organization · Reporting owner
FRANKLIN TEMPLETON INC
Disclosed activity across 11 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BATTALION OIL CORPHK · Entity 6921 | 10% owner | January 25, 2018 | January 29, 2018 |
| Clarion Partners Real Estate Income Fund Inc.N/A · Entity 29238 | Affiliate of Investment Adv. | July 20, 2026 | July 22, 2026 |
| ClearBridge Energy Midstream Opportunity Fund Inc.EMO · Entity 8990 | Affiliate of Investment Adv | January 08, 2025 | March 06, 2025 |
| ClearBridge MLP & Midstream Total Return Fund Inc.CTR · Entity 87635 | Affiliate of Investment Adv. | September 14, 2022 | September 16, 2022 |
| Franklin BSP Lending FundN/A · Entity 54117 | Affiliate-Investment Adviser | January 29, 2026 | February 02, 2026 |
| Franklin BSP Private Credit FundFBSPX · Entity 26120 | 10% owner · Affiliate - Investment Adviser | April 28, 2023 | May 02, 2023 |
| Franklin Lexington Private Markets FundN/A · Entity 40571 | Parent of Inv. Mgr/Subadvisers | August 13, 2024 | August 19, 2024 |
| GOODRICH PETROLEUM CORPGDPM · Entity 12257 | 10% owner | December 23, 2021 | December 28, 2021 |
| Saba Capital Income & Opportunities Fund IIGIM · Entity 6234 | Affiliate of Investment Adv. | November 09, 2023 | November 14, 2023 |
| Timber Pharmaceuticals, Inc.BPMX · Entity 110330 | 10% owner | August 01, 2017 | August 03, 2017 |
| Western Asset Diversified Income Fund (WDI)WDI · Entity 5266 | Parent of Inv Mgr/Subadvisers | June 24, 2021 | July 02, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BATTALION OIL CORP
Report date January 25, 2018 · Filed January 29, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 14,530,157 |
Last balance in matching sequence
After 2018-01-26 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2018-01-25 · Sale · Disposed 435,010 · Balance 15,107,728 F1: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Row 2 · 2018-01-26 · Sale · Disposed 77,571 · Balance 15,030,157 F1: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Row 3 · 2018-01-26 · Sale · Disposed 500,000 · Balance 14,530,157 F1: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. |
Filing footnotes · ownership attribution and instrument terms
F1: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein.
Clarion Partners Real Estate Income Fund Inc.
Report date July 20, 2026 · Filed July 22, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,103,657.501 |
Reported balance
After 2026-07-20 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-07-20 · Sale · Disposed 1,682,905.226 · Balance 5,103,657.501 F1: Class I Shares F2: Franklin Resources, Inc. ("FRI") owns 5,103,657.501 shares in the aggregate among four share classes. Specifically, FRI owns 93,328.969 Shares of Class S Shares, 5,232.408 Shares of Class T Shares, 5,250.651 Shares of Class D Shares and 4,999,845.473 Shares of Class I Shares. F3: LIMITED POWERS OF ATTORNEY FOR SECTION 13 AND 16 REPORTING OBLIGATIONS (incorporated by reference to Form 4 filed on January 16, 2026) |
Filing footnotes · ownership attribution and instrument terms
F1: Class I Shares
F2: Franklin Resources, Inc. ("FRI") owns 5,103,657.501 shares in the aggregate among four share classes. Specifically, FRI owns 93,328.969 Shares of Class S Shares, 5,232.408 Shares of Class T Shares, 5,250.651 Shares of Class D Shares and 4,999,845.473 Shares of Class I Shares.
F3: LIMITED POWERS OF ATTORNEY FOR SECTION 13 AND 16 REPORTING OBLIGATIONS (incorporated by reference to Form 4 filed on January 16, 2026)
ClearBridge Energy Midstream Opportunity Fund Inc.
