Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BATTALION OIL CORPHK · Entity 6921 | SVP, CAO and Controller | September 12, 2017 | September 18, 2017 |
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.
BATTALION OIL CORP
Report date September 12, 2017 · Filed September 18, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 72,086 |
Ending reported balance
After 2017-09-12 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2017-09-12 · Tax withholding · Disposed 8,546 · Balance 77,783 F1: Represents shares withheld to satisfy withholding taxes applicable upon vesting of the September 12, 2016 restricted stock grant. Row 2 · 2017-09-12 · Tax withholding · Disposed 5,697 · Balance 72,086 F2: Represents shares withheld to satisfy withholding taxes applicable upon vesting of the April 11, 2017 restricted stock grant. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares withheld to satisfy withholding taxes applicable upon vesting of the September 12, 2016 restricted stock grant.
F2: Represents shares withheld to satisfy withholding taxes applicable upon vesting of the April 11, 2017 restricted stock grant.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 12, 2017 Filed Sep 18, 2017 11:12 UTC | BATTALION OIL CORP HK · Entity 6921 | Tax withholdingCommon Stock | 5,697 | $6.24 | $35,549.28 |
DisclosureSEC source: 0001209191-17-053091 · doc4.xml · nonDerivative · entry 2 Rinando Joseph S III · CIK 0001359225 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,086 F2 · kind: Represents shares withheld to satisfy withholding taxes applicable upon vesting of the April 11, 2017 restricted stock grant. Read SEC document |
| September 12, 2017 Filed Sep 18, 2017 11:12 UTC | BATTALION OIL CORP HK · Entity 6921 | Tax withholdingCommon Stock | 8,546 | $6.24 | $53,327.04 |
DisclosureSEC source: 0001209191-17-053091 · doc4.xml · nonDerivative · entry 1 Rinando Joseph S III · CIK 0001359225 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,783 F1 · kind: Represents shares withheld to satisfy withholding taxes applicable upon vesting of the September 12, 2016 restricted stock grant. Read SEC document |
| April 11, 2017 Filed Apr 13, 2017 22:42 UTC | BATTALION OIL CORP HK · Entity 6921 | GrantEmployee Stock Options (Right to Buy) · Derivative | 41,667 | $0.00 Strike: $7.75 | $0.00 |
DisclosureSEC source: 0001209191-17-026937 · doc4.xml · derivative · entry 2 Rinando Joseph S III · CIK 0001359225 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,667 Underlying: Common Stock · 41,667 shares Expires 2027-04-11 F2 · derivative.exercise_date: Pursuant to that certain Joint Prepackaged Chapter 11 Plan Under Chapter 11 of the Bankruptcy Code, dated as of September 2, 2016 (the "Plan") which became effective pursuant to its terms on September 9, 2016, the Reporting Person received stock options granted in accordance with the terms of the Plan. The stock options will vest fully in three equal annual installments beginning on April 11, 2018. Read SEC document |
| April 11, 2017 Filed Apr 13, 2017 22:42 UTC | BATTALION OIL CORP HK · Entity 6921 | GrantCommon Stock | 20,833 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-026937 · doc4.xml · nonDerivative · entry 1 Rinando Joseph S III · CIK 0001359225 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,329 F1 · price: Pursuant to the certain Joint Prepackaged Chapter 11 Plan Under Chapter 11 of the Bankruptcy Code, dated as of September 2, 2016 (the "Plan") which became effective pursuant to its terms on September 9, 2016, the Reporting Person received an award of restricted stock in accordance with the terms of the Plan. The restricted stock award will vest fully in one installment on September 12, 2017. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 01:53 UTC | BATTALION OIL CORP HK · Entity 6921 | OtherWarrants (Right to Buy) · Derivative | 129 | $0.00 Strike: $14.04 | $0.00 |
DisclosureSEC source: 0001209191-16-151517 · doc4.xml · derivative · entry 2 Rinando Joseph S III · CIK 0001359225 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129 Underlying: Common Stock · 129 shares Expires 2020-09-09 F1 · kind: Pro rata distribution from Mwewe Partners LLC. Read SEC document |
| November 17, 2016 Filed Nov 22, 2016 01:53 UTC | BATTALION OIL CORP HK · Entity 6921 | OtherCommon Stock | 491 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-151517 · doc4.xml · nonDerivative · entry 1 Rinando Joseph S III · CIK 0001359225 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,496 F1 · kind: Pro rata distribution from Mwewe Partners LLC. Read SEC document |
