10% owner ARES MANAGEMENT LP · CIK 0001176948 · 10% owner Ares Management GP LLC · CIK 0001620264 · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 919,609 F1 · shares: The amount reported reflects an aggregate of 25,000 shares of Common Stock sold in open market sales in the following amounts: 10,870 shares sold by Ares Special Situations Fund III, L.P. ("ASSF III"), 2,255 shares sold by Ares Strategic Investment Partners Ltd ("ASIP I"), 5,028 shares sold by Future Fund Board of Guardians ("AFF"), 2,989 shares sold by Ares Dynamic Credit Allocation Fund, Inc. ("ARDC") (NYSE: ARDC), 1,032 shares sold by ASIP (Holdco) IV S.a.r.l. ("ASIP IV"), 1,902 shares sold by Transatlantic Reinsurance Company ("TRC"), and 924 shares sold by RSUI Indemnity Company ("RSUI"). F2 · ownership.nature: ASIP I is wholly owned by Ares Strategic Investment Partners, L.P. ("ASIP Master"). Ares Strategic Investment GP, LLC serves as the general partner of ASIP Master and is owned by Ares Offshore Holdings L.P. ("Ares Offshore"). The general partner of Ares Offshore is AOF Holdco LLC ("AOF Holdco"), and the sole member of AOF Holdco is Ares Offshore Holdings, Ltd ("Ares Offshore Holdings"). The sole stockholder of Ares Offshore Holdings is Ares Management L.P. The general partner of ASSF III is ASSF Management III, L.P. ("ASSF Management III") and the general partner of ASSF Management III is ASSF Management III GP, LLC ("ASSF Management III GP"). ASSF Management III GP LLC is wholly owned by Ares Investments Holdings LLC ("Ares Investments"). Ares Investments is wholly owned by Ares Investments L.P. The general partner of Ares Investments L.P. is AI Holdco LLC, who is wholly owned by Ares Management, L.P. (continued in footnote 3) F3 · ownership.nature: Ares Capital Management II LLC serves as the investment adviser of ARDC and is wholly owned by Ares Management LLC. Ares Strategic Investment Partners IV is the sole shareholder of ASIP IV. Ares Strategic Investment Partners IV's issued shares are listed on the Luxembourg Stock Exchange, but wholly owned by a Swedish pension fund. ASIP Operating Manager IV LLC serves as the investment adviser of each of ASIP IV and Ares Strategic Investment Partners IV and is wholly owned by Ares Management LLC. Ares Enhanced Loan Investment Strategy Advisor IV, L.P. ("Ares Enhanced Loan Investment Strategy Advisor IV") serves as the investment adviser of AFF. (continued in footnote 4) F4 · ownership.nature: Ares Enhanced Loan Investment Strategy Advisor IV GP, LLC serves as the general partner of Ares Enhanced Loan Investment Strategy Advisor IV and is wholly owned by Ares Management LLC. Ares ASIP VII Management L.P. ("Ares ASIP VII Management") serves as the investment adviser of both RSIU and TRC. Ares ASIP VII GP, LLC serves as the general partner of Ares ASIP VII Management, and is wholly owned by Ares Management LLC. Ares WLP Management L.P. serves as the investment adviser of Anthem, Inc. ("Anthem"). Ares WLP Management GP LLC serves as the general partner of Ares WLP Management L.P. and is wholly owned by Ares Management LLC. (continued in footnote 5) F5 · ownership.nature: The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"), and the sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management, L.P. The general partner of Ares Management, L.P. is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, L.P., and Ares Management GP, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, R. Kipp deVeer, David Kaplan, Antony Ressler and Bennett Rosenthal. (continued in footnote 6) F6 · ownership.nature: Decisions by Ares Partners' board of managers generally are made by a majority of the members, which majority, subject to certain conditions, must include Antony Ressler. (continued in footnote 7) F7 · ownership.nature: Each of the Ares Entities and the members of Ares Partners' board of managers and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067. Read SEC document
