TapewireFind a company

person · Reporting owner

Wilks Staci

Disclosed activity across 7 companies

Tapewire entity
96227
SEC CIK
0001641796

Export transaction history ↓

Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Approach Resources IncAREX · Entity 15262010% ownerJanuary 12, 2018January 12, 2018
CARBO CERAMICS INCCRR · Entity 14800910% ownerJune 11, 2018June 28, 2018
DAWSON GEOPHYSICAL CODWSN · Entity 672410% ownerSeptember 13, 2023October 30, 2023
FLOTEK INDUSTRIES INC/CN/FTK · Entity 509210% ownerMarch 04, 2022March 24, 2022
FTS International, Inc.FTSI · Entity 12936810% ownerNovember 19, 2020December 03, 2020
Solaris Energy Infrastructure, Inc.SOI · Entity 391810% ownerDecember 08, 2023December 12, 2023
U.S. WELL SERVICES HOLDINGS, LLCUSWS · Entity 12253110% ownerApril 29, 2022May 04, 2022

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.

Approach Resources Inc

Report date January 12, 2018 · Filed January 12, 2018

Jointly reported with Wilks Brothers, LLC, Wilks Dan H., Wilks Farris, SDW Investments, LLC

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect37,799,413 Reported balance After 2018-01-12 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2018-01-12 · Purchase · Acquired 200,000 · Balance 37,799,413

F1: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.

F2: See Remarks.

F3: These shares are owned directly by Wilks Brothers, LLC.

Filing footnotes · ownership attribution and instrument terms

F1: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.

F2: See Remarks.

F3: These shares are owned directly by Wilks Brothers, LLC.

CARBO CERAMICS INC

Report date June 11, 2018 · Filed June 28, 2018

Jointly reported with Wilks Brothers, LLC, Wilks Dan H., Wilks Farris

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Put Option (obligation to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.00 · Expires 2018-06-15Direct0 Reported balance After 2018-06-11 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2018-06-11 · Purchase · Acquired 700 · Balance 0

F1: The Reporting Person bought-to-close 6,275 put options referencing 627,500 shares of Common Stock.

Put Option (obligation to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.00 · Expires 2018-06-15Direct0 Reported balance After 2018-06-12 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2018-06-12 · Purchase · Acquired 1,060 · Balance 0

F1: The Reporting Person bought-to-close 6,275 put options referencing 627,500 shares of Common Stock.

Put Option (obligation to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.00 · Expires 2018-06-15Direct0 Reported balance After 2018-06-13 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2018-06-13 · Purchase · Acquired 585 · Balance 0

F1: The Reporting Person bought-to-close 6,275 put options referencing 627,500 shares of Common Stock.

Put Option (obligation to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.00 · Expires 2018-06-15Direct0 Reported balance After 2018-06-14 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2018-06-14 · Purchase · Acquired 3,930 · Balance 0

F1: The Reporting Person bought-to-close 6,275 put options referencing 627,500 shares of Common Stock.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person bought-to-close 6,275 put options referencing 627,500 shares of Common Stock.

DAWSON GEOPHYSICAL CO

Report date September 13, 2023 · Filed October 30, 2023

Jointly reported with Wilks Brothers, LLC, WB Acquisitions Inc., Wilks Dan H., Wilks Farris, Krylov Sergei, Wilks Matthew

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A common stock, par value $0.01 per shareSEC Table I · non-derivativeIndirectSee Footnote24,609,095 Reported balance After 2023-09-13 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2023-09-13 · Conversion · Acquired 5,811,765 · Balance 24,609,095

F1: On September 13, 2023, Dawson Geophysical Company ("Dawson") held a virtual special meeting of its stockholders. At the Special Meeting, Dawson's stockholders voted and approved the issuance of 5,811,765 shares of Common Stock of Issuer to Wilks Brothers, LLC ("Wilks Brothers") upon conversion of $9,880,000.50 in principal amount of the Convertible Note dated March 24, 2023 between Dawson and Wilks at a conversion price of $1.70 per share. Upon such approval, the Convertible Note automatically converted in full into the Conversion Shares upon such approval.

F2: Consists of (i) 9,111,736 directly owned by Wilks, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions, and (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks.

F3: Wilks Brothers is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is an affiliate of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers; Dan H. Wilks and Staci Wilks are husband and wife and share the same household; Matthew D. Wilks is the Director of the Issuer and VP - Investments of Wilks Brothers; and Sergei Krylov, is the Director of the Issuer and Chief Financial Officer of Wilks Brothers. Matthew D. Wilks and Sergei Krylov were each inadvertently excluded in prior filings and have been added as Reporting Persons. Each of the foregoing are reporting persons on a Schedule 13D/A (as amended from time to time, the "13D") filed with the SEC on June 29, 2023 (such Reporting Persons on the 13D, collectively, the "13D Group") and may be deemed to beneficially own the shares of the Issuer's Common Stock owned by other members of the 13D Group. (Continued in footnote 4)

F4: (Continued from footnote 3) Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

Convertible Note (convertible into Common Stock)SEC Table II · derivative / convertible security · Conversion / exercise price $1.70 · Expires 2024-06-30IndirectSee Footnote24,609,095 Reported balance After 2023-09-13 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2023-09-13 · Conversion · Disposed 5,811,765 · Balance 24,609,095

F1: On September 13, 2023, Dawson Geophysical Company ("Dawson") held a virtual special meeting of its stockholders. At the Special Meeting, Dawson's stockholders voted and approved the issuance of 5,811,765 shares of Common Stock of Issuer to Wilks Brothers, LLC ("Wilks Brothers") upon conversion of $9,880,000.50 in principal amount of the Convertible Note dated March 24, 2023 between Dawson and Wilks at a conversion price of $1.70 per share. Upon such approval, the Convertible Note automatically converted in full into the Conversion Shares upon such approval.

F2: Consists of (i) 9,111,736 directly owned by Wilks, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions, and (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks.

F3: Wilks Brothers is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is an affiliate of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers; Dan H. Wilks and Staci Wilks are husband and wife and share the same household; Matthew D. Wilks is the Director of the Issuer and VP - Investments of Wilks Brothers; and Sergei Krylov, is the Director of the Issuer and Chief Financial Officer of Wilks Brothers. Matthew D. Wilks and Sergei Krylov were each inadvertently excluded in prior filings and have been added as Reporting Persons. Each of the foregoing are reporting persons on a Schedule 13D/A (as amended from time to time, the "13D") filed with the SEC on June 29, 2023 (such Reporting Persons on the 13D, collectively, the "13D Group") and may be deemed to beneficially own the shares of the Issuer's Common Stock owned by other members of the 13D Group. (Continued in footnote 4)

F4: (Continued from footnote 3) Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

Filing footnotes · ownership attribution and instrument terms

F1: On September 13, 2023, Dawson Geophysical Company ("Dawson") held a virtual special meeting of its stockholders. At the Special Meeting, Dawson's stockholders voted and approved the issuance of 5,811,765 shares of Common Stock of Issuer to Wilks Brothers, LLC ("Wilks Brothers") upon conversion of $9,880,000.50 in principal amount of the Convertible Note dated March 24, 2023 between Dawson and Wilks at a conversion price of $1.70 per share. Upon such approval, the Convertible Note automatically converted in full into the Conversion Shares upon such approval.

F2: Consists of (i) 9,111,736 directly owned by Wilks, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions, and (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks.

F3: Wilks Brothers is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is an affiliate of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers; Dan H. Wilks and Staci Wilks are husband and wife and share the same household; Matthew D. Wilks is the Director of the Issuer and VP - Investments of Wilks Brothers; and Sergei Krylov, is the Director of the Issuer and Chief Financial Officer of Wilks Brothers. Matthew D. Wilks and Sergei Krylov were each inadvertently excluded in prior filings and have been added as Reporting Persons. Each of the foregoing are reporting persons on a Schedule 13D/A (as amended from time to time, the "13D") filed with the SEC on June 29, 2023 (such Reporting Persons on the 13D, collectively, the "13D Group") and may be deemed to beneficially own the shares of the Issuer's Common Stock owned by other members of the 13D Group. (Continued in footnote 4)

F4: (Continued from footnote 3) Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

FLOTEK INDUSTRIES INC/CN/

Report date March 04, 2022 · Filed March 24, 2022

Jointly reported with ProFrac Holdings II, LLC, ProFrac Holdings, LLC, THRC Holdings, LP, THRC Management, LLC, Wilks Farris, Wilks Dan H.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
10% Convertible PIK NotesSEC Table II · derivative / convertible security · Conversion / exercise price $1.09 · Expires 2023-02-02DirectNot disclosed Reported balance Holding disclosure · report date 2022-03-04 · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · Balance Not disclosed

F1: ProFrac Holdings II, LLC, a Texas limited liability company ("ProFrac Holdings II"), directly holds the securities of the Issuer. ProFrac Holdings II is a wholly-owned subsidiary of ProFrac Holdings, LLC, a Texas limited liability company ("ProFrac Holdings"). Each of Farris Wilks and THRC Holdings, LP, a Texas limited partnership ("THRC Holdings"), owns 50% of the membership interests in ProFrac Holdings. In addition, Farris Wilks and Dan Wilks are the sole managers of ProFrac Holdings. THRC Management, LLC, a Texas limited liability company ("THRC Management"), as General Partner of THRC Holdings, has exclusive voting and investment control over the securities of the Issuer held by THRC Holdings, and therefore may be deemed to beneficially own such securities. Dan Wilks, as sole manager of THRC Management, together with his spouse, Staci Wilks, who share the same household, may be deemed to exercise voting and investment power over the securities of the Issuer beneficially owned

F2: Continued from footnote 1) Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 3 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 3.