Report date January 08, 2025 · Filed March 06, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2025-01-08 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2025-01-08 · Sale · Disposed 9,704 · Balance 0 F1: Franklin Resources, Inc. (FRI) previously owned shares of ClearBridge MLP and Midstream Total Return Fund Inc. (CTR). FRI acquired shares of ClearBridge Energy Midstream Opportunity Fund Inc. (EMO) as a result of the merger of CTR with and into EMO on September 9, 2024 F2: This Form 4 reflects the correct amount of shares of EMO sold after filing an Amended Form 4 to correct the amount of shares sold on December 11, 2024. F3: This Form 4 reflects the correct amount of Securities Beneficially Owned Following this Transaction after filing an Amended Form 4 to correct the amount of shares sold on December 11, 2024 and the amount of Securities Beneficially Owned Following such Transaction. F4: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. |
Filing footnotes · ownership attribution and instrument terms
F1: Franklin Resources, Inc. (FRI) previously owned shares of ClearBridge MLP and Midstream Total Return Fund Inc. (CTR). FRI acquired shares of ClearBridge Energy Midstream Opportunity Fund Inc. (EMO) as a result of the merger of CTR with and into EMO on September 9, 2024
F2: This Form 4 reflects the correct amount of shares of EMO sold after filing an Amended Form 4 to correct the amount of shares sold on December 11, 2024.
F3: This Form 4 reflects the correct amount of Securities Beneficially Owned Following this Transaction after filing an Amended Form 4 to correct the amount of shares sold on December 11, 2024 and the amount of Securities Beneficially Owned Following such Transaction.
F4: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein.
ClearBridge MLP & Midstream Total Return Fund Inc.
Report date September 14, 2022 · Filed September 16, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 73,014 |
Reported balance
After 2022-09-14 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-09-14 · Purchase · Acquired 100 · Balance 73,014 F1: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. |
Filing footnotes · ownership attribution and instrument terms
F1: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein.
Franklin BSP Lending Fund
Report date January 29, 2026 · Filed February 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 75,000 |
Reported balance
After 2026-01-29 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-01-29 · Purchase · Acquired 75,000 · Balance 75,000 F1: Class I Shares F2: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. |
Filing footnotes · ownership attribution and instrument terms
F1: Class I Shares
F2: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein.
Franklin BSP Private Credit Fund
Report date April 28, 2023 · Filed May 02, 2023
Jointly reported with BSP FUND HOLDCO (DEBT STRATEGY) LP, Benefit Street Partners LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Advisor Class SharesSEC Table I · non-derivative | IndirectHeld by subsidiary | 4,955,483.24 |
Reported balance
After 2023-04-28 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-04-28 · Purchase · Acquired 2,465,483.24 · Balance 4,955,483.24 F1: BSP Fund HoldCo (Debt Strategy) L.P. ("HoldCo"), a direct wholly owned subsidiary of Franklin Resources, Inc. ("FRI"), directly holds 10,000 Class A Shares and [(black circle)] Advisor Class Shares of the Issuer, respectively. Benefit Street Partners L.L.C. ("BSP"), a direct wholly owned subsidiary of FRI, serves as investment adviser to the issuer. BSP holds no Class A Shares or Advisor Class Shares. F2: FRI is filing this report for itself and its affiliates, except as set forth herein. Beneficial ownership by FRI and its affiliates is being reported herein in conformity with the guidelines articulated by the SEC staff in Release No. 34-39538 (January 12, 1998) relating to organizations, such as FRI, where related entities exercise voting and investment powers over the securities being reported independently from each other. The voting and investment powers held by each of FRI's affiliates whose ownership of securities is disaggregated from that of FRI in accordance with the 1998 Release ("FRI Disaggregated Affiliates") are exercised independently from FRI and from all other investment management subsidiaries of FRI (FRI, its affiliates and the investment management subsidiaries of FRI other than FRI Disaggregated Affiliates are collectively, "FRI Aggregated Affiliates"). F3: Furthermore, internal policies and procedures of, on the one hand, FRI Disaggregated Affiliates, and, on the other hand, FRI, establish informational barriers that prevent the flow among, on the one hand, FRI Disaggregated Affiliates (including preventing the flow between such entities), and, on the other hand, the FRI Aggregated Affiliates, of information that relates to the voting and investment powers over the securities owned by their