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Luminus Energy Partners Master Fund, Ltd.

Disclosed activity across 3 companies

Tapewire entity
44241
SEC CIK
0001405850

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
BATTALION OIL CORPBATL · Entity 692110% ownerSeptember 21, 2026September 23, 2026
CELADON GROUP INCCGIP · Entity 15549310% ownerApril 04, 2018August 05, 2019

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 21, 2026 · Filed September 23, 2026

Jointly reported with LUMINUS MANAGEMENT LLC, Barrett Jonathan Dan

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote881,932 Reported balance After 2026-09-21 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2026-09-21 · Other · Disposed 187,523 · Balance 881,932

F1: As previously disclosed, on March 24, 2026, Luminus Energy Partners Master Fund, Ltd. ("Master Fund") effected a distribution in kind of 5,200,000 shares (the "Shares") of common stock of the Issuer in the aggregate to: (i) its two feeder funds, Luminus Energy Partners QP, LP, a Delaware limited partnership ("LEP Onshore"), which received 2,117,138 Shares, and LEP Offshore (through LILP, an intermediary entity which received 2,641,190 Shares); and (ii) two affiliates that have economic interests in the Master Fund, namely LCP Onshore, which received 391,694 Shares, and LCP Offshore, which received 91,930 Shares. Each of the Funds had issued illiquid certificates to their respective investors on April 1, 2020.

F2: In connection with the distribution in kind, the Manager planned to distribute 5,200,000 shares of common stock. As Certificate Holders entitled to receive 1,145,542 shares of common stock (the "Segregated Shares") in the aggregate did not either (i) respond or provide the requisite information to the Fund's administrator and the Manager to receive the Segregated Shares, (ii) were unable to accept delivery of the Segregated Shares or (iii) chose not to participate in the distribution (such Certificate Holders being referred to as the "Non Returners"), the Master Fund continues to hold the Segregated Shares and retains both voting and disposition power over the Segregated Shares.

F3: The Master Fund, however, has no economic interest in the Segregated Shares as the Master Fund is holding the Segregated Shares for the benefit of the Non Returners. On September 21, 2026, the Master Fund distributed 187,523 shares of common stock to certain Non Returners who provided their information.

F4: As of the date of this report, 20,966 of the Segregated Shares remain undistributed. The Master Fund can, in its discretion, sell the Segregated Shares on behalf of the Non Returners and/or make one or more distribution in kind of the Segregated Shares to the Non Returners who provide their requisite information.

F5: Shares reported herein are held by the Master Fund for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: As previously disclosed, on March 24, 2026, Luminus Energy Partners Master Fund, Ltd. ("Master Fund") effected a distribution in kind of 5,200,000 shares (the "Shares") of common stock of the Issuer in the aggregate to: (i) its two feeder funds, Luminus Energy Partners QP, LP, a Delaware limited partnership ("LEP Onshore"), which received 2,117,138 Shares, and LEP Offshore (through LILP, an intermediary entity which received 2,641,190 Shares); and (ii) two affiliates that have economic interests in the Master Fund, namely LCP Onshore, which received 391,694 Shares, and LCP Offshore, which received 91,930 Shares. Each of the Funds had issued illiquid certificates to their respective investors on April 1, 2020.

F2: In connection with the distribution in kind, the Manager planned to distribute 5,200,000 shares of common stock. As Certificate Holders entitled to receive 1,145,542 shares of common stock (the "Segregated Shares") in the aggregate did not either (i) respond or provide the requisite information to the Fund's administrator and the Manager to receive the Segregated Shares, (ii) were unable to accept delivery of the Segregated Shares or (iii) chose not to participate in the distribution (such Certificate Holders being referred to as the "Non Returners"), the Master Fund continues to hold the Segregated Shares and retains both voting and disposition power over the Segregated Shares.

F3: The Master Fund, however, has no economic interest in the Segregated Shares as the Master Fund is holding the Segregated Shares for the benefit of the Non Returners. On September 21, 2026, the Master Fund distributed 187,523 shares of common stock to certain Non Returners who provided their information.

F4: As of the date of this report, 20,966 of the Segregated Shares remain undistributed. The Master Fund can, in its discretion, sell the Segregated Shares on behalf of the Non Returners and/or make one or more distribution in kind of the Segregated Shares to the Non Returners who provide their requisite information.

F5: Shares reported herein are held by the Master Fund for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

CELADON GROUP INC

Report date April 04, 2018 · Filed August 05, 2019

Jointly reported with LUMINUS MANAGEMENT LLC, BARRETT DAVID JONATHAN

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy: Luminus Energy Partners Master Fund, Ltd.4,576,613 Reported balance Holding disclosure · report date 2018-04-04 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 4,576,613

F1: Shares reported herein are held by Luminus Energy Partners Master Fund, Ltd. for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Shares reported herein are held by Luminus Energy Partners Master Fund, Ltd. for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

Past disclosures · reporting ended (1)

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

Valaris Ltd

Report date August 28, 2020 · Filed September 01, 2020

Jointly reported with LUMINUS MANAGEMENT LLC, Barrett Jonathan Dan

Section 16 reporting ended · disclosed 2020-09-01. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Ordinary SharesSEC Table I · non-derivativeIndirectSee footnote12,750,000 Reported balance After 2020-08-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-08-28 · Sale · Disposed 1,979,508 · Balance 12,750,000

F1: The price reported in Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $0.072-$0.075, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.

F2: The securities are held directly by Luminus Energy Partners Master Fund, Ltd. (the "Master Fund"), for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC.

F3: The filing of this statement shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. The Reporting Persons expressly disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $0.072-$0.075, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.

F2: The securities are held directly by Luminus Energy Partners Master Fund, Ltd. (the "Master Fund"), for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC.

F3: The filing of this statement shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. The Reporting Persons expressly disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein.

Transaction history

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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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
September 21, 2026 Filed Sep 23, 2026 20:01 UTC BATTALION OIL CORP BATL · Entity 6921 OtherCommon Stock 187,523 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-109968 · tm2626019-1_4seq1.xml · nonDerivative · entry 1

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 881,932

F1 · kind: As previously disclosed, on March 24, 2026, Luminus Energy Partners Master Fund, Ltd. ("Master Fund") effected a distribution in kind of 5,200,000 shares (the "Shares") of common stock of the Issuer in the aggregate to: (i) its two feeder funds, Luminus Energy Partners QP, LP, a Delaware limited partnership ("LEP Onshore"), which received 2,117,138 Shares, and LEP Offshore (through LILP, an intermediary entity which received 2,641,190 Shares); and (ii) two affiliates that have economic interests in the Master Fund, namely LCP Onshore, which received 391,694 Shares, and LCP Offshore, which received 91,930 Shares. Each of the Funds had issued illiquid certificates to their respective investors on April 1, 2020.

F2 · kind: In connection with the distribution in kind, the Manager planned to distribute 5,200,000 shares of common stock. As Certificate Holders entitled to receive 1,145,542 shares of common stock (the "Segregated Shares") in the aggregate did not either (i) respond or provide the requisite information to the Fund's administrator and the Manager to receive the Segregated Shares, (ii) were unable to accept delivery of the Segregated Shares or (iii) chose not to participate in the distribution (such Certificate Holders being referred to as the "Non Returners"), the Master Fund continues to hold the Segregated Shares and retains both voting and disposition power over the Segregated Shares.

F3 · kind: The Master Fund, however, has no economic interest in the Segregated Shares as the Master Fund is holding the Segregated Shares for the benefit of the Non Returners. On September 21, 2026, the Master Fund distributed 187,523 shares of common stock to certain Non Returners who provided their information.