September 19, 2016 Filed Sep 21, 2016 23:18 UTC	BATTALION OIL CORP HK · Entity 6921	GrantCommon Stock, $0.0001 par value	34,528	$0.00	$0.00	Disclosure SEC source: 0001104659-16-145951 · a4.xml · nonDerivative · entry 1 ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner Ares Holdco LLC · CIK 0001669983 · Director · 10% owner Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner ARES MANAGEMENT LP · CIK 0001176948 · Director · 10% owner Ares Management GP LLC · CIK 0001620264 · Director · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,528 F1 · ownership.direct: The amount reported includes 17,264 shares of restricted stock approved by the Issuer's board of directors to be granted to Darryl Schall and 17,264 shares of restricted stock approved by the Issuer's board of directors to be granted to Nathan Walton, in their respective capacities as non-employee directors of the Issuer. Messrs. Schall and Walton are associated with Ares Management LLC ("Ares Management LLC") and the other Ares Entities (as defined below). Pursuant to the policies of the Ares Entities and the direction of Messrs. Schall and Walton, the Issuer issued these restricted shares directly to Ares Management LLC on September 19, 2016. Neither Mr. Schall nor Mr. Walton had any beneficial ownership of or pecuniary interest in such restricted shares. Read SEC document
September 09, 2016 Filed Sep 13, 2016 23:16 UTC	BATTALION OIL CORP HK · Entity 6921	OtherWarrants to Purchase Common Stock · Derivative	340,906	Not disclosed Strike: $14.04	Not disclosed	Disclosure SEC source: 0001104659-16-144458 · a4.xml · derivative · entry 2 ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner Ares Holdco LLC · CIK 0001669983 · Director · 10% owner Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner ARES MANAGEMENT LP · CIK 0001176948 · Director · 10% owner Ares Management GP LLC · CIK 0001620264 · Director · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 340,906 Underlying: Common Stock, par value $0.0001 · 340,906 shares Expires 2020-09-09 F1 · kind: These securities were issued in connection with the bankruptcy reorganization plan (the "Plan") of the Issuer and its affiliates effective September 9, 2016 (the "Effective Date"). F2 · price: Pursuant to the Plan, the Reporting Persons were issued 17,981,822 shares of common stock and warrants to purchase 340,906 shares of common stock. Also pursuant to the Plan, on the Effective Date, total debt obligations of the Issuer and its subsidiaries held by the Reporting Persons or their affiliates in the aggregate of $314,929,000 were cancelled. F9 · derivative.exercise_date: The warrants can be exercised at any time. F5 · derivative.underlying_shares: The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management, L.P. ("Ares Management"). The general partner of Ares Management is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, and Ares Management GP, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, David Kaplan, John Kissick, Antony Ressler and Bennett Rosenthal. (Continued in footnote 6) F6 · derivative.underlying_shares: Decisions by Ares Partners' board of managers generally are made by a majority of the members, which majority, subject to certain conditions, must include Antony Ressler. Each of the Ares Entities and the members of Ares Partners' board of managers and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067. F7 · derivative.underlying_shares: The amount reported reflects warrants exercisable for an aggregate of 340,906 shares, in the following amounts: 