respective investment management clients. Consequently, FRI Disaggregated Affiliates report the securities over which they hold investment and voting power separately from the FRI Aggregated Affiliates for purposes of Section 13 of the Act. F4: Charles B. Johnson and Rupert H. Johnson, Jr. (the "Principal Shareholders") each own in excess of 10% of the outstanding common stock of FRI and are the principal stockholders of FRI. The Principal Shareholders may be deemed to be, for purposes of Rule 13d-3 under the Act, the beneficial owners of securities held by FRI. The Principal Shareholders disclaim any pecuniary interest in any such securities. In addition, the filing of this report on behalf of the Principal Shareholders should not be construed as an admission that either of them is, and each disclaims that he is, the beneficial owner, as defined in Rule 13d-3, of any of the Securities. F5: FRI, its affiliates and the Principal Shareholders believe that they are not a group within the meaning of Rule 13d-5 under the Act and that they are not otherwise required to attribute to each other the beneficial ownership of any securities held by any of them or by any persons or entities for whom or for which a FRI affiliate provides investment management services. |
| Class A SharesSEC Table I · non-derivative | IndirectHeld by subsidiary | 10,000 |
Reported balance
Holding disclosure · report date 2023-04-28 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 10,000 F1: BSP Fund HoldCo (Debt Strategy) L.P. ("HoldCo"), a direct wholly owned subsidiary of Franklin Resources, Inc. ("FRI"), directly holds 10,000 Class A Shares and [(black circle)] Advisor Class Shares of the Issuer, respectively. Benefit Street Partners L.L.C. ("BSP"), a direct wholly owned subsidiary of FRI, serves as investment adviser to the issuer. BSP holds no Class A Shares or Advisor Class Shares. F2: FRI is filing this report for itself and its affiliates, except as set forth herein. Beneficial ownership by FRI and its affiliates is being reported herein in conformity with the guidelines articulated by the SEC staff in Release No. 34-39538 (January 12, 1998) relating to organizations, such as FRI, where related entities exercise voting and investment powers over the securities being reported independently from each other. The voting and investment powers held by each of FRI's affiliates whose ownership of securities is disaggregated from that of FRI in accordance with the 1998 Release ("FRI Disaggregated Affiliates") are exercised independently from FRI and from all other investment management subsidiaries of FRI (FRI, its affiliates and the investment management subsidiaries of FRI other than FRI Disaggregated Affiliates are collectively, "FRI Aggregated Affiliates"). F3: Furthermore, internal policies and procedures of, on the one hand, FRI Disaggregated Affiliates, and, on the other hand, FRI, establish informational barriers that prevent the flow among, on the one hand, FRI Disaggregated Affiliates (including preventing the flow between such entities), and, on the other hand, the FRI Aggregated Affiliates, of information that relates to the voting and investment powers over the securities owned by their respective investment management clients. Consequently, FRI Disaggregated Affiliates report the securities over which they hold investment and voting power separately from the FRI Aggregated Affiliates for purposes of Section 13 of the Act. F4: Charles B. Johnson and Rupert H. Johnson, Jr. (the "Principal Shareholders") each own in excess of 10% of the outstanding common stock of FRI and are the principal stockholders of FRI. The Principal Shareholders may be deemed to be, for purposes of Rule 13d-3 under the Act, the beneficial owners of securities held by FRI. The Principal Shareholders disclaim any pecuniary interest in any such securities. In addition, the filing of this report on behalf of the Principal Shareholders should not be construed as an admission that either of them is, and each disclaims that he is, the beneficial owner, as defined in Rule 13d-3, of any of the Securities. F5: FRI, its affiliates and the Principal Shareholders believe that they are not a group within the meaning of Rule 13d-5 under the Act and that they are not otherwise required to attribute to each other the beneficial ownership of any securities held by any of them or by any persons or entities for whom or for which a FRI affiliate provides investment management services. |
Filing footnotes · ownership attribution and instrument terms
F1: BSP Fund HoldCo (Debt Strategy) L.P. ("HoldCo"), a direct wholly owned subsidiary of Franklin Resources, Inc. ("FRI"), directly holds 10,000 Class A Shares and [(black circle)] Advisor Class Shares of the Issuer, respectively. Benefit Street Partners L.L.C. ("BSP"), a direct wholly owned subsidiary of FRI, serves as investment adviser to the issuer. BSP holds no Class A Shares or Advisor Class Shares.
