Little Richard H

SEC source: 0001193125-26-397218 · ownership.xml · nonDerivative · entry 1

Little Richard H · CIK 0001779908 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

SEC source: 0001193125-26-267756 · ownership.xml · nonDerivative · entry 1

Little Richard H · CIK 0001779908 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.27 to $1.30, inclusive. The reporting person undertakes to provide to enCore Energy Corp., any security holder of enCore Energy Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4.

SEC source: 0001193125-26-170439 · ownership.xml · derivative · entry 2

Little Richard H · CIK 0001779908 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Shares · 300,000 shares

Expires 2031-04-20

F3 · derivative.exercise_date: On April 20, 2026, the reporting person was granted 300,000 stock options. The stock options vest and become exercisable one-third on April 20, 2027, one-third on April 20, 2028 and one-third on April 20, 2029.

SEC source: 0001193125-26-170439 · ownership.xml · derivative · entry 1

Little Richard H · CIK 0001779908 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Shares · 100,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one common share of enCore Energy Corp.

F2 · derivative.exercise_date: On April 20, 2026, the reporting person was granted 100,000 restricted stock units. The restricted stock units vest one-third on April 20, 2027, one-third on April 20, 2028 and one-third on April 20, 2029.

F2 · derivative.expiration_date: On April 20, 2026, the reporting person was granted 100,000 restricted stock units. The restricted stock units vest one-third on April 20, 2027, one-third on April 20, 2028 and one-third on April 20, 2029.

SEC source: 0001193125-26-356973 · ownership.xml · derivative · entry 1

Little Richard H · CIK 0001779908 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Shares · 300,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each performance share unit represents the contingent right to receive one common share of enCore Energy Corp. (the "Company") subject to performance objectives regarding total shareholder return performance of the Company measured against a peer group of uranium industry companies over a three-year performance period ending December 31, 2028. The number of performance share units represents the target number, and the reporting person may earn between 0% and 200% of the target number of performance share units.

F1 · shares: Each performance share unit represents the contingent right to receive one common share of enCore Energy Corp. (the "Company") subject to performance objectives regarding total shareholder return performance of the Company measured against a peer group of uranium industry companies over a three-year performance period ending December 31, 2028. The number of performance share units represents the target number, and the reporting person may earn between 0% and 200% of the target number of performance share units.

F1 · derivative.exercise_date: Each performance share unit represents the contingent right to receive one common share of enCore Energy Corp. (the "Company") subject to performance objectives regarding total shareholder return performance of the Company measured against a peer group of uranium industry companies over a three-year performance period ending December 31, 2028. The number of performance share units represents the target number, and the reporting person may earn between 0% and 200% of the target number of performance share units.

F1 · derivative.expiration_date: Each performance share unit represents the contingent right to receive one common share of enCore Energy Corp. (the "Company") subject to performance objectives regarding total shareholder return performance of the Company measured against a peer group of uranium industry companies over a three-year performance period ending December 31, 2028. The number of performance share units represents the target number, and the reporting person may earn between 0% and 200% of the target number of performance share units.

SEC source: 0001493152-24-039813 · ownership.xml · derivative · entry 1

Little Richard H · CIK 0001779908 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2034-10-02

F1 · derivative.exercise_price: $3.30 Canadian dollars; converted to USD at 1.3491 CDN per $1.00 USD, the Bank of Canada Exchange Rate as of October 2, 2024.

F2 · derivative.exercise_date: The option is fully vested.

SEC source: 0001209191-23-011728 · doc4.xml · derivative · entry 3

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,710

Underlying: Common Stock · 17,709 shares

Expires not disclosed

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

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

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

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

SEC source: 0001209191-23-011728 · doc4.xml · nonDerivative · entry 2

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,471

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

SEC source: 0001209191-23-011728 · doc4.xml · nonDerivative · entry 1

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,279

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

SEC source: 0001209191-22-035967 · doc4.xml · nonDerivative · entry 1

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,570

SEC source: 0001209191-22-034325 · doc4.xml · nonDerivative · entry 1

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,570

SEC source: 0001209191-22-012291 · doc4.xml · derivative · entry 3

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,419

Underlying: Common Stock · 17,709 shares

Expires not disclosed

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

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

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

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

SEC source: 0001209191-22-012291 · doc4.xml · nonDerivative · entry 2

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,570

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

SEC source: 0001209191-22-012291 · doc4.xml · nonDerivative · entry 1

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,106

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

SEC source: 0001209191-21-056243 · doc4.xml · nonDerivative · entry 1

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,397

F1 · price: The price reported in Column 4 is weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.755 to $8.00, inclusive.

SEC source: 0001209191-21-056027 · doc4.xml · nonDerivative · entry 1

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,397

F1 · price: The price reported in Column 4 is weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.505 to $8.14, inclusive.