F4 · balance_after: As of the date of this report, 20,966 of the Segregated Shares remain undistributed. The Master Fund can, in its discretion, sell the Segregated Shares on behalf of the Non Returners and/or make one or more distribution in kind of the Segregated Shares to the Non Returners who provide their requisite information.

F5 · ownership.nature: Shares reported herein are held by the Master Fund for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

Read SEC document
May 21, 2026 Filed May 27, 2026 01:07 UTC BATTALION OIL CORP BATL · Entity 6921 OtherCommon Stock 384,282 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-066486 · tm2615529-4_4seq1.xml · nonDerivative · entry 5

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,069,455

F1 · kind: As previously disclosed, on March 24, 2026, Luminus Energy Partners Master Fund, Ltd. ("Master Fund") effected a distribution in kind of 5,200,000 shares (the "Shares") of common stock of the Issuer in the aggregate to: (i) its two feeder funds, Luminus Energy Partners QP, LP, a Delaware limited partnership ("LEP Onshore"), which received 2,117,140 Shares, and LEP Offshore (through LILP, an intermediary entity which received 2,641,189 Shares); and (ii) two affiliates that have economic interests in the Master Fund, namely LCP Onshore, which received 396,433 Shares, and LCP Offshore, which received 45,238 Shares. Each of the Funds had issued illiquid certificates to their respective investors on April 1, 2020.

F2 · kind: In connection with the distribution in kind, the Manager planned to distribute 5,200,000 shares of common stock. As Certificate Holders entitled to receive 1,145,542 shares of common stock (the "Segregated Shares") in the aggregate did not either (i) respond or provide the requisite information to the Fund's administrator and the Manager to receive the Segregated Shares, (ii) were unable to accept delivery of the Segregated Shares or (iii) chose not to participate in the distribution (such Certificate Holders being referred to as the "Non Returners"), the Master Fund continues to hold the Segregated Shares and retains both voting and disposition power over the Segregated Shares. The Master Fund, however, has no economic interest in the Segregated Shares as the Master Fund is holding the Segregated Shares for the benefit of the Non Returners.

F3 · kind: On April 9, 2026, the Master Fund distributed 14,003 shares of common stock, on April 10, 2026, the Master Fund distributed 148,286 shares of common stock, on April 13, the Master Fund distributed 2,372 shares of common stock on April 17, 2026 the Master Fund distributed 8,551 shares of common stock and on May 21, 2026, the Master Fund distributed 384,282 shares of common stock to certain Non Returners who provided their information.

F4 · balance_after: As of the date of this filing, 208,489 Segregated Shares continue to be held by the Master Fund. The Master Fund can, in its discretion, sell the Segregated Shares on behalf of the Non Returners and/or make one or more distribution in kind of the Segregated Shares to the Non Returners who provide their requisite information.

F5 · ownership.nature: Shares reported herein are held by the Master Fund for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

Read SEC document
April 17, 2026 Filed May 27, 2026 01:07 UTC BATTALION OIL CORP BATL · Entity 6921 OtherCommon Stock 8,551 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-066486 · tm2615529-4_4seq1.xml · nonDerivative · entry 4

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,453,737

F1 · kind: As previously disclosed, on March 24, 2026, Luminus Energy Partners Master Fund, Ltd. ("Master Fund") effected a distribution in kind of 5,200,000 shares (the "Shares") of common stock of the Issuer in the aggregate to: (i) its two feeder funds, Luminus Energy Partners QP, LP, a Delaware limited partnership ("LEP Onshore"), which received 2,117,140 Shares, and LEP Offshore (through LILP, an intermediary entity which received 2,641,189 Shares); and (ii) two affiliates that have economic interests in the Master Fund, namely LCP Onshore, which received 396,433 Shares, and LCP Offshore, which received 45,238 Shares. Each of the Funds had issued illiquid certificates to their respective investors on April 1, 2020.

F2 · kind: In connection with the distribution in kind, the Manager planned to distribute 5,200,000 shares of common stock. As Certificate Holders entitled to receive 1,145,542 shares of common stock (the "Segregated Shares") in the aggregate did not either (i) respond or provide the requisite information to the Fund's administrator and the Manager to receive the Segregated Shares, (ii) were unable to accept delivery of the Segregated Shares or (iii) chose not to participate in the distribution (such Certificate Holders being referred to as the "Non Returners"), the Master Fund continues to hold the Segregated Shares and retains both voting and disposition power over the Segregated Shares. The Master Fund, however, has no economic interest in the Segregated Shares as the Master Fund is holding the Segregated Shares for the benefit of the Non Returners.

F3 · kind: On April 9, 2026, the Master Fund distributed 14,003 shares of common stock, on April 10, 2026, the Master Fund distributed 148,286 shares of common stock, on April 13, the Master Fund distributed 2,372 shares of common stock on April 17, 2026 the Master Fund distributed 8,551 shares of common stock and on May 21, 2026, the Master Fund distributed 384,282 shares of common stock to certain Non Returners who provided their information.

F5 · ownership.nature: Shares reported herein are held by the Master Fund for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

Read SEC document
April 13, 2026 Filed May 27, 2026 01:07 UTC BATTALION OIL CORP BATL · Entity 6921 OtherCommon Stock 2,372 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-066486 · tm2615529-4_4seq1.xml · nonDerivative · entry 3

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,462,288

F1 · kind: As previously disclosed, on March 24, 2026, Luminus Energy Partners Master Fund, Ltd. ("Master Fund") effected a distribution in kind of 5,200,000 shares (the "Shares") of common stock of the Issuer in the aggregate to: (i) its two feeder funds, Luminus Energy Partners QP, LP, a Delaware limited partnership ("LEP Onshore"), which received 2,117,140 Shares, and LEP Offshore (through LILP, an intermediary entity which received 2,641,189 Shares); and (ii) two affiliates that have economic interests in the Master Fund, namely LCP Onshore, which received 396,433 Shares, and LCP Offshore, which received 45,238 Shares. Each of the Funds had issued illiquid certificates to their respective investors on April 1, 2020.

F2 · kind: In connection with the distribution in kind, the Manager planned to distribute 5,200,000 shares of common stock. As Certificate Holders entitled to receive 1,145,542 shares of common stock (the "Segregated Shares") in the aggregate did not either (i) respond or provide the requisite information to the Fund's administrator and the Manager to receive the Segregated Shares, (ii) were unable to accept delivery of the Segregated Shares or (iii) chose not to participate in the distribution (such Certificate Holders being referred to as the "Non Returners"), the Master Fund continues to hold the Segregated Shares and retains both voting and disposition power over the Segregated Shares. The Master Fund, however, has no economic interest in the Segregated Shares as the Master Fund is holding the Segregated Shares for the benefit of the Non Returners.

F3 · kind: On April 9, 2026, the Master Fund distributed 14,003 shares of common stock, on April 10, 2026, the Master Fund distributed 148,286 shares of common stock, on April 13, the Master Fund distributed 2,372 shares of common stock on April 17, 2026 the Master Fund distributed 8,551 shares of common stock and on May 21, 2026, the Master Fund distributed 384,282 shares of common stock to certain Non Returners who provided their information.