F2: FRI is filing this report for itself and its affiliates, except as set forth herein. Beneficial ownership by FRI and its affiliates is being reported herein in conformity with the guidelines articulated by the SEC staff in Release No. 34-39538 (January 12, 1998) relating to organizations, such as FRI, where related entities exercise voting and investment powers over the securities being reported independently from each other. The voting and investment powers held by each of FRI's affiliates whose ownership of securities is disaggregated from that of FRI in accordance with the 1998 Release ("FRI Disaggregated Affiliates") are exercised independently from FRI and from all other investment management subsidiaries of FRI (FRI, its affiliates and the investment management subsidiaries of FRI other than FRI Disaggregated Affiliates are collectively, "FRI Aggregated Affiliates").
F3: Furthermore, internal policies and procedures of, on the one hand, FRI Disaggregated Affiliates, and, on the other hand, FRI, establish informational barriers that prevent the flow among, on the one hand, FRI Disaggregated Affiliates (including preventing the flow between such entities), and, on the other hand, the FRI Aggregated Affiliates, of information that relates to the voting and investment powers over the securities owned by their respective investment management clients. Consequently, FRI Disaggregated Affiliates report the securities over which they hold investment and voting power separately from the FRI Aggregated Affiliates for purposes of Section 13 of the Act.
F4: Charles B. Johnson and Rupert H. Johnson, Jr. (the "Principal Shareholders") each own in excess of 10% of the outstanding common stock of FRI and are the principal stockholders of FRI. The Principal Shareholders may be deemed to be, for purposes of Rule 13d-3 under the Act, the beneficial owners of securities held by FRI. The Principal Shareholders disclaim any pecuniary interest in any such securities. In addition, the filing of this report on behalf of the Principal Shareholders should not be construed as an admission that either of them is, and each disclaims that he is, the beneficial owner, as defined in Rule 13d-3, of any of the Securities.
F5: FRI, its affiliates and the Principal Shareholders believe that they are not a group within the meaning of Rule 13d-5 under the Act and that they are not otherwise required to attribute to each other the beneficial ownership of any securities held by any of them or by any persons or entities for whom or for which a FRI affiliate provides investment management services.
Franklin Lexington Private Markets Fund
Report date August 13, 2024 · Filed August 19, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 4,000 |
Reported balance
Holding disclosure · report date 2024-08-13 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 4,000 F1: Class I Shares F2: See Exhibit 99-1 for text of Footnote, which Exhibit is incorporated by reference herein. |
Filing footnotes · ownership attribution and instrument terms
F1: Class I Shares
F2: See Exhibit 99-1 for text of Footnote, which Exhibit is incorporated by reference herein.
GOODRICH PETROLEUM CORP
Report date December 23, 2021 · Filed December 28, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2021-12-23 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-12-23 · Other · Disposed 3,581,913 · Balance 0 F1: The Reporting Persons tendered their shares in the Tender Offer by Paloma VI Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Paloma Partners VI Holdings, LLC, for any and all of the issued and outstanding shares of Goodrich Petroleum Corporation, a Delaware corporation, at a price of US $23.00 per Share in cash, without interest, less any applicable withholding taxes, upon the terms and subject to the conditions set forth in the Offer to Purchase, dated November 24, 2021, and in the related Letter of Transmittal. The Tender Offer expired at 12:00 A.M. midnight, New York City time, on December 23, 2021. F2: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Persons tendered their shares in the Tender Offer by Paloma VI Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Paloma Partners VI Holdings, LLC, for any and all of the issued and outstanding shares of Goodrich Petroleum Corporation, a Delaware corporation, at a price of US $23.00 per Share in cash, without interest, less any applicable withholding taxes, upon the terms and subject to the conditions set forth in the Offer to Purchase, dated November 24, 2021, and in the related Letter of Transmittal. The Tender Offer expired at 12:00 A.M. midnight, New York City time, on December 23, 2021.
F2: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein.