SEC source: 0001209191-21-013296 · doc4.xml · derivative · entry 3

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,128

Underlying: Common Stock · 17,709 shares

Expires not disclosed

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

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

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

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

SEC source: 0001209191-21-013296 · doc4.xml · nonDerivative · entry 2

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,397

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

SEC source: 0001209191-21-013296 · doc4.xml · nonDerivative · entry 1

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,709

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

SEC source: 0001209191-20-011516 · doc4.xml · derivative · entry 6

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,674

Underlying: Common Stock · 141,674 shares

Expires not disclosed

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

F1 · kind: On August 7, 2019, the Issuer and its subsidiaries (collectively, the "Debtors") filed voluntary petitions for relief under chapter 11 of title 11 of the United States Code in the United States Bankruptcy Court for the Southern District of Texas (the "Chapter 11 Cases," and such court, the "Bankruptcy Court"). On September 24, 2019, the Bankruptcy Court entered an order (the "Confirmation Order") confirming the Debtors' Joint Prepackaged Plan of Reorganization, as modified by the Confirmation Order (the "Plan"). On October 8, 2019 (the "Effective Date"), the Plan became effective in accordance with its terms and the Debtors emerged from the Chapter 11 Cases. On the Effective Date, all outstanding shares of the Issuer's common stock (the "Old Common Stock") were cancelled and extinguished.

F2 · kind: All awards are issued in accordance with the Plan approved by the Bankruptcy Court and pursuant to the Battalion Oil Corporation 2020 Long-Term Incentive Plan ("the LTIP") approved and adopted by the Board of Directors.

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

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

SEC source: 0001209191-20-011516 · doc4.xml · derivative · entry 5

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,837

Underlying: Common Stock · 70,837 shares

Expires not disclosed

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

F1 · kind: On August 7, 2019, the Issuer and its subsidiaries (collectively, the "Debtors") filed voluntary petitions for relief under chapter 11 of title 11 of the United States Code in the United States Bankruptcy Court for the Southern District of Texas (the "Chapter 11 Cases," and such court, the "Bankruptcy Court"). On September 24, 2019, the Bankruptcy Court entered an order (the "Confirmation Order") confirming the Debtors' Joint Prepackaged Plan of Reorganization, as modified by the Confirmation Order (the "Plan"). On October 8, 2019 (the "Effective Date"), the Plan became effective in accordance with its terms and the Debtors emerged from the Chapter 11 Cases. On the Effective Date, all outstanding shares of the Issuer's common stock (the "Old Common Stock") were cancelled and extinguished.

F2 · kind: All awards are issued in accordance with the Plan approved by the Bankruptcy Court and pursuant to the Battalion Oil Corporation 2020 Long-Term Incentive Plan ("the LTIP") approved and adopted by the Board of Directors.

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

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

SEC source: 0001209191-20-011516 · doc4.xml · derivative · entry 4

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,837

Underlying: Common Stock · 70,837 shares

Expires not disclosed

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

F1 · kind: On August 7, 2019, the Issuer and its subsidiaries (collectively, the "Debtors") filed voluntary petitions for relief under chapter 11 of title 11 of the United States Code in the United States Bankruptcy Court for the Southern District of Texas (the "Chapter 11 Cases," and such court, the "Bankruptcy Court"). On September 24, 2019, the Bankruptcy Court entered an order (the "Confirmation Order") confirming the Debtors' Joint Prepackaged Plan of Reorganization, as modified by the Confirmation Order (the "Plan"). On October 8, 2019 (the "Effective Date"), the Plan became effective in accordance with its terms and the Debtors emerged from the Chapter 11 Cases. On the Effective Date, all outstanding shares of the Issuer's common stock (the "Old Common Stock") were cancelled and extinguished.

F2 · kind: All awards are issued in accordance with the Plan approved by the Bankruptcy Court and pursuant to the Battalion Oil Corporation 2020 Long-Term Incentive Plan ("the LTIP") approved and adopted by the Board of Directors.

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

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

SEC source: 0001209191-20-011516 · doc4.xml · derivative · entry 3

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,837

Underlying: Common Stock · 70,837 shares

Expires 2027-02-20

F1 · kind: On August 7, 2019, the Issuer and its subsidiaries (collectively, the "Debtors") filed voluntary petitions for relief under chapter 11 of title 11 of the United States Code in the United States Bankruptcy Court for the Southern District of Texas (the "Chapter 11 Cases," and such court, the "Bankruptcy Court"). On September 24, 2019, the Bankruptcy Court entered an order (the "Confirmation Order") confirming the Debtors' Joint Prepackaged Plan of Reorganization, as modified by the Confirmation Order (the "Plan"). On October 8, 2019 (the "Effective Date"), the Plan became effective in accordance with its terms and the Debtors emerged from the Chapter 11 Cases. On the Effective Date, all outstanding shares of the Issuer's common stock (the "Old Common Stock") were cancelled and extinguished.