F5 · ownership.nature: Shares reported herein are held by the Master Fund for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

Read SEC document
April 10, 2026 Filed May 27, 2026 01:07 UTC BATTALION OIL CORP BATL · Entity 6921 OtherCommon Stock 148,286 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-066486 · tm2615529-4_4seq1.xml · nonDerivative · entry 2

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,464,660

F1 · kind: As previously disclosed, on March 24, 2026, Luminus Energy Partners Master Fund, Ltd. ("Master Fund") effected a distribution in kind of 5,200,000 shares (the "Shares") of common stock of the Issuer in the aggregate to: (i) its two feeder funds, Luminus Energy Partners QP, LP, a Delaware limited partnership ("LEP Onshore"), which received 2,117,140 Shares, and LEP Offshore (through LILP, an intermediary entity which received 2,641,189 Shares); and (ii) two affiliates that have economic interests in the Master Fund, namely LCP Onshore, which received 396,433 Shares, and LCP Offshore, which received 45,238 Shares. Each of the Funds had issued illiquid certificates to their respective investors on April 1, 2020.

F2 · kind: In connection with the distribution in kind, the Manager planned to distribute 5,200,000 shares of common stock. As Certificate Holders entitled to receive 1,145,542 shares of common stock (the "Segregated Shares") in the aggregate did not either (i) respond or provide the requisite information to the Fund's administrator and the Manager to receive the Segregated Shares, (ii) were unable to accept delivery of the Segregated Shares or (iii) chose not to participate in the distribution (such Certificate Holders being referred to as the "Non Returners"), the Master Fund continues to hold the Segregated Shares and retains both voting and disposition power over the Segregated Shares. The Master Fund, however, has no economic interest in the Segregated Shares as the Master Fund is holding the Segregated Shares for the benefit of the Non Returners.

F3 · kind: On April 9, 2026, the Master Fund distributed 14,003 shares of common stock, on April 10, 2026, the Master Fund distributed 148,286 shares of common stock, on April 13, the Master Fund distributed 2,372 shares of common stock on April 17, 2026 the Master Fund distributed 8,551 shares of common stock and on May 21, 2026, the Master Fund distributed 384,282 shares of common stock to certain Non Returners who provided their information.

F5 · ownership.nature: Shares reported herein are held by the Master Fund for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

Read SEC document
April 09, 2026 Filed May 27, 2026 01:07 UTC BATTALION OIL CORP BATL · Entity 6921 OtherCommon Stock 14,003 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-066486 · tm2615529-4_4seq1.xml · nonDerivative · entry 1

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,612,946

F1 · kind: As previously disclosed, on March 24, 2026, Luminus Energy Partners Master Fund, Ltd. ("Master Fund") effected a distribution in kind of 5,200,000 shares (the "Shares") of common stock of the Issuer in the aggregate to: (i) its two feeder funds, Luminus Energy Partners QP, LP, a Delaware limited partnership ("LEP Onshore"), which received 2,117,140 Shares, and LEP Offshore (through LILP, an intermediary entity which received 2,641,189 Shares); and (ii) two affiliates that have economic interests in the Master Fund, namely LCP Onshore, which received 396,433 Shares, and LCP Offshore, which received 45,238 Shares. Each of the Funds had issued illiquid certificates to their respective investors on April 1, 2020.

F2 · kind: In connection with the distribution in kind, the Manager planned to distribute 5,200,000 shares of common stock. As Certificate Holders entitled to receive 1,145,542 shares of common stock (the "Segregated Shares") in the aggregate did not either (i) respond or provide the requisite information to the Fund's administrator and the Manager to receive the Segregated Shares, (ii) were unable to accept delivery of the Segregated Shares or (iii) chose not to participate in the distribution (such Certificate Holders being referred to as the "Non Returners"), the Master Fund continues to hold the Segregated Shares and retains both voting and disposition power over the Segregated Shares. The Master Fund, however, has no economic interest in the Segregated Shares as the Master Fund is holding the Segregated Shares for the benefit of the Non Returners.

F3 · kind: On April 9, 2026, the Master Fund distributed 14,003 shares of common stock, on April 10, 2026, the Master Fund distributed 148,286 shares of common stock, on April 13, the Master Fund distributed 2,372 shares of common stock on April 17, 2026 the Master Fund distributed 8,551 shares of common stock and on May 21, 2026, the Master Fund distributed 384,282 shares of common stock to certain Non Returners who provided their information.

F5 · ownership.nature: Shares reported herein are held by the Master Fund for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

Read SEC document
April 02, 2026 Filed May 27, 2026 01:19 UTC Amendment BATTALION OIL CORP BATL · Entity 6921 OtherCommon Stock 379,559 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-066493 · tm2615529-3_4aseq1.xml · nonDerivative · entry 1

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,626,949

F1 · kind: As previously disclosed, on March 24, 2026, Luminus Energy Partners Master Fund, Ltd. ("Master Fund") effected a distribution in kind of 5,200,000 shares (the "Shares") of common stock of the Issuer in the aggregate to: (i) its two feeder funds, Luminus Energy Partners QP, LP, a Delaware limited partnership ("LEP Onshore"), which received 2,117,138 Shares, and LEP Offshore (through LILP, an intermediary entity which received 2,641,190 Shares); and (ii) two affiliates that have economic interests in the Master Fund, namely LCP Onshore, which received 391,694 Shares, and LCP Offshore, which received 91,930 Shares. Each of the Funds had issued illiquid certificates to their respective investors on April 1, 2020.

F2 · kind: In connection with the distribution in kind, the Manager planned to distribute 5,200,000 shares of common stock. As Certificate Holders entitled to receive 1,145,542 shares of common stock (the "Segregated Shares") in the aggregate did not either (i) respond or provide the requisite information to the Fund's administrator and the Manager to receive the Segregated Shares, (ii) were unable to accept delivery of the Segregated Shares or (iii) chose not to participate in the distribution (such Certificate Holders being referred to as the "Non Returners"), the Master Fund continues to hold the Segregated Shares and retains both voting and disposition power over the Segregated Shares. The Master Fund, however, has no economic interest in the Segregated Shares as the Master Fund is holding the Segregated Shares for the benefit of the Non Returners. On April 2, 2026, the Master Fund distributed 379,559 shares of common stock to certain Non Returners who provided their information.

F3 · balance_after: The Master Fund can, in its discretion, sell the Segregated Shares on behalf of the Non Returners and/or make one or more distribution in kind of the Segregated Shares to the Non Returners who provide their requisite information.

F4 · ownership.nature: Shares reported herein are held by the Master Fund for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

Read SEC document
March 31, 2026 Filed May 27, 2026 01:17 UTC Amendment BATTALION OIL CORP BATL · Entity 6921 SaleCommon Stock 336,791 $4.33 $1,458,305.03
Disclosure

SEC source: 0001104659-26-066491 · tm2615529-2_4aseq1.xml · nonDerivative · entry 4

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 2,006,508

F7 · kind: On March 31, 2026, Master Fund sold Shares of common stock of the Issuer in two series of transactions for a total of 1,209,377 of common stock of the Issuer.

F9 · price: This transaction was executed in multiple trades at prices ranging from $4.02 to $4.84. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

F3 · balance_after: As previously disclosed, the Manager planned to distribute 5,200,000 shares of common stock. As Certificate Holders entitled to receive 1,145,542 shares of common stock (the "Segregated Shares") in the aggregate did not either (i) respond or provide the requisite information to the Fund's administrator and the Manager to receive the Segregated Shares, (ii) were unable to accept delivery of the Segregated Shares or (iii) chose not to participate in the distribution (such Certificate Holders being referred to as the "Non Returners"), the Master Fund continues to hold the Segregated Shares and retains both voting and disposition power over the Segregated Shares.

F4 · balance_after: The Master Fund, however, has no economic interest in the Segregated Shares as the Master Fund is holding the Segregated Shares for the benefit of the Non Returners. The Master Fund can, in its discretion, sell the Segregated Shares on behalf of the Non Returners and/or make one or more distribution in kind of the Segregated Shares to the Non Returners who provide their requisite information.