F3: On March 4, 2022, ProFrac Holdings transferred all of its right, title and interest in $20,000,000 in aggregate principal amount of 10% Convertible PIK Notes of the Issuer (the "Notes") to ProFrac Holdings II, which became the direct holder of the Notes as a result of such transfer.

F5: Subject to the terms and conditions of the Notes, all or any portion of the outstanding principal and accrued and unpaid interest owing under the Notes may be converted at the election of ProFrac Holdings II at any time into a number of shares of Common Stock equal to the quotient obtained by dividing (a) the amount of such outstanding aggregate principal amount plus accrued and unpaid interest through the date immediately prior to the date of conversion, by (b) the Conversion Price.

F4: Subject to earlier conversion in accordance with their terms, the entire outstanding and unpaid principal balance of the Notes, plus any accrued and unpaid interest thereon, will become due and payable to ProFrac Holdings II on February 2, 2023 (the "Maturity Date") in a number of shares of the Issuer's Common Stock, par value $0.0001 per share ("Common Stock"), equal to the quotient obtained by dividing (a) the amount of such outstanding principal and accrued and unpaid interest through the date immediately prior to the Maturity Date, by (b) the lesser of (i) $1.088125 (the "Conversion Price") and (ii) $0.8705, in each case, subject to certain anti-dilution adjustments in accordance with its terms.

F6: This number represents the number of shares of Common Stock issuable to ProFrac Holdings II upon conversion of the Notes if ProFrac Holdings II elects to convert the Notes based on the aggregate principal amount of the Notes (as described in footnote 4 above), not including the conversion of any accrued but unpaid interest on any Notes, and the Conversion Price applicable to the Notes (as described in footnote 5 above).

Filing footnotes · ownership attribution and instrument terms

F1: ProFrac Holdings II, LLC, a Texas limited liability company ("ProFrac Holdings II"), directly holds the securities of the Issuer. ProFrac Holdings II is a wholly-owned subsidiary of ProFrac Holdings, LLC, a Texas limited liability company ("ProFrac Holdings"). Each of Farris Wilks and THRC Holdings, LP, a Texas limited partnership ("THRC Holdings"), owns 50% of the membership interests in ProFrac Holdings. In addition, Farris Wilks and Dan Wilks are the sole managers of ProFrac Holdings. THRC Management, LLC, a Texas limited liability company ("THRC Management"), as General Partner of THRC Holdings, has exclusive voting and investment control over the securities of the Issuer held by THRC Holdings, and therefore may be deemed to beneficially own such securities. Dan Wilks, as sole manager of THRC Management, together with his spouse, Staci Wilks, who share the same household, may be deemed to exercise voting and investment power over the securities of the Issuer beneficially owned

F2: Continued from footnote 1) Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 3 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 3.

F3: On March 4, 2022, ProFrac Holdings transferred all of its right, title and interest in $20,000,000 in aggregate principal amount of 10% Convertible PIK Notes of the Issuer (the "Notes") to ProFrac Holdings II, which became the direct holder of the Notes as a result of such transfer.

F4: Subject to earlier conversion in accordance with their terms, the entire outstanding and unpaid principal balance of the Notes, plus any accrued and unpaid interest thereon, will become due and payable to ProFrac Holdings II on February 2, 2023 (the "Maturity Date") in a number of shares of the Issuer's Common Stock, par value $0.0001 per share ("Common Stock"), equal to the quotient obtained by dividing (a) the amount of such outstanding principal and accrued and unpaid interest through the date immediately prior to the Maturity Date, by (b) the lesser of (i) $1.088125 (the "Conversion Price") and (ii) $0.8705, in each case, subject to certain anti-dilution adjustments in accordance with its terms.

F5: Subject to the terms and conditions of the Notes, all or any portion of the outstanding principal and accrued and unpaid interest owing under the Notes may be converted at the election of ProFrac Holdings II at any time into a number of shares of Common Stock equal to the quotient obtained by dividing (a) the amount of such outstanding aggregate principal amount plus accrued and unpaid interest through the date immediately prior to the date of conversion, by (b) the Conversion Price.

F6: This number represents the number of shares of Common Stock issuable to ProFrac Holdings II upon conversion of the Notes if ProFrac Holdings II elects to convert the Notes based on the aggregate principal amount of the Notes (as described in footnote 4 above), not including the conversion of any accrued but unpaid interest on any Notes, and the Conversion Price applicable to the Notes (as described in footnote 5 above).

FTS International, Inc.

Report date November 19, 2020 · Filed December 03, 2020 · Amendment

Jointly reported with THRC Holdings, LP, THRC Management, LLC, Wilks Dan H.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect1,973,720 Reported balance Holding disclosure · report date 2020-11-19 · row 1 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 1 · Balance 1,973,720

F1: THRC Holdings LP ("Holdings"), a Texas limited partnership, directly holds the securities of the Issuer, which shares were received as a distribution pursuant to the Plan of Reorganization of FTSI upon its emergence from Chapter 11 proceedings.

F2: THRC Management, LLC ("Management") a Texas limited liability company, as General Partner of Holdings, has exclusive voting and investment power over the shares of Issuer's Class A Common Stock held by Holdings, and therefore may be deemed to beneficially own such shares. Dan H. Wilks, as sole Manager of Management, together with his spouse, Staci Wilks, who share the same household, may be deemed to exercise voting and investment power over the shares of Issuer's Class A Common Stock directly owned by Holdings and therefore may be deemed to share in the beneficial ownership of such shares. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 3/A shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form.

F3: The Reporting Persons' Form 3 and Exhibit 99.1 thereto previously filed with the Securities and Exchange Commission on November 24, 2020, is hereby amended to add THRC Management, LLC as a Reporting Person and indirect beneficial owner of the reported securities covered by this Form.

Filing footnotes · ownership attribution and instrument terms

F1: THRC Holdings LP ("Holdings"), a Texas limited partnership, directly holds the securities of the Issuer, which shares were received as a distribution pursuant to the Plan of Reorganization of FTSI upon its emergence from Chapter 11 proceedings.

F2: THRC Management, LLC ("Management") a Texas limited liability company, as General Partner of Holdings, has exclusive voting and investment power over the shares of Issuer's Class A Common Stock held by Holdings, and therefore may be deemed to beneficially own such shares. Dan H. Wilks, as sole Manager of Management, together with his spouse, Staci Wilks, who share the same household, may be deemed to exercise voting and investment power over the shares of Issuer's Class A Common Stock directly owned by Holdings and therefore may be deemed to share in the beneficial ownership of such shares. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 3/A shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form.

F3: The Reporting Persons' Form 3 and Exhibit 99.1 thereto previously filed with the Securities and Exchange Commission on November 24, 2020, is hereby amended to add THRC Management, LLC as a Reporting Person and indirect beneficial owner of the reported securities covered by this Form.

Solaris Energy Infrastructure, Inc.

Report date December 08, 2023 · Filed December 12, 2023

Jointly reported with THRC Holdings, LP, THRC Management, LLC, Wilks Dan H.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A common stock, par value $0.01 per shareSEC Table I · non-derivativeDirect3,178,875 Reported balance After 2023-12-08 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2023-12-08 · Sale · Disposed 40,000 · Balance 3,178,875

F1: The reported price in Column 4 is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $8.11 to $8.14 per share. 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 purchased at each separate price within the range set forth in this footnote.

F2: THRC Holdings, LP, a Texas limited partnership ("THRC Holdings"), directly holds the securities of the Issuer. THRC Management, LLC, a Texas limited liability company ("THRC Management"), as General Partner of THRC Holdings, has exclusive voting and investment control over the shares of the Issuer's Class A common stock held by THRC Holdings, and therefore may be deemed to beneficially own such shares.

F3: (continued from footnote 2) Dan Wilks, as sole manager of THRC Management, together with his spouse, Staci Wilks, may be deemed to exercise voting and investment power over the shares of the Issuer's Class A common stock directly owned by THRC Holdings, and therefore may be deemed to beneficially own such shares. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

Filing footnotes · ownership attribution and instrument terms

F1: The reported price in Column 4 is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $8.11 to $8.14 per share. 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 purchased at each separate price within the range set forth in this footnote.

F2: THRC Holdings, LP, a Texas limited partnership ("THRC Holdings"), directly holds the securities of the Issuer. THRC Management, LLC, a Texas limited liability company ("THRC Management"), as General Partner of THRC Holdings, has exclusive voting and investment control over the shares of the Issuer's Class A common stock held by THRC Holdings, and therefore may be deemed to beneficially own such shares.