Saba Capital Income & Opportunities Fund II
Report date November 09, 2023 · Filed November 14, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Shares of beneficial interestSEC Table I · non-derivative | Direct | 3,440,823 |
Reported balance
After 2023-11-09 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-11-09 · Other · Disposed 6,549,764 · Balance 3,440,823 F1: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. |
| Shares of beneficial interestSEC Table I · non-derivative | IndirectSee Footnote | 54,047 |
Reported balance
After 2023-11-09 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2023-11-09 · Other · Disposed 102,881 · Balance 54,047 F2: Includes 10,996 shares remaining that were previously acquired by Charles B. Johnson, 20,932 shares having been sold. Also, includes 43,051 shares remaining that were previously acquired by the Johnson Family Trust, 81,949 shares having been sold. The shares were sold by Charles B. Johnson and the Johnson Family Trust in a tender of shares pursuant to a self-tender offer by the Issuer. Charles B. Johnson is an Executive Consultant for Franklin Resources, Inc. and Trustee of the Johnson Family Trust. F1: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. |
Filing footnotes · ownership attribution and instrument terms
F1: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein.
F2: Includes 10,996 shares remaining that were previously acquired by Charles B. Johnson, 20,932 shares having been sold. Also, includes 43,051 shares remaining that were previously acquired by the Johnson Family Trust, 81,949 shares having been sold. The shares were sold by Charles B. Johnson and the Johnson Family Trust in a tender of shares pursuant to a self-tender offer by the Issuer. Charles B. Johnson is an Executive Consultant for Franklin Resources, Inc. and Trustee of the Johnson Family Trust.
Timber Pharmaceuticals, Inc.
Report date August 01, 2017 · Filed August 03, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 9,749,615 |
Reported balance
After 2017-08-01 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-08-01 · Purchase · Acquired 250,000 · Balance 9,749,615 F1: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. |
Filing footnotes · ownership attribution and instrument terms
F1: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein.
Western Asset Diversified Income Fund (WDI)
Report date June 24, 2021 · Filed July 02, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,000 |
Reported balance
Holding disclosure · report date 2021-06-24 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 5,000 |
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 15, 2020 Filed Jul 27, 2020 17:06 UTC Amendment | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | OtherConvertible Notes · Derivative | 21,326 | Not disclosed Strike: $21.33 | Not disclosed |
DisclosureSEC source: 0001225208-20-009955 · doc4a.xml · derivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 653,210 Underlying: Common Stock · 21,326 shares Expires 2021-05-31 F2 · price: The Reporting Persons acquired the additional 2022 Convertible Notes from a quarterly payment in kind interest distribution. F1 · derivative.expiration_date: This Amendment is filed to reflect that on May 6, 2020 the maturity date of the Convertible Notes was extended from May 31, 2021 to May 31, 2022. F3 · ownership.direct: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| April 15, 2020 Filed Apr 17, 2020 17:41 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | OtherConvertible Notes · Derivative | 20,630 | Not disclosed Strike: $21.33 | Not disclosed |
DisclosureSEC source: 0001225208-20-006553 · doc4.xml · derivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 631,884 Underlying: Common Stock · 20,630 shares Expires 2021-05-31 F1 · price: The Reporting Persons acquired the additional 2021 Convertible Notes from a quarterly payment in kind interest distribution. F2 · ownership.direct: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 15, 2020 Filed Jan 17, 2020 17:49 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | OtherConvertible Notes · Derivative | 19,956 | Not disclosed Strike: $21.33 | Not disclosed |
DisclosureSEC source: 0001225208-20-000878 · doc4.xml · derivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 611,254 Underlying: Common Stock · 19,956 shares Expires 2021-05-31 F1 · price: The Reporting Persons acquired the additional 2021 Convertible Notes from a quarterly payment in kind interest distribution. F2 · ownership.direct: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| October 15, 2019 Filed Oct 17, 2019 19:12 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | OtherConvertible Notes · Derivative | 19,305 | Not disclosed Strike: $21.33 | Not disclosed |