F5 · ownership.nature: Shares reported herein are held by the Master Fund for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

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March 31, 2026 Filed May 27, 2026 01:17 UTC Amendment BATTALION OIL CORP BATL · Entity 6921 SaleCommon Stock 872,586 $3.85 $3,359,456.10
Disclosure

SEC source: 0001104659-26-066491 · tm2615529-2_4aseq1.xml · nonDerivative · entry 3

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 2,343,299

F7 · kind: On March 31, 2026, Master Fund sold Shares of common stock of the Issuer in two series of transactions for a total of 1,209,377 of common stock of the Issuer.

F8 · price: This transaction was executed in multiple trades at prices ranging from $3.62 to $3.92. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

F3 · balance_after: As previously disclosed, the Manager planned to distribute 5,200,000 shares of common stock. As Certificate Holders entitled to receive 1,145,542 shares of common stock (the "Segregated Shares") in the aggregate did not either (i) respond or provide the requisite information to the Fund's administrator and the Manager to receive the Segregated Shares, (ii) were unable to accept delivery of the Segregated Shares or (iii) chose not to participate in the distribution (such Certificate Holders being referred to as the "Non Returners"), the Master Fund continues to hold the Segregated Shares and retains both voting and disposition power over the Segregated Shares.

F4 · balance_after: The Master Fund, however, has no economic interest in the Segregated Shares as the Master Fund is holding the Segregated Shares for the benefit of the Non Returners. The Master Fund can, in its discretion, sell the Segregated Shares on behalf of the Non Returners and/or make one or more distribution in kind of the Segregated Shares to the Non Returners who provide their requisite information.

F5 · ownership.nature: Shares reported herein are held by the Master Fund for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

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March 30, 2026 Filed May 27, 2026 01:17 UTC Amendment BATTALION OIL CORP BATL · Entity 6921 SaleCash-Settled Total Return Swaps · Derivative 13,330 $13.78 $183,687.40
Disclosure

SEC source: 0001104659-26-066491 · tm2615529-2_4aseq1.xml · derivative · entry 7

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 13,330 shares

Expires 2029-10-12

F14 · derivative.exercise_price: As previously disclosed, Master Fund has previously entered into certain cash-settled total return swap agreements with several unaffiliated third party financial institutions as the respective counterparties, which provided economic exposure to an aggregate of 144,621 notional shares of Common Stock, (the "Swap Agreements"). On March 30, 2026, Master Fund sold the Swap Agreements to third parties thus relinquishing all rights it had pursuant to such agreements. The Swap Agreements provided the Master Fund with economic results that were comparable to the economic results of ownership but did not provide it with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Common Stock that were the subject of the Swap Agreements.

F14 · derivative.exercise_date: As previously disclosed, Master Fund has previously entered into certain cash-settled total return swap agreements with several unaffiliated third party financial institutions as the respective counterparties, which provided economic exposure to an aggregate of 144,621 notional shares of Common Stock, (the "Swap Agreements"). On March 30, 2026, Master Fund sold the Swap Agreements to third parties thus relinquishing all rights it had pursuant to such agreements. The Swap Agreements provided the Master Fund with economic results that were comparable to the economic results of ownership but did not provide it with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Common Stock that were the subject of the Swap Agreements.

F5 · ownership.nature: Shares reported herein are held by the Master Fund for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

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March 30, 2026 Filed May 27, 2026 01:17 UTC Amendment BATTALION OIL CORP BATL · Entity 6921 SaleCash-Settled Total Return Swaps · Derivative 131,291 $13.78 $1,809,189.98
Disclosure

SEC source: 0001104659-26-066491 · tm2615529-2_4aseq1.xml · derivative · entry 6

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 131,291 shares

Expires 2027-12-13

F14 · derivative.exercise_price: As previously disclosed, Master Fund has previously entered into certain cash-settled total return swap agreements with several unaffiliated third party financial institutions as the respective counterparties, which provided economic exposure to an aggregate of 144,621 notional shares of Common Stock, (the "Swap Agreements"). On March 30, 2026, Master Fund sold the Swap Agreements to third parties thus relinquishing all rights it had pursuant to such agreements. The Swap Agreements provided the Master Fund with economic results that were comparable to the economic results of ownership but did not provide it with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Common Stock that were the subject of the Swap Agreements.

F14 · derivative.exercise_date: As previously disclosed, Master Fund has previously entered into certain cash-settled total return swap agreements with several unaffiliated third party financial institutions as the respective counterparties, which provided economic exposure to an aggregate of 144,621 notional shares of Common Stock, (the "Swap Agreements"). On March 30, 2026, Master Fund sold the Swap Agreements to third parties thus relinquishing all rights it had pursuant to such agreements. The Swap Agreements provided the Master Fund with economic results that were comparable to the economic results of ownership but did not provide it with the power to vote or direct the voting or dispose of or direct the disposition of the shares of Common Stock that were the subject of the Swap Agreements.

F5 · ownership.nature: Shares reported herein are held by the Master Fund for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

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March 30, 2026 Filed May 27, 2026 01:17 UTC Amendment BATTALION OIL CORP BATL · Entity 6921 ConversionSeries A-2 Redeemable Convertible Preferred Stock · Derivative 7,803 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-26-066491 · tm2615529-2_4aseq1.xml · derivative · entry 5

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 9,408

Underlying: Common Stock · Not disclosed 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.

F6 · derivative.exercise_price: On March 30, 2026, pursuant to the Series A-2 Certificate of Designations for the Series A-2 Redeemable Convertible Preferred Stock of the Issuer, par value $0.0001 per share ("Series A-2 Preferred Shares"), Master Fund converted 7,803 shares of its Series A-2 Preferred Shares in exchange for 1,800,000 shares of common stock of the Issuer at the conversion price of $6.21 per share.

F13 · price: Pursuant to the Series A-2 Purchase Agreement, on December 15, 2023 (the "Issuance Date"), Master Fund acquired from the Issuer 17,211 shares of Series A-2 Preferred Shares convertible into shares of Common Stock for an aggregate purchase price of approximately $16.8 million.

F10 · derivative.exercise_date: Subject to the terms and conditions of the Series A-2 Certificate of Designations, commencing on April 13, 2024, all or any portion of the Series A-2 Preferred Shares may be converted by Master Fund at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A-2 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-2 Certificate of Designations) and (ii) the then-applicable conversion price.

F11 · derivative.expiration_date: The Series A-2 Preferred Shares have no expiration date. If based on the Issuer's financial statements for any fiscal quarter and a reserve report as of the same date, as of such date: (x) the PDP PV-20 value (as determined in accordance with the Series A-2 Certificate of Designations) divided by (y) the number of outstanding shares of Common Stock, calculated on a fully diluted basis is equal to or exceeds 130% of the Conversion Price, then the Issuer may, from time to time until such time that the foregoing conditions are no longer satisfied or a Material Adverse Effect (as defined in the Purchase Agreement dated as of December 15, 2023 (the "Series A-2 Purchase Agreement")) has occurred since the date of the most financial statements that met the foregoing conditions, cause the conversion of all or any portion of the Series A-2 Preferred Shares into Common Stock using the then-applicable Conversion Ratio.

F12 · derivative.expiration_date: The Series A-2 Preferred Shares are also subject to redemption by the Issuer at any time following the Issuance Date in accordance with the terms of the Series A-2 Certificate of Designations. In the event of a change of control transaction, the Series A-2 Preferred Shares are subject to redemption or conversion in accordance with the terms of the Series A-2 Certificate of Designations.