F3: (continued from footnote 2) Dan Wilks, as sole manager of THRC Management, together with his spouse, Staci Wilks, may be deemed to exercise voting and investment power over the shares of the Issuer's Class A common stock directly owned by THRC Holdings, and therefore may be deemed to beneficially own such shares. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

U.S. WELL SERVICES HOLDINGS, LLC

Report date April 29, 2022 · Filed May 04, 2022

Jointly reported with THRC Holdings, LP, THRC Management, LLC, Wilks Dan H.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
16.0% Convertible Senior Secured (Third Lien) PIK NoteSEC Table II · derivative / convertible securityDirect21,454,672.2 Reported balance After 2022-04-29 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2022-04-29 · Purchase · Acquired 21,454,672.2 · Balance 21,454,672.2

F1: THRC Holdings, LP ("Holdings"), a Texas limited partnership, directly holds the securities of the Issuer. THRC Management, LLC ("Management") a Texas limited liability company, as General Partner of Holdings, has exclusive voting and investment power over the securities held by Holdings, and therefore, may be deemed to beneficially own such securities. Dan H. Wilks, as sole Manager of Management, together with his spouse, Staci Wilks, who share the same household, may be deemed to exercise voting and investment power over the securities directly owned by Holdings, and therefore, may be deemed to beneficially own such securities. Each Reporting Person disclaims beneficial ownership of all securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 4.

F2: On April 29, 2022, pursuant to a Note Purchase Agreement dated as of April 25, 2022, Holdings purchased a (i) 16.0% Convertible Senior Secured (Third Lien) PIK Note in the principal amount of $21,454,672.24 (the "Cash Note") that is convertible into shares of the Issuer's Class A Common Stock, par value $0.0001 per share ("Class A Common Stock") and (ii) 16.0% Convertible Senior Secured (Third Lien) PIK Note in the principal amount of $21,454,672.24 (the "Exchange Note") that is convertible into shares of Class A Common Stock.

F3: Subject to earlier conversion or redemption in accordance with its terms, the Cash Note will become due and payable on June 5, 2026 (the "Cash Note Maturity Date") in a number of shares of Class A Common Stock determined by dividing (a) the outstanding balance of the principal amount of the Cash Note (together with the accrued but unpaid interest thereon) as of the Cash Note Maturity Date, by (b) the volume weighted average price of Class A Common Stock for the 20 trading day period immediately preceding the Cash Note Maturity Date (or in such other manner as determined pursuant to the terms of the Cash Note or the Note Purchase Agreement pursuant to which it was issued).

F4: All or any portion of the Cash Note may be converted at the election of the holder thereof at any time into a number of shares of Class A Common Stock determined by dividing (a) the outstanding balance of the principal amount of the Cash Note being converted (together with the accrued but unpaid interest thereon) as of the applicable conversion date, by (b) a conversion price of $4.375, which such conversion price is subject to certain anti-dilution adjustments in accordance with its terms. The Cash Note is convertible by Holdings at any time prior to the payment in full of all outstanding principal and interest due under the Cash Note.

F6: This price includes the payment for partially accrued in-kind interest or dividends.

F5: This number represents the number of shares of Class A Common Stock issuable upon conversion of the Cash Note if the holder thereof elects to convert the Cash Note based on the principal amount of the Cash Note identified in footnote 2 above and the conversion price identified in footnote 4 above. The Cash Note may not be converted if the conversion would result in violations of Nasdaq Capital Market's change of control or certain other Nasdaq rules.

16.0% Convertible Senior Secured (Third Lien) PIK NoteSEC Table II · derivative / convertible securityDirect21,454,672.2 Reported balance After 2022-04-29 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2022-04-29 · Purchase · Acquired 21,454,672.2 · Balance 21,454,672.2

F1: THRC Holdings, LP ("Holdings"), a Texas limited partnership, directly holds the securities of the Issuer. THRC Management, LLC ("Management") a Texas limited liability company, as General Partner of Holdings, has exclusive voting and investment power over the securities held by Holdings, and therefore, may be deemed to beneficially own such securities. Dan H. Wilks, as sole Manager of Management, together with his spouse, Staci Wilks, who share the same household, may be deemed to exercise voting and investment power over the securities directly owned by Holdings, and therefore, may be deemed to beneficially own such securities. Each Reporting Person disclaims beneficial ownership of all securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 4.

F2: On April 29, 2022, pursuant to a Note Purchase Agreement dated as of April 25, 2022, Holdings purchased a (i) 16.0% Convertible Senior Secured (Third Lien) PIK Note in the principal amount of $21,454,672.24 (the "Cash Note") that is convertible into shares of the Issuer's Class A Common Stock, par value $0.0001 per share ("Class A Common Stock") and (ii) 16.0% Convertible Senior Secured (Third Lien) PIK Note in the principal amount of $21,454,672.24 (the "Exchange Note") that is convertible into shares of Class A Common Stock.

F7: Subject to earlier conversion or redemption in accordance with its terms, the Exchange Note will become due and payable on June 5, 2026 (the "Exchange Note Maturity Date") in a number of shares of Class A Common Stock determined by dividing (a) the outstanding balance of the principal amount of the Exchange Note (together with the accrued but unpaid interest thereon) as of the Exchange Note Maturity Date, by (b) the volume weighted average price of Class A Common Stock for the 20 trading day period immediately preceding the Exchange Note Maturity Date (or in such other manner as determined pursuant to the terms of the Exchange Note or the Note Purchase Agreement pursuant to which it was issued).

F8: All or any portion of the Exchange Note may be converted at the election of the holder thereof at any time into a number of shares of Class A Common Stock determined by dividing (a) the outstanding balance of the principal amount of the Exchange Note (together with the accrued but unpaid interest thereon) as of the applicable conversion date, by (b) a conversion price of $7.00, which such conversion price is subject to certain anti-dilution adjustments in accordance with its terms. The Exchange Note is convertible by Holdings at any time prior to the payment in full of all outstanding principal and interest due under the Exchange Note.

F6: This price includes the payment for partially accrued in-kind interest or dividends.

F9: This number represents the number of shares of Class A Common Stock issuable upon conversion of the Exchange Note if the holder thereof elects to convert the Exchange Note based on the principal amount of the Exchange Note identified in footnote 2 above and the conversion price identified in footnote 8 above. The Exchange Note may not be converted if the conversion would result in violations of Nasdaq Capital Market's change of control or certain other Nasdaq rules.

Series A Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $23.35Direct5,198 Reported balance After 2022-04-29 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2022-04-29 · Purchase · Acquired 5,198 · Balance 5,198

F10: On April 29, 2022, Holdings purchased (i) 5,198 shares of the Issuer's Series A Redeemable Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock"), which are convertible into shares of Class A Common Stock and (ii) 2,666,669 warrants (the "Purchased Warrants") exercisable for 761,905 shares of Class A Common Stock, for an aggregate purchase price equal to 85% of the liquidation preference of the Series A Preferred Stock, as adjusted pursuant to its terms, as of April 29, 2022.

F6: This price includes the payment for partially accrued in-kind interest or dividends.

F11: Holdings may convert all or any portion of the Series A Preferred Stock into Class A Common Stock based on the then-applicable liquidation preference, subject to anti-dilution adjustments, at any time, but not more than once per quarter, so long as any conversion is for at least $1,000,000 based on the liquidation preference on the date of the conversion notice. The Series A Preferred Stock has no expiration date.

F12: The securities listed above may not be converted if the conversion would result in violations of Nasdaq Capital Market's change of control or certain other Nasdaq rules.

Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $26.81Direct2,666,669 Reported balance After 2022-04-29 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2022-04-29 · Purchase · Acquired 2,666,669 · Balance 2,666,669

F10: On April 29, 2022, Holdings purchased (i) 5,198 shares of the Issuer's Series A Redeemable Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock"), which are convertible into shares of Class A Common Stock and (ii) 2,666,669 warrants (the "Purchased Warrants") exercisable for 761,905 shares of Class A Common Stock, for an aggregate purchase price equal to 85% of the liquidation preference of the Series A Preferred Stock, as adjusted pursuant to its terms, as of April 29, 2022.

F13: All or any portion of the Purchased Warrants may be exercised by Holdings at any time prior to expiration. The Purchased Warrants expire on May 24, 2025.

F12: The securities listed above may not be converted if the conversion would result in violations of Nasdaq Capital Market's change of control or certain other Nasdaq rules.

Filing footnotes · ownership attribution and instrument terms

F1: THRC Holdings, LP ("Holdings"), a Texas limited partnership, directly holds the securities of the Issuer. THRC Management, LLC ("Management") a Texas limited liability company, as General Partner of Holdings, has exclusive voting and investment power over the securities held by Holdings, and therefore, may be deemed to beneficially own such securities. Dan H. Wilks, as sole Manager of Management, together with his spouse, Staci Wilks, who share the same household, may be deemed to exercise voting and investment power over the securities directly owned by Holdings, and therefore, may be deemed to beneficially own such securities. Each Reporting Person disclaims beneficial ownership of all securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 4.

F2: On April 29, 2022, pursuant to a Note Purchase Agreement dated as of April 25, 2022, Holdings purchased a (i) 16.0% Convertible Senior Secured (Third Lien) PIK Note in the principal amount of $21,454,672.24 (the "Cash Note") that is convertible into shares of the Issuer's Class A Common Stock, par value $0.0001 per share ("Class A Common Stock") and (ii) 16.0% Convertible Senior Secured (Third Lien) PIK Note in the principal amount of $21,454,672.24 (the "Exchange Note") that is convertible into shares of Class A Common Stock.