DisclosureSEC source: 0001225208-19-013489 · doc4.xml · derivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 591,298 Underlying: Common Stock · 19,305 shares Expires 2021-05-31 F1 · price: The Reporting Persons acquired the additional 2021 Convertible Notes from a quarterly payment in kind interest distribution. F2 · ownership.direct: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| July 15, 2019 Filed Jul 17, 2019 18:53 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | OtherConvertible Notes · Derivative | 9,492 | Not disclosed Strike: $21.33 | Not disclosed |
DisclosureSEC source: 0001225208-19-010297 · doc4.xml · derivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 571,993 Underlying: Common Stock · 9,492 shares Expires 2021-05-31 F1 · price: The Reporting Persons acquired the additional 2021 Convertible Notes from a quarterly payment in kind interest distribution. F2 · ownership.direct: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| May 31, 2019 Filed May 31, 2019 20:58 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | PurchaseConvertible Notes · Derivative | 562,501 | Not disclosed Strike: $21.33 | Not disclosed |
DisclosureSEC source: 0001225208-19-008683 · doc4.xml · derivative · entry 3 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 562,501 Underlying: Common Stock · 562,501 shares Expires 2021-05-31 F3 · price: The Reporting Persons acquired the 2021 Convertible Notes for an aggregate price of US$12,000,000. F2 · ownership.direct: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| May 29, 2019 Filed May 31, 2019 20:58 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | OtherConvertible Notes · Derivative | 410,156 | Not disclosed Strike: $21.33 | Not disclosed |
DisclosureSEC source: 0001225208-19-008683 · doc4.xml · derivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 410,156 shares Expires 2019-08-30 F1 · price: The Issuer issued a full call/redemption of the Convertible Notes for US$8,894,375 with a pay date of May 29, 2019, resulting in a redemption of all the Convertible Notes held. F2 · ownership.direct: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| June 29, 2018 Filed Jul 2, 2018 17:07 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | OtherCommon Stock | 43,602 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-010997 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,281,700 F1 · price: See Exhibit 99-1 for text of footnote, which Exhibit is incorporated by reference herein. F2 · balance_after: See Exhibits 99-2 and 99-3 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| March 20, 2018 Filed Mar 21, 2018 17:05 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 655,660 | $10.75 | $7,048,345.00 |
DisclosureSEC source: 0001225208-18-006532 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,325,302 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| March 16, 2018 Filed Mar 20, 2018 17:10 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 25,953 | $10.76 | $279,293.21 |
DisclosureSEC source: 0001225208-18-006471 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,980,962 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| March 15, 2018 Filed Mar 16, 2018 18:35 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 2,600 | $11.08 | $28,804.88 |
DisclosureSEC source: 0001225208-18-006276 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,006,915 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| March 14, 2018 Filed Mar 16, 2018 18:35 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 200 | $11.14 | $2,227.00 |
DisclosureSEC source: 0001225208-18-006276 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,009,515 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| March 13, 2018 Filed Mar 14, 2018 17:13 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 16,787 | $11.20 | $188,073.15 |
DisclosureSEC source: 0001225208-18-006109 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,009,715 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| March 12, 2018 Filed Mar 14, 2018 17:13 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 3,200 | $10.68 | $34,173.12 |
DisclosureSEC source: 0001225208-18-006109 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,026,502 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| March 09, 2018 Filed Mar 12, 2018 17:11 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 8,500 | $10.42 | $88,583.60 |
DisclosureSEC source: 0001225208-18-005891 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,029,702 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| March 08, 2018 Filed Mar 12, 2018 17:11 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 800 | $10.89 | $8,709.52 |
DisclosureSEC source: 0001225208-18-005891 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,038,202 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| March 07, 2018 Filed Mar 8, 2018 18:08 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 8,600 | $10.73 | $92,296.92 |
DisclosureSEC source: 0001225208-18-005734 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,039,002 F1 · balance_after: Due to a fractional share adjustment from the cashless warrant conversion on February 7, 2018, the total amount of securities beneficially owned after the reported transaction is 1 share more than it would be if the number of such shares were deducted from the number shown on the Form 4 filed on February 15, 2018. F2 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| March 06, 2018 Filed Mar 8, 2018 18:08 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 2,700 | $11.04 | $29,812.59 |