F10 · derivative.underlying_shares: Subject to the terms and conditions of the Series A-2 Certificate of Designations, commencing on April 13, 2024, all or any portion of the Series A-2 Preferred Shares may be converted by Master Fund at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A-2 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-2 Certificate of Designations) and (ii) the then-applicable conversion price.

F5 · ownership.nature: Shares reported herein are held by the Master Fund for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

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March 30, 2026 Filed May 27, 2026 01:17 UTC Amendment BATTALION OIL CORP BATL · Entity 6921 ConversionCommon Stock 1,800,000 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-066491 · tm2615529-2_4aseq1.xml · nonDerivative · entry 2

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 3,215,885

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.

F6 · kind: On March 30, 2026, pursuant to the Series A-2 Certificate of Designations for the Series A-2 Redeemable Convertible Preferred Stock of the Issuer, par value $0.0001 per share ("Series A-2 Preferred Shares"), Master Fund converted 7,803 shares of its Series A-2 Preferred Shares in exchange for 1,800,000 shares of common stock of the Issuer at the conversion price of $6.21 per share.

F3 · balance_after: As previously disclosed, the Manager planned to distribute 5,200,000 shares of common stock. As Certificate Holders entitled to receive 1,145,542 shares of common stock (the "Segregated Shares") in the aggregate did not either (i) respond or provide the requisite information to the Fund's administrator and the Manager to receive the Segregated Shares, (ii) were unable to accept delivery of the Segregated Shares or (iii) chose not to participate in the distribution (such Certificate Holders being referred to as the "Non Returners"), the Master Fund continues to hold the Segregated Shares and retains both voting and disposition power over the Segregated Shares.

F4 · balance_after: The Master Fund, however, has no economic interest in the Segregated Shares as the Master Fund is holding the Segregated Shares for the benefit of the Non Returners. The Master Fund can, in its discretion, sell the Segregated Shares on behalf of the Non Returners and/or make one or more distribution in kind of the Segregated Shares to the Non Returners who provide their requisite information.

F5 · ownership.nature: Shares reported herein are held by the Master Fund for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

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March 30, 2026 Filed May 27, 2026 01:17 UTC Amendment BATTALION OIL CORP BATL · Entity 6921 SaleCommon Stock 681,105 $5.59 $3,807,376.95
Disclosure

SEC source: 0001104659-26-066491 · tm2615529-2_4aseq1.xml · nonDerivative · entry 1

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,415,885

F1 · kind: On March 30, 2026, Luminus Energy Partners Master Fund, Ltd. (the "Master Fund"), sold 681,105 shares of common stock of the Issuer.

F2 · price: This transaction was executed in multiple trades at prices ranging from $5.52 to $5.74. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

F3 · balance_after: As previously disclosed, the Manager planned to distribute 5,200,000 shares of common stock. As Certificate Holders entitled to receive 1,145,542 shares of common stock (the "Segregated Shares") in the aggregate did not either (i) respond or provide the requisite information to the Fund's administrator and the Manager to receive the Segregated Shares, (ii) were unable to accept delivery of the Segregated Shares or (iii) chose not to participate in the distribution (such Certificate Holders being referred to as the "Non Returners"), the Master Fund continues to hold the Segregated Shares and retains both voting and disposition power over the Segregated Shares.

F4 · balance_after: The Master Fund, however, has no economic interest in the Segregated Shares as the Master Fund is holding the Segregated Shares for the benefit of the Non Returners. The Master Fund can, in its discretion, sell the Segregated Shares on behalf of the Non Returners and/or make one or more distribution in kind of the Segregated Shares to the Non Returners who provide their requisite information.

F5 · ownership.nature: Shares reported herein are held by the Master Fund for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

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March 24, 2026 Filed May 27, 2026 01:16 UTC Amendment BATTALION OIL CORP BATL · Entity 6921 OtherCommon Stock 4,054,458 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-066490 · tm2615529-1_4aseq1.xml · nonDerivative · entry 1

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 2,096,990

F1 · kind: On March 24, 2026, Luminus Energy Partners Master Fund, Ltd. (the "Master Fund"), effected a distribution in kind of 5,200,00 shares (the "Shares") of common stock of the Issuer in the aggregate to: (i) its two feeder funds, Luminus Energy Partners QP, LP, a Delaware limited partnership ("LEP Onshore"), which received 2,117,138 Shares, and Luminus Energy Partners, Ltd, a Cayman Islands entity ("LEP Offshore") (through Luminus Itineris, LP, a Cayman entity ("LILP"), an intermediary entity which received 2,641,190 Shares); and (ii) two affiliates that have economic interests in the Master Fund, namely Luminus Capital Partners Onshore, L.P., a Delaware limited partnership ("LCP Onshore"), which received 391,694 Shares, and Luminus Capital Partners Offshore, Ltd., a Cayman entity ("LCP Offshore"), which received 91,930 Shares.

F2 · kind: Each of LEP Onshore, LEP Offshore, LCP Onshore and LCP Offshore (collectively, the "Funds") had issued illiquid certificates to their respective investors on April 1, 2020 (collectively, the "Illiquid Certificates"). The Funds concurrently distributed the Shares to the holders of the Illiquid Certificates (collectively, the Certificate Holders"). For ease of mechanics, calculations were made on a look-through basis with the Master Fund distributing the Shares directly to the Certificate Holders and to LILP. The distribution in kind was made pursuant the terms of the Illiquid Certificates and the constituent documents of the respective Funds.

F3 · balance_after: In connection with the above referenced distribution in kind, the Manager planned to distribute 5,200,000 shares of common stock. As Certificate Holders entitled to receive 1,145,542 shares of common stock (the "Segregated Shares") in the aggregate did not either (i) respond or provide the requisite information to the Fund's administrator and the Manager to receive the Segregated Shares, (ii) were unable to accept delivery of the Segregated Shares or (iii) chose not to participate in the distribution (such Certificate Holders being referred to as the "Non Returners"), the Master Fund continues to hold the Segregated Shares and retains both voting and disposition power over the Segregated Shares. The Master Fund, however, has no economic interest in the Segregated Shares as the Master Fund is holding the Segregated Shares for the benefit of the Non Returners.

F4 · balance_after: The Master Fund can, in its discretion, sell the Segregated Shares on behalf of the Non Returners and/or make one or more distribution in kind of the Segregated Shares to the Non Returners who provide their requisite information.

F5 · ownership.nature: Shares reported herein are held by Luminus Energy Partners Master Fund, Ltd. ("Master Fund") for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

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May 13, 2024 Filed May 15, 2024 20:37 UTC BATTALION OIL CORP BATL · Entity 6921 GrantSeries A-4 Redeemable Convertible Preferred Stock · Derivative 9,835 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-24-026262 · form4.xml · derivative · entry 1

LUMINUS MANAGEMENT LLC · CIK 0001279151 · Director · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · Director · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 9,835

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to the Certificate of Designations contemplated by the Series A-4 Purchase Agreement (the "Series A-4 Certificate of Designations"), the conversion price of the Series A-4 Preferred Shares is $6.42 per share and is subject to adjustment for stock splits, combinations, certain distributions or similar events in accordance with the terms of the Series A-4 Certificate of Designations.

F2 · price: Pursuant to a Purchase Agreement dated as of May 13, 2024 (the "Series A-4 Purchase Agreement"), on May 13, 2024 (the "Issuance Date"), Master Fund acquired from the Issuer 9,835 shares of Series A-4 Redeemable Convertible Preferred Stock of the Issuer, par value $0.0001 per share (the "Series A-4 Preferred Shares") convertible into shares of Common Stock for an aggregate purchase price of approximately $9.6 million.