F3: Subject to earlier conversion or redemption in accordance with its terms, the Cash Note will become due and payable on June 5, 2026 (the "Cash Note Maturity Date") in a number of shares of Class A Common Stock determined by dividing (a) the outstanding balance of the principal amount of the Cash Note (together with the accrued but unpaid interest thereon) as of the Cash Note Maturity Date, by (b) the volume weighted average price of Class A Common Stock for the 20 trading day period immediately preceding the Cash Note Maturity Date (or in such other manner as determined pursuant to the terms of the Cash Note or the Note Purchase Agreement pursuant to which it was issued).

F4: All or any portion of the Cash Note may be converted at the election of the holder thereof at any time into a number of shares of Class A Common Stock determined by dividing (a) the outstanding balance of the principal amount of the Cash Note being converted (together with the accrued but unpaid interest thereon) as of the applicable conversion date, by (b) a conversion price of $4.375, which such conversion price is subject to certain anti-dilution adjustments in accordance with its terms. The Cash Note is convertible by Holdings at any time prior to the payment in full of all outstanding principal and interest due under the Cash Note.

F5: This number represents the number of shares of Class A Common Stock issuable upon conversion of the Cash Note if the holder thereof elects to convert the Cash Note based on the principal amount of the Cash Note identified in footnote 2 above and the conversion price identified in footnote 4 above. The Cash Note may not be converted if the conversion would result in violations of Nasdaq Capital Market's change of control or certain other Nasdaq rules.

F6: This price includes the payment for partially accrued in-kind interest or dividends.

F7: Subject to earlier conversion or redemption in accordance with its terms, the Exchange Note will become due and payable on June 5, 2026 (the "Exchange Note Maturity Date") in a number of shares of Class A Common Stock determined by dividing (a) the outstanding balance of the principal amount of the Exchange Note (together with the accrued but unpaid interest thereon) as of the Exchange Note Maturity Date, by (b) the volume weighted average price of Class A Common Stock for the 20 trading day period immediately preceding the Exchange Note Maturity Date (or in such other manner as determined pursuant to the terms of the Exchange Note or the Note Purchase Agreement pursuant to which it was issued).

F8: All or any portion of the Exchange Note may be converted at the election of the holder thereof at any time into a number of shares of Class A Common Stock determined by dividing (a) the outstanding balance of the principal amount of the Exchange Note (together with the accrued but unpaid interest thereon) as of the applicable conversion date, by (b) a conversion price of $7.00, which such conversion price is subject to certain anti-dilution adjustments in accordance with its terms. The Exchange Note is convertible by Holdings at any time prior to the payment in full of all outstanding principal and interest due under the Exchange Note.

F9: This number represents the number of shares of Class A Common Stock issuable upon conversion of the Exchange Note if the holder thereof elects to convert the Exchange Note based on the principal amount of the Exchange Note identified in footnote 2 above and the conversion price identified in footnote 8 above. The Exchange Note may not be converted if the conversion would result in violations of Nasdaq Capital Market's change of control or certain other Nasdaq rules.

F10: On April 29, 2022, Holdings purchased (i) 5,198 shares of the Issuer's Series A Redeemable Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock"), which are convertible into shares of Class A Common Stock and (ii) 2,666,669 warrants (the "Purchased Warrants") exercisable for 761,905 shares of Class A Common Stock, for an aggregate purchase price equal to 85% of the liquidation preference of the Series A Preferred Stock, as adjusted pursuant to its terms, as of April 29, 2022.

F11: Holdings may convert all or any portion of the Series A Preferred Stock into Class A Common Stock based on the then-applicable liquidation preference, subject to anti-dilution adjustments, at any time, but not more than once per quarter, so long as any conversion is for at least $1,000,000 based on the liquidation preference on the date of the conversion notice. The Series A Preferred Stock has no expiration date.

F12: The securities listed above may not be converted if the conversion would result in violations of Nasdaq Capital Market's change of control or certain other Nasdaq rules.

F13: All or any portion of the Purchased Warrants may be exercised by Holdings at any time prior to expiration. The Purchased Warrants expire on May 24, 2025.

Transaction history

JSON API
Reset

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
December 08, 2023 Filed Dec 12, 2023 22:49 UTC Solaris Energy Infrastructure, Inc. SOI · Entity 3918 SaleClass A common stock, par value $0.01 per share 40,000 $8.12 $324,800.00
Disclosure

SEC source: 0000950170-23-069797 · ownership.xml · nonDerivative · entry 1

THRC Holdings, LP · CIK 0001754159 · 10% owner

THRC Management, LLC · CIK 0001834450 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,178,875

F1 · price: The reported price in Column 4 is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $8.11 to $8.14 per share. 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 purchased at each separate price within the range set forth in this footnote.

F2 · ownership.direct: THRC Holdings, LP, a Texas limited partnership ("THRC Holdings"), directly holds the securities of the Issuer. THRC Management, LLC, a Texas limited liability company ("THRC Management"), as General Partner of THRC Holdings, has exclusive voting and investment control over the shares of the Issuer's Class A common stock held by THRC Holdings, and therefore may be deemed to beneficially own such shares.

F3 · ownership.direct: (continued from footnote 2) Dan Wilks, as sole manager of THRC Management, together with his spouse, Staci Wilks, may be deemed to exercise voting and investment power over the shares of the Issuer's Class A common stock directly owned by THRC Holdings, and therefore may be deemed to beneficially own such shares. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

Read SEC document
September 13, 2023 Filed Oct 30, 2023 21:22 UTC DAWSON GEOPHYSICAL CO DWSN · Entity 6724 ConversionConvertible Note (convertible into Common Stock) · Derivative 5,811,765 Not disclosed Strike: $1.70 Not disclosed
Disclosure

SEC source: 0000899243-23-020059 · doc4.xml · derivative · entry 2

Wilks Brothers, LLC · CIK 0001662888 · Director · 10% owner

WB Acquisitions Inc. · CIK 0001891025 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

Krylov Sergei · CIK 0001594869 · Director

Wilks Matthew · CIK 0001696102 · Director

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: 24,609,095

Underlying: Class A common stock, par value $0.01 per share · 5,811,765 shares

Expires 2024-06-30

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 · kind: On September 13, 2023, Dawson Geophysical Company ("Dawson") held a virtual special meeting of its stockholders. At the Special Meeting, Dawson's stockholders voted and approved the issuance of 5,811,765 shares of Common Stock of Issuer to Wilks Brothers, LLC ("Wilks Brothers") upon conversion of $9,880,000.50 in principal amount of the Convertible Note dated March 24, 2023 between Dawson and Wilks at a conversion price of $1.70 per share. Upon such approval, the Convertible Note automatically converted in full into the Conversion Shares upon such approval.

F1 · price: On September 13, 2023, Dawson Geophysical Company ("Dawson") held a virtual special meeting of its stockholders. At the Special Meeting, Dawson's stockholders voted and approved the issuance of 5,811,765 shares of Common Stock of Issuer to Wilks Brothers, LLC ("Wilks Brothers") upon conversion of $9,880,000.50 in principal amount of the Convertible Note dated March 24, 2023 between Dawson and Wilks at a conversion price of $1.70 per share. Upon such approval, the Convertible Note automatically converted in full into the Conversion Shares upon such approval.

F2 · balance_after: Consists of (i) 9,111,736 directly owned by Wilks, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions, and (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks.

F2 · ownership.direct: Consists of (i) 9,111,736 directly owned by Wilks, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions, and (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks.

F3 · ownership.direct: Wilks Brothers is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is an affiliate of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers; Dan H. Wilks and Staci Wilks are husband and wife and share the same household; Matthew D. Wilks is the Director of the Issuer and VP - Investments of Wilks Brothers; and Sergei Krylov, is the Director of the Issuer and Chief Financial Officer of Wilks Brothers. Matthew D. Wilks and Sergei Krylov were each inadvertently excluded in prior filings and have been added as Reporting Persons. Each of the foregoing are reporting persons on a Schedule 13D/A (as amended from time to time, the "13D") filed with the SEC on June 29, 2023 (such Reporting Persons on the 13D, collectively, the "13D Group") and may be deemed to beneficially own the shares of the Issuer's Common Stock owned by other members of the 13D Group. (Continued in footnote 4)

F3 · ownership.nature: Wilks Brothers is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is an affiliate of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers; Dan H. Wilks and Staci Wilks are husband and wife and share the same household; Matthew D. Wilks is the Director of the Issuer and VP - Investments of Wilks Brothers; and Sergei Krylov, is the Director of the Issuer and Chief Financial Officer of Wilks Brothers. Matthew D. Wilks and Sergei Krylov were each inadvertently excluded in prior filings and have been added as Reporting Persons. Each of the foregoing are reporting persons on a Schedule 13D/A (as amended from time to time, the "13D") filed with the SEC on June 29, 2023 (such Reporting Persons on the 13D, collectively, the "13D Group") and may be deemed to beneficially own the shares of the Issuer's Common Stock owned by other members of the 13D Group. (Continued in footnote 4)

F4 · ownership.nature: (Continued from footnote 3) Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

Read SEC document
September 13, 2023 Filed Oct 30, 2023 21:22 UTC DAWSON GEOPHYSICAL CO DWSN · Entity 6724 ConversionClass A common stock, par value $0.01 per share 5,811,765 $1.70 $9,880,000.50
Disclosure

SEC source: 0000899243-23-020059 · doc4.xml · nonDerivative · entry 1

Wilks Brothers, LLC · CIK 0001662888 · Director · 10% owner

WB Acquisitions Inc. · CIK 0001891025 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

Krylov Sergei · CIK 0001594869 · Director

Wilks Matthew · CIK 0001696102 · Director

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: 24,609,095

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 · kind: On September 13, 2023, Dawson Geophysical Company ("Dawson") held a virtual special meeting of its stockholders. At the Special Meeting, Dawson's stockholders voted and approved the issuance of 5,811,765 shares of Common Stock of Issuer to Wilks Brothers, LLC ("Wilks Brothers") upon conversion of $9,880,000.50 in principal amount of the Convertible Note dated March 24, 2023 between Dawson and Wilks at a conversion price of $1.70 per share. Upon such approval, the Convertible Note automatically converted in full into the Conversion Shares upon such approval.