DisclosureSEC source: 0001225208-18-005734 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,047,602 F1 · balance_after: Due to a fractional share adjustment from the cashless warrant conversion on February 7, 2018, the total amount of securities beneficially owned after the reported transaction is 1 share more than it would be if the number of such shares were deducted from the number shown on the Form 4 filed on February 15, 2018. F2 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| February 14, 2018 Filed Feb 15, 2018 18:45 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 1,090,357 | $11.00 | $11,993,927.00 |
DisclosureSEC source: 0001225208-18-003010 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,050,301 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 18:45 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 2,000 | $10.92 | $21,835.60 |
DisclosureSEC source: 0001225208-18-003010 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,140,658 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| February 12, 2018 Filed Feb 13, 2018 17:44 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 6,800 | $11.03 | $75,001.96 |
DisclosureSEC source: 0001225208-18-002643 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,142,658 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| February 09, 2018 Filed Feb 13, 2018 17:44 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 2,375 | $10.90 | $25,897.48 |
DisclosureSEC source: 0001225208-18-002643 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,149,458 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| February 07, 2018 Filed Feb 9, 2018 22:07 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | OtherWarrants · Derivative | 546,875 | $0.00 Strike: $0.01 | $0.00 |
DisclosureSEC source: 0001225208-18-002443 · doc4.xml · derivative · entry 3 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 546,875 shares Expires 2026-10-12 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| February 07, 2018 Filed Feb 9, 2018 22:07 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 451 | $12.13 | $5,468.74 |
DisclosureSEC source: 0001225208-18-002443 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,151,833 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| February 07, 2018 Filed Feb 9, 2018 22:07 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | OtherCommon Stock | 546,875 | $0.01 | $5,468.75 |
DisclosureSEC source: 0001225208-18-002443 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,152,284 Read SEC document |
| February 06, 2018 Filed Feb 7, 2018 20:04 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 20,400 | $11.02 | $224,781.48 |
DisclosureSEC source: 0001225208-18-002203 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,605,409 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 20:04 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 5,900 | $11.17 | $65,915.39 |
DisclosureSEC source: 0001225208-18-002203 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,625,809 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| February 01, 2018 Filed Feb 2, 2018 17:58 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 9,100 | $11.56 | $105,210.56 |
DisclosureSEC source: 0001225208-18-002026 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,631,709 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 31, 2018 Filed Feb 2, 2018 17:58 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 3,600 | $11.70 | $42,104.16 |
DisclosureSEC source: 0001225208-18-002026 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,640,809 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 30, 2018 Filed Jan 31, 2018 18:20 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 29,100 | $12.00 | $349,258.20 |
DisclosureSEC source: 0001225208-18-001913 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,644,409 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 29, 2018 Filed Jan 31, 2018 18:20 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 4,600 | $12.00 | $55,200.00 |
DisclosureSEC source: 0001225208-18-001913 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,673,509 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 26, 2018 Filed Jan 29, 2018 21:25 UTC | BATTALION OIL CORP HK · Entity 6921 | SaleCommon Stock | 500,000 | $8.60 | $4,300,000.00 |
DisclosureSEC source: 0001225208-18-001764 · doc4.xml · nonDerivative · entry 3 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 14,530,157 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 26, 2018 Filed Jan 29, 2018 21:25 UTC | BATTALION OIL CORP HK · Entity 6921 | SaleCommon Stock | 77,571 | $8.60 | $667,164.90 |