F4 · derivative.exercise_date: Subject to the terms and conditions of the Series A-4 Certificate of Designations, commencing on September 10, 2024, all or any portion of the Series A-4 Preferred Shares may be converted by Master Fund at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio" for each Series A-4 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-4 Certificate of Designations) and (ii) the then-applicable conversion price.

F5 · derivative.expiration_date: The Series A-4 Preferred Shares have no expiration date. If based on the Issuer's financial statements for any fiscal quarter and a reserve report as of the same date, as of such date: (x) the PDP PV-20 value (as determined in accordance with the Series A-4 Certificate of Designations) divided by (y) the number of outstanding shares of Common Stock, calculated on a fully diluted basis is equal to or exceeds 130% of the Conversion Price, then the Issuer may, from time to time until such time that the foregoing conditions are no longer satisfied or a Material Adverse Effect (as defined in the Series A-4 Purchase Agreement) has occurred since the date of the most recent financial statements that met the foregoing conditions, cause the conversion of all or any portion of the Series A-4 Preferred Shares into Common Stock using the then-applicable Conversion Ratio.

F6 · derivative.expiration_date: The Series A-4 Preferred Shares are also subject to redemption by the Issuer at any time following the Issuance Date in accordance with the terms of the Series A-4 Certificate of Designations. In the event of a change of control transaction, the Series A-4 Preferred Shares are subject to redemption or conversion in accordance with the terms of the Series A-4 Certificate of Designations.

F4 · derivative.underlying_shares: Subject to the terms and conditions of the Series A-4 Certificate of Designations, commencing on September 10, 2024, all or any portion of the Series A-4 Preferred Shares may be converted by Master Fund at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio" for each Series A-4 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-4 Certificate of Designations) and (ii) the then-applicable conversion price.

F1 · ownership.nature: Shares reported herein are held by Luminus Energy Partners Master Fund, Ltd. ("Master Fund") for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

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March 27, 2024 Filed Mar 30, 2024 00:29 UTC BATTALION OIL CORP BATL · Entity 6921 GrantSeries A-3 Redeemable Convertible Preferred Stock · Derivative 9,835 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-24-016710 · form4.xml · derivative · entry 1

LUMINUS MANAGEMENT LLC · CIK 0001279151 · Director · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · Director · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 9,835

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to the Certificate of Designations contemplated by the Series A-3 Purchase Agreement (the "Series A-3 Certificate of Designations"), the conversion price of the Series A-3 Preferred Shares is $6.83 per share and is subject to adjustment for stock splits, combinations, certain distributions or similar events in accordance with the terms of the Series A-3 Certificate of Designations.

F2 · price: Pursuant to a Purchase Agreement dated as of March 27, 2024 (the "Series A-3 Purchase Agreement"), on March 27, 2024 (the "Issuance Date"), Master Fund acquired from the Issuer 9,835 shares of Series A-3 Redeemable Convertible Preferred Stock of the Issuer, par value $0.0001 per share (the "Series A-3 Preferred Shares") convertible into shares of Common Stock for an aggregate purchase price of approximately $9.6 million.

F4 · derivative.exercise_date: Subject to the terms and conditions of the Series A-3 Certificate of Designations, commencing on July 25, 2024, all or any portion of the Series A-3 Preferred Shares may be converted by Master Fund at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A-3 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-3 Certificate of Designations) and (ii) the then-applicable conversion price.

F5 · derivative.expiration_date: The Series A-3 Preferred Shares have no expiration date. If based on the Issuer's financial statements for any fiscal quarter and a reserve report as of the same date, as of such date: (x) the PDP PV-20 value (as determined in accordance with the Series A-3 Certificate of Designations) divided by (y) the number of outstanding shares of Common Stock, calculated on a fully diluted basis is equal to or exceeds 130% of the Conversion Price, then the Issuer may, from time to time until such time that the foregoing conditions are no longer satisfied or a Material Adverse Effect (as defined in the Series A-3 Purchase Agreement) has occurred since the date of the most financial statements that met the foregoing conditions, cause the conversion of all or any portion of the Series A-3 Preferred Shares into Common Stock using the then-applicable Conversion Ratio.

F6 · derivative.expiration_date: The Series A-3 Preferred Shares are also subject to redemption by the Issuer at any time following the Issuance Date in accordance with the terms of the Series A-3 Certificate of Designations. In the event of a change of control transaction, the Series A-3 Preferred Shares are subject to redemption or conversion in accordance with the terms of the Series A-3 Certificate of Designations.

F4 · derivative.underlying_shares: Subject to the terms and conditions of the Series A-3 Certificate of Designations, commencing on July 25, 2024, all or any portion of the Series A-3 Preferred Shares may be converted by Master Fund at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A-3 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-3 Certificate of Designations) and (ii) the then-applicable conversion price.

F1 · ownership.nature: Shares reported herein are held by Luminus Energy Partners Master Fund, Ltd. ("Master Fund") for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

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December 15, 2023 Filed Dec 20, 2023 02:43 UTC BATTALION OIL CORP BATL · Entity 6921 GrantSeries A-2 Redeemable Convertible Preferred Stock · Derivative 17,211 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-058494 · form4.xml · derivative · entry 1

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 17,211

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to the Certificate of Designations contemplated by the Series A-2 Purchase Agreement (the "Series A-2 Certificate of Designations"), the conversion price of the Series A-2 Preferred Shares is $6.21 per share and is subject to adjustment for stock splits, combinations, certain distributions or similar events in accordance with the terms of the Series A-2 Certificate of Designations.

F2 · price: Pursuant to a Purchase Agreement dated as of December 15, 2023 (the "Series A-2 Purchase Agreement"), on December 15, 2023 (the "Issuance Date"), Master Fund acquired from the Issuer 17,211 shares of Series A-2 Redeemable Convertible Preferred Stock of the Issuer, par value $0.0001 per share ("Series A-2 Preferred Shares") convertible into shares of Common Stock for an aggregate purchase price of approximately $16.8 million.

F4 · derivative.exercise_date: Subject to the terms and conditions of the Series A-2 Certificate of Designations, commencing on April 13, 2024, all or any portion of the Series A-2 Preferred Shares may be converted by Master Fund at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A-2 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-2 Certificate of Designations) and (ii) the then-applicable conversion price.

F5 · derivative.expiration_date: The Series A-2 Preferred Shares have no expiration date. If based on the Issuer's financial statements for any fiscal quarter and a reserve report as of the same date, as of such date: (x) the PDP PV-20 value (as determined in accordance with the Series A-2 Certificate of Designations) divided by (y) the number of outstanding shares of Common Stock, calculated on a fully diluted basis is equal to or exceeds 130% of the Conversion Price, then the Issuer may, from time to time until such time that the foregoing conditions are no longer satisfied or a Material Adverse Effect (as defined in the Series A-2 Purchase Agreement) has occurred since the date of the most financial statements that met the foregoing conditions, cause the conversion of all or any portion of the Series A-2 Preferred Shares into Common Stock using the then-applicable Conversion Ratio.

F6 · derivative.expiration_date: The Series A-2 Preferred Shares are also subject to redemption by the Issuer at any time following the Issuance Date in accordance with the terms of the Series A-2 Certificate of Designations. In the event of a change of control transaction, the Series A-2 Preferred Shares are subject to redemption or conversion in accordance with the terms of the Series A-2 Certificate of Designations.