F2 · balance_after: Consists of (i) 9,111,736 directly owned by Wilks, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions, and (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks.

F2 · ownership.direct: Consists of (i) 9,111,736 directly owned by Wilks, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions, and (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks.

F3 · ownership.direct: Wilks Brothers is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is an affiliate of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers; Dan H. Wilks and Staci Wilks are husband and wife and share the same household; Matthew D. Wilks is the Director of the Issuer and VP - Investments of Wilks Brothers; and Sergei Krylov, is the Director of the Issuer and Chief Financial Officer of Wilks Brothers. Matthew D. Wilks and Sergei Krylov were each inadvertently excluded in prior filings and have been added as Reporting Persons. Each of the foregoing are reporting persons on a Schedule 13D/A (as amended from time to time, the "13D") filed with the SEC on June 29, 2023 (such Reporting Persons on the 13D, collectively, the "13D Group") and may be deemed to beneficially own the shares of the Issuer's Common Stock owned by other members of the 13D Group. (Continued in footnote 4)

F3 · ownership.nature: Wilks Brothers is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is an affiliate of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers; Dan H. Wilks and Staci Wilks are husband and wife and share the same household; Matthew D. Wilks is the Director of the Issuer and VP - Investments of Wilks Brothers; and Sergei Krylov, is the Director of the Issuer and Chief Financial Officer of Wilks Brothers. Matthew D. Wilks and Sergei Krylov were each inadvertently excluded in prior filings and have been added as Reporting Persons. Each of the foregoing are reporting persons on a Schedule 13D/A (as amended from time to time, the "13D") filed with the SEC on June 29, 2023 (such Reporting Persons on the 13D, collectively, the "13D Group") and may be deemed to beneficially own the shares of the Issuer's Common Stock owned by other members of the 13D Group. (Continued in footnote 4)

F4 · ownership.nature: (Continued from footnote 3) Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

Read SEC document
June 14, 2023 Filed Jun 17, 2023 00:08 UTC DAWSON GEOPHYSICAL CO DWSN · Entity 6724 PurchaseClass A common stock, par value $0.01 per share 8,895 $2.23 $19,835.85
Disclosure

SEC source: 0000899243-23-015840 · doc4.xml · nonDerivative · entry 1

Wilks Brothers, LLC · CIK 0001662888 · 10% owner

WB Acquisitions Inc. · CIK 0001891025 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 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: 18,847,330

F1 · price: The reported price in Column 4 is a weighted average purchase price. 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 purchased at each separate price.

F2 · balance_after: Consists of (i) 3,299,971 directly owned by Reporting Party, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions, and (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks.

F2 · ownership.direct: Consists of (i) 3,299,971 directly owned by Reporting Party, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions, and (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks.

F3 · ownership.direct: Wilks Brothers, LLC ("Wilks Brothers") is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is a subsidiary of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers and may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by each of Wilks Brothers and WB Acquisitions. Dan H. Wilks and Staci Wilks are husband and wife and share the same household, and Dan H. Wilks may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by Staci Wilks. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

F3 · ownership.nature: Wilks Brothers, LLC ("Wilks Brothers") is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is a subsidiary of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers and may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by each of Wilks Brothers and WB Acquisitions. Dan H. Wilks and Staci Wilks are husband and wife and share the same household, and Dan H. Wilks may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by Staci Wilks. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

Read SEC document
June 14, 2023 Filed Jun 30, 2023 10:05 UTC Amendment DAWSON GEOPHYSICAL CO DWSN · Entity 6724 PurchaseClass A common stock, par value $0.01 per share 8,895 $2.23 $19,835.85
Disclosure

SEC source: 0000899243-23-016727 · doc4a.xml · nonDerivative · entry 1

Wilks Brothers, LLC · CIK 0001662888 · 10% owner

WB Acquisitions Inc. · CIK 0001891025 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

Krylov Sergei · CIK 0001594869 · Director

Wilks Matthew · CIK 0001696102 · Director

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: 18,847,330

F1 · price: The reported price in Column 4 is a weighted average purchase price. The Reporting Persons undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares purchased at each separate price.

F2 · balance_after: Consists of (i) 3,299,971 directly owned by Wilks Brothers, LLC ("Wilks Brothers"), (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions, and (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks.

F2 · ownership.direct: Consists of (i) 3,299,971 directly owned by Wilks Brothers, LLC ("Wilks Brothers"), (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions, and (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks.

F3 · ownership.direct: Wilks Brothers is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is a subsidiary of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers; Dan H. Wilks and Staci Wilks are husband and wife and share the same household; Matthew D. Wilks is the Director of the Issuer and VP - Investments of Wilks Brothers; and Sergei Krylov, is the Director of the Issuer and Chief Financial Officer of Wilks Brothers. Matthew D. Wilks and Sergei Krylov were each inadvertently excluded in prior filings and have been added as Reporting Persons. Each of the foregoing are reporting persons on a Schedule 13D/A (as amended from time to time, the "13D") filed with the SEC on June 29, 2023 (such Reporting Persons on the 13D, collectively, the "13D Group") and may be deemed to beneficially own the shares of the Issuer's Common Stock owned by other members of the 13D Group.

F4 · ownership.direct: (Continued from Footnote 3) Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

F3 · ownership.nature: Wilks Brothers is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is a subsidiary of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers; Dan H. Wilks and Staci Wilks are husband and wife and share the same household; Matthew D. Wilks is the Director of the Issuer and VP - Investments of Wilks Brothers; and Sergei Krylov, is the Director of the Issuer and Chief Financial Officer of Wilks Brothers. Matthew D. Wilks and Sergei Krylov were each inadvertently excluded in prior filings and have been added as Reporting Persons. Each of the foregoing are reporting persons on a Schedule 13D/A (as amended from time to time, the "13D") filed with the SEC on June 29, 2023 (such Reporting Persons on the 13D, collectively, the "13D Group") and may be deemed to beneficially own the shares of the Issuer's Common Stock owned by other members of the 13D Group.

F4 · ownership.nature: (Continued from Footnote 3) Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

Read SEC document
June 13, 2023 Filed Jun 14, 2023 22:16 UTC DAWSON GEOPHYSICAL CO DWSN · Entity 6724 PurchaseClass A common stock, par value $0.01 per share 4,438 $2.19 $9,719.22
Disclosure

SEC source: 0000899243-23-015553 · doc4.xml · nonDerivative · entry 2

Wilks Brothers, LLC · CIK 0001662888 · 10% owner

WB Acquisitions Inc. · CIK 0001891025 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 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: 17,650,200

F2 · balance_after: Consists of (i) 2,094,237 directly owned by Reporting Party, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions and (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks.

F2 · ownership.direct: Consists of (i) 2,094,237 directly owned by Reporting Party, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions and (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks.

F3 · ownership.direct: Wilks Brothers, LLC ("Wilks Brothers") is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is a subsidiary of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers and may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by each of Wilks Brothers and WB Acquisitions. Dan H. Wilks and Staci Wilks are husband and wife and share the same household, and Dan H. Wilks may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by Staci Wilks. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

F3 · ownership.nature: Wilks Brothers, LLC ("Wilks Brothers") is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is a subsidiary of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers and may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by each of Wilks Brothers and WB Acquisitions. Dan H. Wilks and Staci Wilks are husband and wife and share the same household, and Dan H. Wilks may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by Staci Wilks. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

Read SEC document
June 12, 2023 Filed Jun 14, 2023 22:16 UTC DAWSON GEOPHYSICAL CO DWSN · Entity 6724 PurchaseClass A common stock, par value $0.01 per share 4,166 $2.17 $9,040.22
Disclosure

SEC source: 0000899243-23-015553 · doc4.xml · nonDerivative · entry 1

Wilks Brothers, LLC · CIK 0001662888 · 10% owner

WB Acquisitions Inc. · CIK 0001891025 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 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: 17,645,762

F1 · price: The reported price in Column 4 is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $2.06 to $2.39 per share. 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 purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: Consists of (i) 2,094,237 directly owned by Reporting Party, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions and (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks.