F2 · kind: All awards are issued in accordance with the Plan approved by the Bankruptcy Court and pursuant to the Battalion Oil Corporation 2020 Long-Term Incentive Plan ("the LTIP") approved and adopted by the Board of Directors.

F5 · derivative.exercise_date: The Reporting Person received an award of stock options ("Options") granted on the first full day of trading of the New Shares following the Effective Date. The exercise price per share of the Options will be equal to an Issuer equity value of $670.0 million divided by the number of shares outstanding. The Options vest in four equal annual installments beginning February 20, 2021.

SEC source: 0001209191-20-011516 · doc4.xml · derivative · entry 2

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,837

Underlying: Common Stock · 70,837 shares

Expires 2027-02-20

F1 · kind: On August 7, 2019, the Issuer and its subsidiaries (collectively, the "Debtors") filed voluntary petitions for relief under chapter 11 of title 11 of the United States Code in the United States Bankruptcy Court for the Southern District of Texas (the "Chapter 11 Cases," and such court, the "Bankruptcy Court"). On September 24, 2019, the Bankruptcy Court entered an order (the "Confirmation Order") confirming the Debtors' Joint Prepackaged Plan of Reorganization, as modified by the Confirmation Order (the "Plan"). On October 8, 2019 (the "Effective Date"), the Plan became effective in accordance with its terms and the Debtors emerged from the Chapter 11 Cases. On the Effective Date, all outstanding shares of the Issuer's common stock (the "Old Common Stock") were cancelled and extinguished.

F2 · kind: All awards are issued in accordance with the Plan approved by the Bankruptcy Court and pursuant to the Battalion Oil Corporation 2020 Long-Term Incentive Plan ("the LTIP") approved and adopted by the Board of Directors.

F4 · derivative.exercise_date: The Reporting Person received an award of stock options ("Options") granted on the first full day of trading of the New Shares following the Effective Date. The exercise price per share of the Options will be equal to an Issuer equity value of $500.0 million divided by the number of shares outstanding. The Options vest in four equal annual installments beginning February 20, 2021.

SEC source: 0001209191-20-011516 · doc4.xml · derivative · entry 1

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,837

Underlying: Common Stock · 70,837 shares

Expires 2027-02-20

F1 · kind: On August 7, 2019, the Issuer and its subsidiaries (collectively, the "Debtors") filed voluntary petitions for relief under chapter 11 of title 11 of the United States Code in the United States Bankruptcy Court for the Southern District of Texas (the "Chapter 11 Cases," and such court, the "Bankruptcy Court"). On September 24, 2019, the Bankruptcy Court entered an order (the "Confirmation Order") confirming the Debtors' Joint Prepackaged Plan of Reorganization, as modified by the Confirmation Order (the "Plan"). On October 8, 2019 (the "Effective Date"), the Plan became effective in accordance with its terms and the Debtors emerged from the Chapter 11 Cases. On the Effective Date, all outstanding shares of the Issuer's common stock (the "Old Common Stock") were cancelled and extinguished.

F2 · kind: All awards are issued in accordance with the Plan approved by the Bankruptcy Court and pursuant to the Battalion Oil Corporation 2020 Long-Term Incentive Plan ("the LTIP") approved and adopted by the Board of Directors.

F3 · derivative.exercise_date: The Reporting Person received an award of stock options ("Options") granted on the first full day of trading of the New Shares following the Effective Date. The exercise price per share of the Options will be equal to an Issuer equity value of $335.0 million divided by the number of shares outstanding. The Options vest in four equal annual installments beginning February 20, 2021.

SEC source: 0001209191-19-052985 · doc4.xml · nonDerivative · entry 1

Little Richard H · CIK 0001779908 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On August 7, 2019, the Issuer and its subsidiaries (collectively, the "Debtors") filed voluntary petitions for relief under chapter 11 of title 11 of the United States Code in the United States Bankruptcy Court for the Southern District of Texas (the "Chapter 11 Cases," and such court, the "Bankruptcy Court"). On September 24, 2019, the Bankruptcy Court entered an order (the "Confirmation Order") confirming the Debtors' Joint Prepackaged Plan of Reorganization, as modified by the Confirmation Order (the "Plan"). On October 8, 2019 (the "Effective Date"), the Plan became effective in accordance with its terms and the Debtors emerged from the Chapter 11 Cases. On the Effective Date, all outstanding shares of the Issuer's common stock (the "Old Common Stock") were cancelled and extinguished.