F4 · derivative.underlying_shares: Subject to the terms and conditions of the Series A-2 Certificate of Designations, commencing on April 13, 2024, all or any portion of the Series A-2 Preferred Shares may be converted by Master Fund at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A-2 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-2 Certificate of Designations) and (ii) the then-applicable conversion price.

F1 · ownership.nature: Shares reported herein are held by Luminus Energy Partners Master Fund, Ltd. ("Master Fund") for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

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September 06, 2023 Filed Sep 8, 2023 19:13 UTC BATTALION OIL CORP BATL · Entity 6921 GrantSeries A-1 Redeemable Convertible Preferred Stock · Derivative 20,269 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-043349 · form4.xml · derivative · entry 1

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 20,269

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to the Certificate of Designations contemplated by the Series A-1 Purchase Agreement (the "Series A-1 Certificate of Designations"), the conversion price of the Series A-1 Preferred Shares is $7.63 per share and is subject to adjustment for stock splits, combinations, certain distributions or similar events in accordance with the terms of the Series A-1 Certificate of Designations.

F2 · price: Pursuant to a Purchase Agreement dated as of September 6, 2023 (the "Series A-1 Purchase Agreement"), on September 6, 2023 (the "Issuance Date"), Master Fund acquired from the Issuer 20,269 shares of Series A-1 Redeemable Convertible Preferred Stock of the Issuer, par value $0.0001 per share ("Series A-1 Preferred Shares") convertible into shares of Common Stock for an aggregate purchase price of approximately $19.8 million.

F4 · derivative.exercise_date: Subject to the terms and conditions of the Series A-1 Certificate of Designations, all or any portion of the Series A-1 Preferred Shares may be converted by Master Fund at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A-1 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-1 Certificate of Designations) and (ii) the then-applicable conversion price.

F5 · derivative.expiration_date: The Series A-1 Preferred Shares have no expiration date. If based on the Issuer's financial statements for any fiscal quarter and a reserve report as of the same date, as of such date: (x) the PDP PV-20 value (as determined in accordance with the Series A-1 Certificate of Designations) divided by (y) the number of outstanding shares of Common Stock, calculated on a fully diluted basis is equal to or exceeds 130% of the Conversion Price, then the Issuer may, from time to time until such time that the foregoing conditions are no longer satisfied or a Material Adverse Effect (as defined in the Series A-1 Purchase Agreement) has occurred since the date of the most financial statements that met the foregoing conditions, cause the conversion of all or any portion of the Series A-1 Preferred Shares into Common Stock using the then-applicable Conversion Ratio.

F6 · derivative.expiration_date: The Series A-1 Preferred Shares are also subject to redemption by the Issuer at any time following the Issuance Date in accordance with the terms of the Series A-1 Certificate of Designations. In the event of a change of control transaction, the Series A-1 Preferred Shares are subject to redemption or conversion in accordance with the terms of the Series A-1 Certificate of Designations.

F4 · derivative.underlying_shares: Subject to the terms and conditions of the Series A-1 Certificate of Designations, all or any portion of the Series A-1 Preferred Shares may be converted by Master Fund at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A-1 Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-1 Certificate of Designations) and (ii) the then-applicable conversion price.

F1 · ownership.nature: Shares reported herein are held by Luminus Energy Partners Master Fund, Ltd. ("Master Fund") for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

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March 28, 2023 Filed Mar 31, 2023 00:26 UTC BATTALION OIL CORP BATL · Entity 6921 GrantSeries A Redeemable Convertible Preferred Stock · Derivative 13,336 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-014922 · form4.xml · derivative · entry 1

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 13,336

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to the Certificate of Designations contemplated by the Series A Purchase Agreement (the "Series A Certificate of Designations"), the conversion price of the Series A Preferred Shares is $9.03 per share and is subject to adjustment for stock splits, combinations, certain distributions or similar events in accordance with the terms of the Series A Certificate of Designations.

F2 · price: Pursuant to a Purchase Agreement dated as of March 28, 2023 (the "Series A Purchase Agreement"), on March 28, 2023 (the "Issuance Date"), Master Fund acquired from the Issuer 13,336 shares of Series A Redeemable Convertible Preferred Stock of the Issuer, par value $0.0001 per share ("Series A Preferred Shares") convertible into shares of Common Stock for an aggregate purchase price of approximately $13.0 million.

F4 · derivative.exercise_date: Subject to the terms and conditions of the Series A Certificate of Designations, all or any portion of the Series A Preferred Shares may be converted by Master Fund at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A Certificate of Designations) and (ii) the then-applicable conversion price.

F5 · derivative.expiration_date: The Series A Preferred Shares have no expiration date. If based on the Issuer's financial statements for any fiscal quarter and a reserve report as of the same date, as of such date: (x) the PDP PV-20 value (as determined in accordance with the Series A Certificate of Designations) divided by (y) the number of outstanding shares of Common Stock, calculated on a fully diluted basis is equal to or exceeds 130% of the Conversion Price, then the Issuer may, from time to time until such time that the foregoing conditions are no longer satisfied or a Material Adverse Effect (as defined in the Series A Purchase Agreement) has occurred since the date of the most financial statements that met the foregoing conditions, cause the conversion of all or any portion of the Series A Preferred Shares into Common Stock using the then-applicable Conversion Ratio.

F6 · derivative.expiration_date: The Series A Preferred Shares are also subject to redemption by the Issuer at any time following the Issuance Date in accordance with the terms of the Series A Certificate of Designations. In the event of a change of control transaction, the Series A Preferred Shares are subject to redemption or conversion in accordance with the terms of the Series A Certificate of Designations.

F4 · derivative.underlying_shares: Subject to the terms and conditions of the Series A Certificate of Designations, all or any portion of the Series A Preferred Shares may be converted by Master Fund at any time into Common Stock at the Conversion Ratio. The "Conversion Ratio", for each Series A Preferred Share is the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A Certificate of Designations) and (ii) the then-applicable conversion price.

F1 · ownership.nature: Shares reported herein are held by Luminus Energy Partners Master Fund, Ltd. ("Master Fund") for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

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August 28, 2020 Filed Sep 1, 2020 18:01 UTC Valaris Ltd VAL · Entity 3776 SaleClass A Ordinary Shares 1,979,508 $0.74 $1,464,835.92
Disclosure

SEC source: 0000899243-20-023726 · doc4.xml · nonDerivative · entry 1

LUMINUS MANAGEMENT LLC · CIK 0001279151 · Director

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 12,750,000

F1 · price: The price reported in Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $0.072-$0.075, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.

F2 · ownership.nature: The securities are held directly by Luminus Energy Partners Master Fund, Ltd. (the "Master Fund"), for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC.

F3 · ownership.nature: The filing of this statement shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. The Reporting Persons expressly disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein.

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August 27, 2020 Filed Aug 28, 2020 21:03 UTC Valaris Ltd VAL · Entity 3776 SaleClass A Ordinary Shares 6,770,492 $0.10 $677,049.20
Disclosure

SEC source: 0000899243-20-023642 · doc4.xml · nonDerivative · entry 2

LUMINUS MANAGEMENT LLC · CIK 0001279151 · Director · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 14,729,508

F2 · price: The price reported in Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $0.076-$0.100, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.

F3 · ownership.nature: The securities are held directly by Luminus Energy Partners Master Fund, Ltd. (the "Master Fund"), for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC.

F4 · ownership.nature: The filing of this statement shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. The Reporting Persons expressly disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein.