F2 · ownership.direct: Consists of (i) 2,094,237 directly owned by Reporting Party, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions and (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks.

F3 · ownership.direct: Wilks Brothers, LLC ("Wilks Brothers") is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is a subsidiary of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers and may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by each of Wilks Brothers and WB Acquisitions. Dan H. Wilks and Staci Wilks are husband and wife and share the same household, and Dan H. Wilks may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by Staci Wilks. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

F3 · ownership.nature: Wilks Brothers, LLC ("Wilks Brothers") is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is a subsidiary of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers and may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by each of Wilks Brothers and WB Acquisitions. Dan H. Wilks and Staci Wilks are husband and wife and share the same household, and Dan H. Wilks may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by Staci Wilks. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

Read SEC document
June 12, 2023 Filed Jun 17, 2023 00:01 UTC Amendment DAWSON GEOPHYSICAL CO DWSN · Entity 6724 PurchaseClass A common stock, par value $0.01 per share 4,438 $2.19 $9,719.22
Disclosure

SEC source: 0000899243-23-015834 · doc4a.xml · nonDerivative · entry 2

Wilks Brothers, LLC · CIK 0001662888 · 10% owner

WB Acquisitions Inc. · CIK 0001891025 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 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: 18,838,435

F2 · balance_after: Consists of (i) 3,282,472 directly owned by Reporting Party, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions, (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks, and the shares reported on this Form 4.

F4 · balance_after: On June 12, 2023, the Reporting Persons filed a Form 4 which inadvertently excluded 1,188,235 shares of common stock received by Wilks Brothers, LLC from the Issuer as consideration for the sale of assets under that certain Asset Purchase Agreement, dated March 24, 2023 and as disclosed in the Issuer's current Report on Form 8-K filed with the SEC on March 24, 2023 (the "Asset Sale"). See Reporting Persons' Form 4 filed in connection with such 1,188,235 shares received by Wilks Brothers, LLC.

F2 · ownership.direct: Consists of (i) 3,282,472 directly owned by Reporting Party, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions, (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks, and the shares reported on this Form 4.

F3 · ownership.direct: Wilks Brothers, LLC ("Wilks Brothers") is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is a subsidiary of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers and may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by each of Wilks Brothers and WB Acquisitions. Dan H. Wilks and Staci Wilks are husband and wife and share the same household, and Dan H. Wilks may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by Staci Wilks. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

F3 · ownership.nature: Wilks Brothers, LLC ("Wilks Brothers") is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is a subsidiary of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers and may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by each of Wilks Brothers and WB Acquisitions. Dan H. Wilks and Staci Wilks are husband and wife and share the same household, and Dan H. Wilks may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by Staci Wilks. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

Read SEC document
June 12, 2023 Filed Jun 17, 2023 00:01 UTC Amendment DAWSON GEOPHYSICAL CO DWSN · Entity 6724 PurchaseClass A common stock, par value $0.01 per share 4,166 $2.17 $9,040.22
Disclosure

SEC source: 0000899243-23-015834 · doc4a.xml · nonDerivative · entry 1

Wilks Brothers, LLC · CIK 0001662888 · 10% owner

WB Acquisitions Inc. · CIK 0001891025 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 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: 18,833,997

F1 · price: The reported price in Column 4 is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $2.06 to $2.39 per share. 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 purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: Consists of (i) 3,282,472 directly owned by Reporting Party, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions, (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks, and the shares reported on this Form 4.

F4 · balance_after: On June 12, 2023, the Reporting Persons filed a Form 4 which inadvertently excluded 1,188,235 shares of common stock received by Wilks Brothers, LLC from the Issuer as consideration for the sale of assets under that certain Asset Purchase Agreement, dated March 24, 2023 and as disclosed in the Issuer's current Report on Form 8-K filed with the SEC on March 24, 2023 (the "Asset Sale"). See Reporting Persons' Form 4 filed in connection with such 1,188,235 shares received by Wilks Brothers, LLC.

F2 · ownership.direct: Consists of (i) 3,282,472 directly owned by Reporting Party, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions, (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks, and the shares reported on this Form 4.

F3 · ownership.direct: Wilks Brothers, LLC ("Wilks Brothers") is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is a subsidiary of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers and may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by each of Wilks Brothers and WB Acquisitions. Dan H. Wilks and Staci Wilks are husband and wife and share the same household, and Dan H. Wilks may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by Staci Wilks. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

F3 · ownership.nature: Wilks Brothers, LLC ("Wilks Brothers") is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is a subsidiary of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers and may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by each of Wilks Brothers and WB Acquisitions. Dan H. Wilks and Staci Wilks are husband and wife and share the same household, and Dan H. Wilks may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by Staci Wilks. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

Read SEC document
March 24, 2023 Filed Jun 16, 2023 23:47 UTC DAWSON GEOPHYSICAL CO DWSN · Entity 6724 OtherClass A common stock, par value $0.01 per share 1,188,235 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-015829 · doc4.xml · nonDerivative · entry 1

Wilks Brothers, LLC · CIK 0001662888 · 10% owner

WB Acquisitions Inc. · CIK 0001891025 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 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: 18,829,831

F1 · price: On March 24, 2023, Wilks Brothers, LLC received 1,188,235 shares of common stock from the Issuer as consideration for the sale of assets under that certain Asset Purchase Agreement, dated March 24, 2023 and as disclosed in the Issuer's current Report on Form 8-K filed with the SEC on March 24, 2023 (the "Asset Sale"), by and among the Issuer, Wilks Brothers, LLC and the other parties set forth in the Asset Purchase Agreement. The shares of common stock received pursuant to the Asset Sale were inadvertently excluded in prior filings.

F2 · balance_after: Consists of (i) 3,282,472 directly owned by Reporting Party, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions and (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks.

F2 · ownership.direct: Consists of (i) 3,282,472 directly owned by Reporting Party, (ii) 15,547,010 shares of the Issuer's Common Stock directly owned by WB Acquisitions and (iii) 349 shares of the Issuer's Common Stock directly owned by Staci Wilks.

F3 · ownership.direct: Wilks Brothers, LLC ("Wilks Brothers") is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is a subsidiary of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers and may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by each of Wilks Brothers and WB Acquisitions. Dan H. Wilks and Staci Wilks are husband and wife and share the same household, and Dan H. Wilks may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by Staci Wilks. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

F3 · ownership.nature: Wilks Brothers, LLC ("Wilks Brothers") is a manager-managed limited liability company, managed by Dan H. Wilks and Farris Wilks. WB Acquisitions, Inc. ("WB Acquisitions") is a subsidiary of Wilks Brothers. Dan H. Wilks and Farris Wilks are brothers and may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by each of Wilks Brothers and WB Acquisitions. Dan H. Wilks and Staci Wilks are husband and wife and share the same household, and Dan H. Wilks may be deemed to indirectly beneficially own the shares of the Issuer's Common Stock directly owned by Staci Wilks. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

Read SEC document
April 29, 2022 Filed May 4, 2022 00:52 UTC U.S. WELL SERVICES HOLDINGS, LLC USWS · Entity 122531 PurchaseWarrants (right to buy) · Derivative 2,666,669 Not disclosed Strike: $26.81 Not disclosed
Disclosure

SEC source: 0000899243-22-016479 · doc4.xml · derivative · entry 4

THRC Holdings, LP · CIK 0001754159 · 10% owner

THRC Management, LLC · CIK 0001834450 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,666,669

Underlying: Class A Common Stock · 761,905 shares

Expires not disclosed

F10 · security: On April 29, 2022, Holdings purchased (i) 5,198 shares of the Issuer's Series A Redeemable Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock"), which are convertible into shares of Class A Common Stock and (ii) 2,666,669 warrants (the "Purchased Warrants") exercisable for 761,905 shares of Class A Common Stock, for an aggregate purchase price equal to 85% of the liquidation preference of the Series A Preferred Stock, as adjusted pursuant to its terms, as of April 29, 2022.

F10 · price: On April 29, 2022, Holdings purchased (i) 5,198 shares of the Issuer's Series A Redeemable Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock"), which are convertible into shares of Class A Common Stock and (ii) 2,666,669 warrants (the "Purchased Warrants") exercisable for 761,905 shares of Class A Common Stock, for an aggregate purchase price equal to 85% of the liquidation preference of the Series A Preferred Stock, as adjusted pursuant to its terms, as of April 29, 2022.

F13 · derivative.exercise_date: All or any portion of the Purchased Warrants may be exercised by Holdings at any time prior to expiration. The Purchased Warrants expire on May 24, 2025.

F13 · derivative.expiration_date: All or any portion of the Purchased Warrants may be exercised by Holdings at any time prior to expiration. The Purchased Warrants expire on May 24, 2025.

F12 · derivative.underlying_shares: The securities listed above may not be converted if the conversion would result in violations of Nasdaq Capital Market's change of control or certain other Nasdaq rules.