DisclosureSEC source: 0001225208-18-001764 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,030,157 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 26, 2018 Filed Jan 29, 2018 17:47 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 68 | $12.03 | $818.04 |
DisclosureSEC source: 0001225208-18-001714 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,678,109 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 25, 2018 Filed Jan 29, 2018 21:25 UTC | BATTALION OIL CORP HK · Entity 6921 | SaleCommon Stock | 435,010 | $8.44 | $3,672,658.93 |
DisclosureSEC source: 0001225208-18-001764 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,107,728 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 25, 2018 Filed Jan 29, 2018 17:47 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 700 | $12.58 | $8,802.50 |
DisclosureSEC source: 0001225208-18-001714 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,678,177 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 24, 2018 Filed Jan 25, 2018 15:53 UTC | BATTALION OIL CORP HK · Entity 6921 | SaleCommon Stock | 132,707 | $8.17 | $1,083,751.72 |
DisclosureSEC source: 0001225208-18-001474 · doc4.xml · nonDerivative · entry 4 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,542,738 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 23, 2018 Filed Jan 25, 2018 15:53 UTC | BATTALION OIL CORP HK · Entity 6921 | SaleCommon Stock | 195,100 | $8.23 | $1,605,243.78 |
DisclosureSEC source: 0001225208-18-001474 · doc4.xml · nonDerivative · entry 3 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,675,445 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 23, 2018 Filed Jan 25, 2018 15:53 UTC | BATTALION OIL CORP HK · Entity 6921 | SaleCommon Stock | 62,283 | $8.31 | $517,540.59 |
DisclosureSEC source: 0001225208-18-001474 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,870,545 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 23, 2018 Filed Jan 25, 2018 15:53 UTC | BATTALION OIL CORP HK · Entity 6921 | SaleCommon Stock | 24,900 | $8.21 | $204,304.50 |
DisclosureSEC source: 0001225208-18-001474 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,932,828 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 22, 2018 Filed Jan 23, 2018 15:39 UTC | BATTALION OIL CORP HK · Entity 6921 | SaleCommon Stock | 400,000 | $8.21 | $3,285,040.00 |
DisclosureSEC source: 0001225208-18-001361 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,957,728 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 19, 2018 Filed Jan 23, 2018 15:39 UTC | BATTALION OIL CORP HK · Entity 6921 | SaleCommon Stock | 150,000 | $8.04 | $1,206,585.00 |
DisclosureSEC source: 0001225208-18-001361 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 16,357,728 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 18, 2018 Filed Jan 19, 2018 17:00 UTC | BATTALION OIL CORP HK · Entity 6921 | SaleCommon Stock | 130,000 | $8.25 | $1,072,617.00 |
DisclosureSEC source: 0001225208-18-001287 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 16,507,728 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 17, 2018 Filed Jan 19, 2018 17:00 UTC | BATTALION OIL CORP HK · Entity 6921 | SaleCommon Stock | 170,000 | $8.39 | $1,425,773.00 |
DisclosureSEC source: 0001225208-18-001287 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 16,637,728 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 16, 2018 Filed Jan 17, 2018 15:37 UTC | BATTALION OIL CORP HK · Entity 6921 | SaleCommon Stock | 300,000 | $8.55 | $2,564,610.00 |
DisclosureSEC source: 0001225208-18-001077 · doc4.xml · nonDerivative · entry 3 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 16,807,728 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 16, 2018 Filed Jan 17, 2018 15:37 UTC | BATTALION OIL CORP HK · Entity 6921 | SaleCommon Stock | 150,000 | $8.73 | $1,309,590.00 |
DisclosureSEC source: 0001225208-18-001077 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 17,107,728 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 16, 2018 Filed Jan 18, 2018 18:11 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 9,700 | $12.38 | $120,037.50 |
DisclosureSEC source: 0001225208-18-001205 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,678,877 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 12, 2018 Filed Jan 16, 2018 17:35 UTC | GOODRICH PETROLEUM CORP GDPM · Entity 12257 | SaleCommon Stock | 20,200 | $12.29 | $248,231.74 |
DisclosureSEC source: 0001225208-18-000996 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,688,577 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 12, 2018 Filed Jan 17, 2018 15:37 UTC | BATTALION OIL CORP HK · Entity 6921 | SaleCommon Stock | 350,000 | $8.53 | $2,984,065.00 |
DisclosureSEC source: 0001225208-18-001077 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 17,257,728 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 11, 2018 Filed Jan 12, 2018 16:18 UTC | BATTALION OIL CORP HK · Entity 6921 | SaleCommon Stock | 390,000 | $8.21 | $3,203,343.00 |
DisclosureSEC source: 0001225208-18-000958 · doc4.xml · nonDerivative · entry 5 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 17,607,728 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.