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August 26, 2020 Filed Aug 28, 2020 21:03 UTC Valaris Ltd VAL · Entity 3776 SaleClass A Ordinary Shares 3,150,000 $0.12 $378,000.00
Disclosure

SEC source: 0000899243-20-023642 · doc4.xml · nonDerivative · entry 1

LUMINUS MANAGEMENT LLC · CIK 0001279151 · Director · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 21,500,000

F1 · price: The price reported in Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $0.1135-$0.1288, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.

F3 · ownership.nature: The securities are held directly by Luminus Energy Partners Master Fund, Ltd. (the "Master Fund"), for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC.

F4 · ownership.nature: The filing of this statement shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. The Reporting Persons expressly disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein.

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August 25, 2020 Filed Aug 26, 2020 19:47 UTC Valaris Ltd VAL · Entity 3776 SaleClass A Ordinary Shares 3,750,000 $0.10 $375,000.00
Disclosure

SEC source: 0000899243-20-023431 · doc4.xml · nonDerivative · entry 2

LUMINUS MANAGEMENT LLC · CIK 0001279151 · Director · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 24,650,000

F2 · price: The price reported in Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $0.120-$0.125, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.

F3 · ownership.nature: The securities are held directly by Luminus Energy Partners Master Fund, Ltd. (the "Master Fund"), for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC.

F4 · ownership.nature: The filing of this statement shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. The Reporting Persons expressly disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein.

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August 24, 2020 Filed Aug 26, 2020 19:47 UTC Valaris Ltd VAL · Entity 3776 SaleClass A Ordinary Shares 4,082,076 $0.20 $816,415.20
Disclosure

SEC source: 0000899243-20-023431 · doc4.xml · nonDerivative · entry 1

LUMINUS MANAGEMENT LLC · CIK 0001279151 · Director · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 28,400,000

F1 · price: The price reported in Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $0.158-$0.220, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.

F3 · ownership.nature: The securities are held directly by Luminus Energy Partners Master Fund, Ltd. (the "Master Fund"), for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC.

F4 · ownership.nature: The filing of this statement shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. The Reporting Persons expressly disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein.

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August 20, 2020 Filed Aug 24, 2020 20:33 UTC Valaris Ltd VAL · Entity 3776 SaleClass A Ordinary Shares 4,500,000 $0.10 $450,000.00
Disclosure

SEC source: 0000899243-20-023288 · doc4.xml · nonDerivative · entry 1

LUMINUS MANAGEMENT LLC · CIK 0001279151 · Director · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 32,482,076

F1 · price: The price reported in Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $0.101-$0.108, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.

F2 · ownership.nature: The securities are held directly by Luminus Energy Partners Master Fund, Ltd. (the "Master Fund"), for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC.

F3 · ownership.nature: The filing of this statement shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. The Reporting Persons expressly disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein.

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February 04, 2020 Filed Feb 7, 2020 01:26 UTC Valaris Ltd VAL · Entity 3776 GrantRestricted Share Units · Derivative 12,443 $0.00 $0.00
Disclosure

SEC source: 0000899243-20-003528 · doc4.xml · derivative · entry 2

LUMINUS MANAGEMENT LLC · CIK 0001279151 · Director · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 12,443

Underlying: Class A Ordinary Shares · 12,443 shares

Expires not disclosed

F3 · derivative.exercise_price: Upon the vesting of the restricted share units ("RSUs"), Adam Weitzman is required to pay the aggregate nominal value (par value), $0.40 per share, of the Issuer's Class A Ordinary Shares actually issued, in accordance with U.K. corporate law. The RSUs vest on the first anniversary of the grant date.

F3 · derivative.exercise_date: Upon the vesting of the restricted share units ("RSUs"), Adam Weitzman is required to pay the aggregate nominal value (par value), $0.40 per share, of the Issuer's Class A Ordinary Shares actually issued, in accordance with U.K. corporate law. The RSUs vest on the first anniversary of the grant date.

F3 · derivative.expiration_date: Upon the vesting of the restricted share units ("RSUs"), Adam Weitzman is required to pay the aggregate nominal value (par value), $0.40 per share, of the Issuer's Class A Ordinary Shares actually issued, in accordance with U.K. corporate law. The RSUs vest on the first anniversary of the grant date.

F2 · ownership.nature: The filing of this statement shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. The Reporting Persons expressly disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein.

F4 · ownership.nature: Consists of RSUs awarded to Mr. Weitzman in connection with his role as a member of the Issuer's Board of Directors.

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November 22, 2019 Filed Nov 25, 2019 13:01 UTC Valaris Ltd VAL · Entity 3776 ConversionEquity Swap (obligation to buy) · Derivative 1 $0.00 Strike: $4.25 $0.00
Disclosure

SEC source: 0000902664-19-004426 · ownership.xml · derivative · entry 2

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 17,206,642 shares

Expires 2019-11-22

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 · security: The Master Fund was party to an equity swap agreement which was automatically physically settled pursuant to its terms at expiration on November 22, 2019.

F2 · kind: The Master Fund was party to an equity swap agreement which was automatically physically settled pursuant to its terms at expiration on November 22, 2019.

F2 · shares: The Master Fund was party to an equity swap agreement which was automatically physically settled pursuant to its terms at expiration on November 22, 2019.

F2 · derivative.exercise_date: The Master Fund was party to an equity swap agreement which was automatically physically settled pursuant to its terms at expiration on November 22, 2019.

F1 · ownership.nature: The securities to which this filing relates are held directly by Luminus Energy Partners Master Fund, Ltd. (the "Master Fund"), for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. The filing of this statement shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. The Reporting Persons expressly disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein.

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November 22, 2019 Filed Nov 25, 2019 13:01 UTC Valaris Ltd VAL · Entity 3776 ConversionClass A ordinary shares ("Common Stock") 17,206,642 $4.25 $73,128,228.50
Disclosure

SEC source: 0000902664-19-004426 · ownership.xml · nonDerivative · entry 1

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

Barrett Jonathan Dan · CIK 0001731639 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 36,982,076

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 · ownership.nature: The securities to which this filing relates are held directly by Luminus Energy Partners Master Fund, Ltd. (the "Master Fund"), for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. The filing of this statement shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. The Reporting Persons expressly disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein.

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July 31, 2019 Filed Aug 5, 2019 17:01 UTC CELADON GROUP INC CGIP · Entity 155493 PurchaseWarrants · Derivative 16,000,000 Not disclosed Strike: $0.01 Not disclosed
Disclosure

SEC source: 0001144204-19-037682 · tv526804_4.xml · derivative · entry 1

LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner

Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner

BARRETT DAVID JONATHAN · CIK 0001359072 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Luminus Energy Partners Master Fund, Ltd.

Disclosed balance after: 16,000,000

Underlying: Common Stock · 16,000,000 shares

Expires 2025-07-31

F2 · price: The Warrant was acquired by Luminus Energy Partners Master Fund, Ltd. ("LEPMF") pursuant to a Warrant Purchase Agreement, dated July 31, 2019, between LEPMF and the Issuer (the "Warrant Purchase Agreement"). The parties entered into the Warrant Purchase Agreement in connection with certain loan transactions among the Issuer, LEPMF and certain other lenders under the Second Amended and Restated Credit Agreement, dated July 31, 2019 (the "Credit Agreement"). Pursuant to the Warrant Purchase Agreement, a portion of the amount loaned to the Issuer by LEPMF pursuant to the Credit Agreement will be allocated to the purchase price of the Warrant on or before January 31, 2020.

F1 · ownership.direct: Shares reported herein are held by Luminus Energy Partners Master Fund, Ltd. for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.