| September 12, 2016 Filed Sep 13, 2016 22:12 UTC | BATTALION OIL CORP HK · Entity 6921 | GrantEmployee Stock Option (Right to Buy) · Derivative | 125,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-16-141278 · doc4.xml · derivative · entry 4 Rinando Joseph S III · CIK 0001359225 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2026-09-12 F4 · derivative.exercise_price: In accordance with the Plan approved by the Bankruptcy Court, the Reporting Person received an award of stock options ("Options") granted on the first full day of trading of the New Shares following the Effective Date. The exercise price per share of the Options will be equal to the greater of (1) the per share value based on an Issuer equity value of $650.0 million or (2) the weighted average trading price of the New Shares for the seven (7) trading days commencing on the first trading day immediately following the Effective Date (assuming the New Shares are then publicly traded). The Options will vest over 3 years in equal annual installments provided the Reporting Person remains employed by the Issuer as of the respective annual vesting dates. F4 · shares: In accordance with the Plan approved by the Bankruptcy Court, the Reporting Person received an award of stock options ("Options") granted on the first full day of trading of the New Shares following the Effective Date. The exercise price per share of the Options will be equal to the greater of (1) the per share value based on an Issuer equity value of $650.0 million or (2) the weighted average trading price of the New Shares for the seven (7) trading days commencing on the first trading day immediately following the Effective Date (assuming the New Shares are then publicly traded). The Options will vest over 3 years in equal annual installments provided the Reporting Person remains employed by the Issuer as of the respective annual vesting dates. F4 · price: In accordance with the Plan approved by the Bankruptcy Court, the Reporting Person received an award of stock options ("Options") granted on the first full day of trading of the New Shares following the Effective Date. The exercise price per share of the Options will be equal to the greater of (1) the per share value based on an Issuer equity value of $650.0 million or (2) the weighted average trading price of the New Shares for the seven (7) trading days commencing on the first trading day immediately following the Effective Date (assuming the New Shares are then publicly traded). The Options will vest over 3 years in equal annual installments provided the Reporting Person remains employed by the Issuer as of the respective annual vesting dates. F4 · derivative.exercise_date: In accordance with the Plan approved by the Bankruptcy Court, the Reporting Person received an award of stock options ("Options") granted on the first full day of trading of the New Shares following the Effective Date. The exercise price per share of the Options will be equal to the greater of (1) the per share value based on an Issuer equity value of $650.0 million or (2) the weighted average trading price of the New Shares for the seven (7) trading days commencing on the first trading day immediately following the Effective Date (assuming the New Shares are then publicly traded). The Options will vest over 3 years in equal annual installments provided the Reporting Person remains employed by the Issuer as of the respective annual vesting dates. Read SEC document |
| September 12, 2016 Filed Sep 13, 2016 22:12 UTC | BATTALION OIL CORP HK · Entity 6921 | GrantCommon Stock | 62,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-141278 · doc4.xml · nonDerivative · entry 3 Rinando Joseph S III · CIK 0001359225 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,005 F3 · kind: In accordance with the Plan approved by the Bankruptcy Court, the Reporting Person received an award of restricted stock, 50% of which will vest on the grant date being the first full day of trading of the New Shares following the Effective Date. The remaining 50% will vest on the first anniversary of the grant date, provided the Reporting Person remains employed by the Issuer as of such vesting date. F3 · shares: In accordance with the Plan approved by the Bankruptcy Court, the Reporting Person received an award of restricted stock, 50% of which will vest on the grant date being the first full day of trading of the New Shares following the Effective Date. The remaining 50% will vest on the first anniversary of the grant date, provided the Reporting Person remains employed by the Issuer as of such vesting date. F3 · price: In accordance with the Plan approved by the Bankruptcy Court, the Reporting Person received an award of restricted stock, 50% of which will vest on the grant date being the first full day of trading of the New Shares following the Effective Date. The remaining 50% will vest on the first anniversary of the grant date, provided the Reporting Person remains employed by the Issuer as of such vesting date. Read SEC document |