Read SEC document
April 29, 2022 Filed May 4, 2022 00:52 UTC U.S. WELL SERVICES HOLDINGS, LLC USWS · Entity 122531 PurchaseSeries A Redeemable Convertible Preferred Stock · Derivative 5,198 $1,245.66 Strike: $23.35 $6,474,940.68
Disclosure

SEC source: 0000899243-22-016479 · doc4.xml · derivative · entry 3

THRC Holdings, LP · CIK 0001754159 · 10% owner

THRC Management, LLC · CIK 0001834450 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,198

Underlying: Class A Common Stock · 317,004 shares

Expires not disclosed

F10 · security: On April 29, 2022, Holdings purchased (i) 5,198 shares of the Issuer's Series A Redeemable Convertible Preferred Stock, par value $0.0001 per share ("Series A Preferred Stock"), which are convertible into shares of Class A Common Stock and (ii) 2,666,669 warrants (the "Purchased Warrants") exercisable for 761,905 shares of Class A Common Stock, for an aggregate purchase price equal to 85% of the liquidation preference of the Series A Preferred Stock, as adjusted pursuant to its terms, as of April 29, 2022.

F6 · price: This price includes the payment for partially accrued in-kind interest or dividends.

F11 · derivative.exercise_date: Holdings may convert all or any portion of the Series A Preferred Stock into Class A Common Stock based on the then-applicable liquidation preference, subject to anti-dilution adjustments, at any time, but not more than once per quarter, so long as any conversion is for at least $1,000,000 based on the liquidation preference on the date of the conversion notice. The Series A Preferred Stock has no expiration date.

F11 · derivative.expiration_date: Holdings may convert all or any portion of the Series A Preferred Stock into Class A Common Stock based on the then-applicable liquidation preference, subject to anti-dilution adjustments, at any time, but not more than once per quarter, so long as any conversion is for at least $1,000,000 based on the liquidation preference on the date of the conversion notice. The Series A Preferred Stock has no expiration date.

F12 · derivative.underlying_shares: The securities listed above may not be converted if the conversion would result in violations of Nasdaq Capital Market's change of control or certain other Nasdaq rules.

Read SEC document
April 29, 2022 Filed May 4, 2022 00:52 UTC U.S. WELL SERVICES HOLDINGS, LLC USWS · Entity 122531 Purchase16.0% Convertible Senior Secured (Third Lien) PIK Note · Derivative 21,454,672.2 $21,523,327.20 $461,775,929,729,343.84
Disclosure

SEC source: 0000899243-22-016479 · doc4.xml · derivative · entry 2

THRC Holdings, LP · CIK 0001754159 · 10% owner

THRC Management, LLC · CIK 0001834450 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,454,672.2

Underlying: Class A Common Stock · 3,064,953 shares

Expires not disclosed

F1 · security: THRC Holdings, LP ("Holdings"), a Texas limited partnership, directly holds the securities of the Issuer. THRC Management, LLC ("Management") a Texas limited liability company, as General Partner of Holdings, has exclusive voting and investment power over the securities held by Holdings, and therefore, may be deemed to beneficially own such securities. Dan H. Wilks, as sole Manager of Management, together with his spouse, Staci Wilks, who share the same household, may be deemed to exercise voting and investment power over the securities directly owned by Holdings, and therefore, may be deemed to beneficially own such securities. Each Reporting Person disclaims beneficial ownership of all securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 4.

F2 · security: On April 29, 2022, pursuant to a Note Purchase Agreement dated as of April 25, 2022, Holdings purchased a (i) 16.0% Convertible Senior Secured (Third Lien) PIK Note in the principal amount of $21,454,672.24 (the "Cash Note") that is convertible into shares of the Issuer's Class A Common Stock, par value $0.0001 per share ("Class A Common Stock") and (ii) 16.0% Convertible Senior Secured (Third Lien) PIK Note in the principal amount of $21,454,672.24 (the "Exchange Note") that is convertible into shares of Class A Common Stock.

F7 · derivative.exercise_price: Subject to earlier conversion or redemption in accordance with its terms, the Exchange Note will become due and payable on June 5, 2026 (the "Exchange Note Maturity Date") in a number of shares of Class A Common Stock determined by dividing (a) the outstanding balance of the principal amount of the Exchange Note (together with the accrued but unpaid interest thereon) as of the Exchange Note Maturity Date, by (b) the volume weighted average price of Class A Common Stock for the 20 trading day period immediately preceding the Exchange Note Maturity Date (or in such other manner as determined pursuant to the terms of the Exchange Note or the Note Purchase Agreement pursuant to which it was issued).

F8 · derivative.exercise_price: All or any portion of the Exchange Note may be converted at the election of the holder thereof at any time into a number of shares of Class A Common Stock determined by dividing (a) the outstanding balance of the principal amount of the Exchange Note (together with the accrued but unpaid interest thereon) as of the applicable conversion date, by (b) a conversion price of $7.00, which such conversion price is subject to certain anti-dilution adjustments in accordance with its terms. The Exchange Note is convertible by Holdings at any time prior to the payment in full of all outstanding principal and interest due under the Exchange Note.

F6 · price: This price includes the payment for partially accrued in-kind interest or dividends.

F8 · derivative.exercise_date: All or any portion of the Exchange Note may be converted at the election of the holder thereof at any time into a number of shares of Class A Common Stock determined by dividing (a) the outstanding balance of the principal amount of the Exchange Note (together with the accrued but unpaid interest thereon) as of the applicable conversion date, by (b) a conversion price of $7.00, which such conversion price is subject to certain anti-dilution adjustments in accordance with its terms. The Exchange Note is convertible by Holdings at any time prior to the payment in full of all outstanding principal and interest due under the Exchange Note.

F7 · derivative.expiration_date: Subject to earlier conversion or redemption in accordance with its terms, the Exchange Note will become due and payable on June 5, 2026 (the "Exchange Note Maturity Date") in a number of shares of Class A Common Stock determined by dividing (a) the outstanding balance of the principal amount of the Exchange Note (together with the accrued but unpaid interest thereon) as of the Exchange Note Maturity Date, by (b) the volume weighted average price of Class A Common Stock for the 20 trading day period immediately preceding the Exchange Note Maturity Date (or in such other manner as determined pursuant to the terms of the Exchange Note or the Note Purchase Agreement pursuant to which it was issued).

F8 · derivative.expiration_date: All or any portion of the Exchange Note may be converted at the election of the holder thereof at any time into a number of shares of Class A Common Stock determined by dividing (a) the outstanding balance of the principal amount of the Exchange Note (together with the accrued but unpaid interest thereon) as of the applicable conversion date, by (b) a conversion price of $7.00, which such conversion price is subject to certain anti-dilution adjustments in accordance with its terms. The Exchange Note is convertible by Holdings at any time prior to the payment in full of all outstanding principal and interest due under the Exchange Note.

F9 · derivative.underlying_shares: This number represents the number of shares of Class A Common Stock issuable upon conversion of the Exchange Note if the holder thereof elects to convert the Exchange Note based on the principal amount of the Exchange Note identified in footnote 2 above and the conversion price identified in footnote 8 above. The Exchange Note may not be converted if the conversion would result in violations of Nasdaq Capital Market's change of control or certain other Nasdaq rules.

Read SEC document
April 29, 2022 Filed May 4, 2022 00:52 UTC U.S. WELL SERVICES HOLDINGS, LLC USWS · Entity 122531 Purchase16.0% Convertible Senior Secured (Third Lien) PIK Note · Derivative 21,454,672.2 $21,523,327.20 $461,775,929,729,343.84
Disclosure

SEC source: 0000899243-22-016479 · doc4.xml · derivative · entry 1

THRC Holdings, LP · CIK 0001754159 · 10% owner

THRC Management, LLC · CIK 0001834450 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,454,672.2

Underlying: Class A Common Stock · 4,903,925 shares

Expires not disclosed

F1 · security: THRC Holdings, LP ("Holdings"), a Texas limited partnership, directly holds the securities of the Issuer. THRC Management, LLC ("Management") a Texas limited liability company, as General Partner of Holdings, has exclusive voting and investment power over the securities held by Holdings, and therefore, may be deemed to beneficially own such securities. Dan H. Wilks, as sole Manager of Management, together with his spouse, Staci Wilks, who share the same household, may be deemed to exercise voting and investment power over the securities directly owned by Holdings, and therefore, may be deemed to beneficially own such securities. Each Reporting Person disclaims beneficial ownership of all securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 4.

F2 · security: On April 29, 2022, pursuant to a Note Purchase Agreement dated as of April 25, 2022, Holdings purchased a (i) 16.0% Convertible Senior Secured (Third Lien) PIK Note in the principal amount of $21,454,672.24 (the "Cash Note") that is convertible into shares of the Issuer's Class A Common Stock, par value $0.0001 per share ("Class A Common Stock") and (ii) 16.0% Convertible Senior Secured (Third Lien) PIK Note in the principal amount of $21,454,672.24 (the "Exchange Note") that is convertible into shares of Class A Common Stock.

F3 · derivative.exercise_price: Subject to earlier conversion or redemption in accordance with its terms, the Cash Note will become due and payable on June 5, 2026 (the "Cash Note Maturity Date") in a number of shares of Class A Common Stock determined by dividing (a) the outstanding balance of the principal amount of the Cash Note (together with the accrued but unpaid interest thereon) as of the Cash Note Maturity Date, by (b) the volume weighted average price of Class A Common Stock for the 20 trading day period immediately preceding the Cash Note Maturity Date (or in such other manner as determined pursuant to the terms of the Cash Note or the Note Purchase Agreement pursuant to which it was issued).