105,620 shares by AF IV Energy II AIV B1, L.P., 16,764 shares by AF IV Energy II AIV A1, L.P., 25,136 shares by AF IV Energy II AIV A2, L.P., 10,613 shares by AF IV Energy II AIV A3, L.P., 10,846 shares by AF IV Energy II AIV A4, L.P., 13,916 shares by AF IV Energy II AIV A5, L.P., 10,899 shares by AF IV Energy II AIV A6, L.P., 5,591 shares by AF IV Energy II AIV A7, L.P., 10,840 shares by AF IV Energy II AIV A8, L.P., 11,236 shares by AF IV Energy II AIV A9, L.P., 16,764 shares by AF IV Energy II AIV A10, L.P., 6,279 shares by AF IV Energy II AIV A11, L.P., 11,166 shares by AF IV Energy II AIV A12, L.P., 2,691 shares by SSF III Halcon AIV B1, L.P., 11,540 shares by SSF III Halcon AIV 1, L.P., 1,735 shares by SSF III Halcon AIV 2, L.P., 3,314 shares by SSF III Halcon AIV 3, L.P., (Continued in footnote 8) F8 · derivative.underlying_shares: 20,518 shares by SSF IV Halcon AIV B1, L.P., 949 shares by SSF IV Halcon AIV 1, L.P., 7,031 shares by SSF IV Halcon AIV 2, L.P., 7,637 shares by SSF IV Halcon AIV 3, L.P., 1,910 shares by SSF IV Halcon AIV 4, L.P., 4,211 shares by SSF IV Halcon AIV 5, L.P., 7,089 shares by SSF IV Halcon AIV 6, L.P., 8,516 shares by SSF IV Halcon AIV 7, L.P., 2,132 shares by Ares Strategic Investment Partners Ltd., 3,244 shares by Future Fund Board of Guardians, 1,677 shares by ASIP (Holdco) IV S.a.r.l. and 1,042 shares by Ares Multi-Strategy Credit Fund V (H), L.P. The manager of the foregoing entities is Ares Management LLC. F5 · ownership.nature: The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management, L.P. ("Ares Management"). The general partner of Ares Management is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, and Ares Management GP, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, David Kaplan, John Kissick, Antony Ressler and Bennett Rosenthal. (Continued in footnote 6) F6 · ownership.nature: Decisions by Ares Partners' board of managers generally are made by a majority of the members, which majority, subject to certain conditions, must include Antony Ressler. Each of the Ares Entities and the members of Ares Partners' board of managers and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067. F7 · ownership.nature: The amount reported reflects warrants exercisable for an aggregate of 340,906 shares, in the following amounts: 105,620 shares by AF IV Energy II AIV B1, L.P., 16,764 shares by AF IV Energy II AIV A1, L.P., 25,136 shares by AF IV Energy II AIV A2, L.P., 10,613 shares by AF IV Energy II AIV A3, L.P., 10,846 shares by AF IV Energy II AIV A4, L.P., 13,916 shares by AF IV Energy II AIV A5, L.P., 10,899 shares by AF IV Energy II AIV A6, L.P., 5,591 shares by AF IV Energy II AIV A7, L.P., 10,840 shares by AF IV Energy II AIV A8, L.P., 11,236 shares by AF IV Energy II AIV A9, L.P., 16,764 shares by AF IV Energy II AIV A10, L.P., 6,279 shares by AF IV Energy II AIV A11, L.P., 11,166 shares by AF IV Energy II AIV A12, L.P., 2,691 shares by SSF III Halcon AIV B1, L.P., 11,540 shares by SSF III Halcon AIV 1, L.P., 1,735 shares by SSF III Halcon AIV 2, L.P., 3,314 shares by SSF III Halcon AIV 3, L.P., (Continued in footnote 8) F8 · ownership.nature: 20,518 shares by SSF IV Halcon AIV B1, L.P., 949 shares by SSF IV Halcon AIV 1, L.P., 7,031 shares by SSF IV Halcon AIV 2, L.P., 7,637 shares by SSF IV Halcon AIV 3, L.P., 1,910 shares by SSF IV Halcon AIV 4, L.P., 4,211 shares by SSF IV Halcon AIV 5, L.P., 7,089 shares by SSF IV Halcon AIV 6, L.P., 8,516 shares by SSF IV Halcon AIV 7, L.P., 2,132 shares by Ares Strategic Investment Partners Ltd., 3,244 shares by Future Fund Board of Guardians, 1,677 shares by ASIP (Holdco) IV S.a.r.l. and 1,042 shares by Ares Multi-Strategy Credit Fund V (H), L.P. The manager of the foregoing entities is Ares Management LLC. Read SEC document