| September 12, 2016 Filed Sep 13, 2016 22:12 UTC | BATTALION OIL CORP HK · Entity 6921 | OtherCommon Stock | 2,505 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-141278 · doc4.xml · nonDerivative · entry 2 Rinando Joseph S III · CIK 0001359225 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,505 F2 · kind: New shares of the Issuer's common stock, par value $0.0001 per share (the "New Shares") were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 New Share for every 34 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of New Shares was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. F2 · shares: New shares of the Issuer's common stock, par value $0.0001 per share (the "New Shares") were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 New Share for every 34 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of New Shares was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. F2 · price: New shares of the Issuer's common stock, par value $0.0001 per share (the "New Shares") were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 1 New Share for every 34 shares of Old Common Stock held by the Reporting Person on the Effective Date of the Plan. The receipt of New Shares was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court. Read SEC document |
| September 12, 2016 Filed Sep 22, 2016 20:23 UTC Amendment | BATTALION OIL CORP HK · Entity 6921 | GrantEmployee Stock Option (Right to Buy) · Derivative | 125,000 | $0.00 Strike: $9.24 | $0.00 |
DisclosureSEC source: 0001209191-16-142461 · doc4a.xml · derivative · entry 2 Rinando Joseph S III · CIK 0001359225 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2026-09-12 F1 · derivative.exercise_price: In accordance with the Plan approved by the Bankruptcy Court, the exercise price of the Options on was determined after the market closed on September 20, 2016. All other details of the Option grant were reported to the Securities and Exchange Commission on September 13, 2016. F1 · price: In accordance with the Plan approved by the Bankruptcy Court, the exercise price of the Options on was determined after the market closed on September 20, 2016. All other details of the Option grant were reported to the Securities and Exchange Commission on September 13, 2016. F2 · derivative.exercise_date: The option vests in three equal annual installments beginning September 12, 2017. Read SEC document |
| September 09, 2016 Filed Sep 13, 2016 22:12 UTC | BATTALION OIL CORP HK · Entity 6921 | OtherCommon Stock | 85,053 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-141278 · doc4.xml · nonDerivative · entry 1 Rinando Joseph S III · CIK 0001359225 · SVP, CAO and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: On July 27, 2016, the Issuer and certain of its subsidiaries (the "Debtors") filed voluntary petitions for relief under chapter 11 of title 11 of the United States Code in the United States Bankruptcy Court for the District of Delaware (the "Bankruptcy Court"). On September 8, 2016, the Bankruptcy Court entered an order confirming the Debtors' Amended Joint Prepackaged Chapter 11 Plan Under Chapter 11 of the Bankruptcy Code, dated as of September 2, 2016 (the "Plan") and on September 9, 2016 (the "Effective Date"), the Plan became effective pursuant to its terms and the Debtors emerged from the chapter 11 cases. On the Effective Date, all outstanding shares of the Issuer's common stock (the "Old Common Stock") were cancelled and extinguished. F1 · shares: On July 27, 2016, the Issuer and certain of its subsidiaries (the "Debtors") filed voluntary petitions for relief under chapter 11 of title 11 of the United States Code in the United States Bankruptcy Court for the District of Delaware (the "Bankruptcy Court"). On September 8, 2016, the Bankruptcy Court entered an order confirming the Debtors' Amended Joint Prepackaged Chapter 11 Plan Under Chapter 11 of the Bankruptcy Code, dated as of September 2, 2016 (the "Plan") and on September 9, 2016 (the "Effective Date"), the Plan became effective pursuant to its terms and the Debtors emerged from the chapter 11 cases. On the Effective Date, all outstanding shares of the Issuer's common stock (the "Old Common Stock") were cancelled and extinguished. F1 · price: On July 27, 2016, the Issuer and certain of its subsidiaries (the "Debtors") filed voluntary petitions for relief under chapter 11 of title 11 of the United States Code in the United States Bankruptcy Court for the District of Delaware (the "Bankruptcy Court"). On September 8, 2016, the Bankruptcy Court entered an order confirming the Debtors' Amended Joint Prepackaged Chapter 11 Plan Under Chapter 11 of the Bankruptcy Code, dated as of September 2, 2016 (the "Plan") and on September 9, 2016 (the "Effective Date"), the Plan became effective pursuant to its terms and the Debtors emerged from the chapter 11 cases. On the Effective Date, all outstanding shares of the Issuer's common stock (the "Old Common Stock") were cancelled and extinguished. 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.