September 09, 2016 Filed Sep 13, 2016 23:16 UTC	BATTALION OIL CORP HK · Entity 6921	OtherCommon Stock, $0.0001 par value	17,981,822	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-16-144458 · a4.xml · nonDerivative · entry 1 ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner Ares Holdco LLC · CIK 0001669983 · Director · 10% owner Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner ARES MANAGEMENT LP · CIK 0001176948 · Director · 10% owner Ares Management GP LLC · CIK 0001620264 · Director · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 17,981,822 F1 · kind: These securities were issued in connection with the bankruptcy reorganization plan (the "Plan") of the Issuer and its affiliates effective September 9, 2016 (the "Effective Date"). F2 · price: Pursuant to the Plan, the Reporting Persons were issued 17,981,822 shares of common stock and warrants to purchase 340,906 shares of common stock. Also pursuant to the Plan, on the Effective Date, total debt obligations of the Issuer and its subsidiaries held by the Reporting Persons or their affiliates in the aggregate of $314,929,000 were cancelled. F3 · ownership.nature: The amounts of securities acquired reported in this Form 4 reflect an aggregate of 17,981,822 shares, in the following amounts: 4,584,460 shares by AF IV Energy II AIV B1, L.P., 727,651 shares by AF IV Energy II AIV A1, L.P., 1,091,366 shares by AF IV Energy II AIV A2, L.P., 460,774 shares by AF IV Energy II AIV A3, L.P., 471,169 shares by AF IV Energy II AIV A4, L.P., 603,875 shares by AF IV Energy II AIV A5, L.P., 472,916 shares by AF IV Energy II AIV A6, L.P., 242,562 shares by AF IV Energy II AIV A7, L.P., 470,538 shares by AF IV Energy II AIV A8, L.P., 487,756 shares by AF IV Energy II AIV A9, L.P., 727,651 shares by AF IV Energy II AIV A10, L.P., 272,823 shares by AF IV Energy II AIV A11, L.P., 484,996 shares by AF IV Energy II AIV A12, L.P., 221,604 shares by SSF III Halcon AIV B1, L.P., 949,666 shares by SSF III Halcon AIV 1, L.P., 142,470 shares by SSF III Halcon AIV 2, L.P., (Continued in footnote 4) F4 · ownership.nature: 272,257 shares by SSF III Halcon AIV 3, L.P., 1,540,296 shares by SSF IV Halcon AIV B1, L.P., 71,669 shares by SSF IV Halcon AIV 1, L.P., 528,207 shares by SSF IV Halcon AIV 2, L.P., 573,655 shares by SSF IV Halcon AIV 3, L.P., 143,453 shares by SSF IV Halcon AIV 4, L.P., 316,411 shares by SSF IV Halcon AIV 5, L.P., 532,209 shares by SSF IV Halcon AIV 6, L.P., 639,592 shares by SSF IV Halcon AIV 7, L.P., 292,519 shares by Ares Dynamic Credit Allocation Fund, Inc., 194,858 shares by Ares Strategic Investment Partners Ltd., 224,654 shares by Future Fund Board of Guardians, 95,790 shares by ASIP (Holdco) IV S.a.r.l., 42,051 shares by Ares Multi-Strategy Credit Fund V (H), L.P., 67,228 shares by Transatlantic Reinsurance Company and 34,696 shares by RSUI Indemnity Company. The manager of the foregoing entities is Ares Management LLC. (Continued in footnote 5) F5 · ownership.nature: The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management, L.P. ("Ares Management"). The general partner of Ares Management is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, and Ares Management GP, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, David Kaplan, John Kissick, Antony Ressler and Bennett Rosenthal. (Continued in footnote 6) F6 · ownership.nature: Decisions by Ares Partners' board of managers generally are made by a majority of the members, which majority, subject to certain conditions, must include Antony Ressler. Each of the Ares Entities and the members of Ares Partners' board of managers and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067. 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.