F4 · derivative.exercise_price: All or any portion of the Cash Note may be converted at the election of the holder thereof at any time into a number of shares of Class A Common Stock determined by dividing (a) the outstanding balance of the principal amount of the Cash Note being converted (together with the accrued but unpaid interest thereon) as of the applicable conversion date, by (b) a conversion price of $4.375, which such conversion price is subject to certain anti-dilution adjustments in accordance with its terms. The Cash Note is convertible by Holdings at any time prior to the payment in full of all outstanding principal and interest due under the Cash Note.

F6 · price: This price includes the payment for partially accrued in-kind interest or dividends.

F4 · derivative.exercise_date: All or any portion of the Cash Note may be converted at the election of the holder thereof at any time into a number of shares of Class A Common Stock determined by dividing (a) the outstanding balance of the principal amount of the Cash Note being converted (together with the accrued but unpaid interest thereon) as of the applicable conversion date, by (b) a conversion price of $4.375, which such conversion price is subject to certain anti-dilution adjustments in accordance with its terms. The Cash Note is convertible by Holdings at any time prior to the payment in full of all outstanding principal and interest due under the Cash Note.

F3 · derivative.expiration_date: Subject to earlier conversion or redemption in accordance with its terms, the Cash Note will become due and payable on June 5, 2026 (the "Cash Note Maturity Date") in a number of shares of Class A Common Stock determined by dividing (a) the outstanding balance of the principal amount of the Cash Note (together with the accrued but unpaid interest thereon) as of the Cash Note Maturity Date, by (b) the volume weighted average price of Class A Common Stock for the 20 trading day period immediately preceding the Cash Note Maturity Date (or in such other manner as determined pursuant to the terms of the Cash Note or the Note Purchase Agreement pursuant to which it was issued).

F4 · derivative.expiration_date: All or any portion of the Cash Note may be converted at the election of the holder thereof at any time into a number of shares of Class A Common Stock determined by dividing (a) the outstanding balance of the principal amount of the Cash Note being converted (together with the accrued but unpaid interest thereon) as of the applicable conversion date, by (b) a conversion price of $4.375, which such conversion price is subject to certain anti-dilution adjustments in accordance with its terms. The Cash Note is convertible by Holdings at any time prior to the payment in full of all outstanding principal and interest due under the Cash Note.

F5 · derivative.underlying_shares: This number represents the number of shares of Class A Common Stock issuable upon conversion of the Cash Note if the holder thereof elects to convert the Cash Note based on the principal amount of the Cash Note identified in footnote 2 above and the conversion price identified in footnote 4 above. The Cash Note may not be converted if the conversion would result in violations of Nasdaq Capital Market's change of control or certain other Nasdaq rules.

Read SEC document
March 01, 2022 Filed Mar 14, 2022 19:33 UTC U.S. WELL SERVICES HOLDINGS, LLC USWS · Entity 122531 PurchaseWarrants (right to buy) · Derivative 6,976,744 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-010847 · doc4.xml · derivative · entry 1

THRC Holdings, LP · CIK 0001754159 · 10% owner

THRC Management, LLC · CIK 0001834450 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,976,744

Underlying: Class A Common Stock · Not disclosed shares

Expires not disclosed

F1 · security: Reflects the issuance by the Issuer of 6,976,744 warrants ("Warrants") exercisable for shares of Class A Common Stock of the Issuer, par value $0.0001 per share ("Class A Common Stock"), to THRC Holdings, LP, a Texas limited partnership ("THRC Holdings"), on March 1, 2022 in connection with the entry into that certain Joinder to Senior Secured Term Loan Agreement dated March 1, 2022 and the extension of a $10 million term loan to a subsidiary of the Issuer, and pursuant to the applicable Warrant Agreement (the "Warrant Agreement").

F2 · derivative.exercise_price: In accordance with the Warrant Agreement, the exercise price of the Warrants is $1.10 per share, subject to adjustment. All or any portion of the Warrants issued pursuant to the Warrant Agreement may be exercised by THRC Holdings at any time prior to expiration in accordance with the terms of the Warrant Agreement. The Warrants expire on March 1, 2028.

F1 · price: Reflects the issuance by the Issuer of 6,976,744 warrants ("Warrants") exercisable for shares of Class A Common Stock of the Issuer, par value $0.0001 per share ("Class A Common Stock"), to THRC Holdings, LP, a Texas limited partnership ("THRC Holdings"), on March 1, 2022 in connection with the entry into that certain Joinder to Senior Secured Term Loan Agreement dated March 1, 2022 and the extension of a $10 million term loan to a subsidiary of the Issuer, and pursuant to the applicable Warrant Agreement (the "Warrant Agreement").

F2 · derivative.exercise_date: In accordance with the Warrant Agreement, the exercise price of the Warrants is $1.10 per share, subject to adjustment. All or any portion of the Warrants issued pursuant to the Warrant Agreement may be exercised by THRC Holdings at any time prior to expiration in accordance with the terms of the Warrant Agreement. The Warrants expire on March 1, 2028.

F2 · derivative.expiration_date: In accordance with the Warrant Agreement, the exercise price of the Warrants is $1.10 per share, subject to adjustment. All or any portion of the Warrants issued pursuant to the Warrant Agreement may be exercised by THRC Holdings at any time prior to expiration in accordance with the terms of the Warrant Agreement. The Warrants expire on March 1, 2028.

F3 · derivative.underlying_shares: Upon exercise by THRC Holdings, pursuant to the Warrant Agreement, the Warrants are required to be net settled in shares of Class A Common Stock, on a cashless basis based on the difference between (i) the volume weighted average price of Class A Common Stock as reported during the ten trading day period ending on the second trading day prior to the date on which the notice of exercise is delivered to the warrant agent and (ii) the then-applicable exercise price, in each case, at the time of exercise. As a result, the number of shares of Class A Common Stock issuable upon exercise of the Warrants cannot be determined at this time; however, in no event will the Warrants be exercisable for more than 6,976,744 shares of Class A Common Stock, subject to adjustment.

F3 · balance_after: Upon exercise by THRC Holdings, pursuant to the Warrant Agreement, the Warrants are required to be net settled in shares of Class A Common Stock, on a cashless basis based on the difference between (i) the volume weighted average price of Class A Common Stock as reported during the ten trading day period ending on the second trading day prior to the date on which the notice of exercise is delivered to the warrant agent and (ii) the then-applicable exercise price, in each case, at the time of exercise. As a result, the number of shares of Class A Common Stock issuable upon exercise of the Warrants cannot be determined at this time; however, in no event will the Warrants be exercisable for more than 6,976,744 shares of Class A Common Stock, subject to adjustment.

F4 · ownership.direct: The Warrants are directly owned by THRC Holdings. THRC Management, LLC, a Texas limited liability company ("THRC Management"), as General Partner of THRC Holdings, has exclusive voting and investment power over securities beneficially owned by THRC Holdings, and therefore may be deemed to share beneficial ownership of such securities. Dan H. Wilks, as sole Manager of THRC Management, together with his Spouse, Staci Wilks, who share the same household, may be deemed to exercise voting and investment control over securities beneficially owned by THRC Holdings, and therefore may be deemed to share beneficial ownership of such securities. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

Read SEC document
July 12, 2021 Filed Jul 14, 2021 23:54 UTC U.S. WELL SERVICES HOLDINGS, LLC USWS · Entity 122531 Purchase16.0% Convertible Senior Secured PIK · Derivative 2,750,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-028381 · doc4.xml · derivative · entry 1

THRC Holdings, LP · CIK 0001754159 · 10% owner

THRC Management, LLC · CIK 0001834450 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,750,000

Underlying: Class A Common Stock · 2,200,000 shares

Expires not disclosed

F1 · security: THRC Holdings LP ("Holdings"), a Texas limited partnership, directly holds the securities of the Issuer. THRC Management, LLC ("Management") a Texas limited liability company, as General Partner of Holdings, has exclusive voting and investment power over the shares of Issuer's Common Stock held by Holdings, and therefore, may be deemed to beneficially own such shares. Dan H. Wilks, as sole Manager of Management, together with his spouse, Staci Wilks, who share the same household, may be deemed to exercise voting and investment power over the securities directly owned by Holdings, and therefore, may be deemed to beneficially own such shares. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

F2 · security: This Form 4 is being filed to report that, on July 12, 2021, Holdings purchased an aggregate of $2,750,000 in principal amount of 16.0% Convertible Senior Secured (Third Lien) PIK Notes of the Issuer (the "Notes"), that are convertible into shares of Class A Common Stock, pursuant to a Note Purchase Agreement, dated June 24, 2021 (the "Note Purchase Agreement"). The Notes are convertible by Holdings at any time prior to the payment in full of all outstanding principle and interest due under the Notes.

F3 · derivative.exercise_price: Subject to earlier conversion or redemption in accordance with their terms, the Notes will become due and payable on June 5, 2026 (the "Maturity Date") in a number of shares of Class A Common Stock, determined by dividing (a) the outstanding balance of the principal amount of the Notes (together with the accrued but unpaid interest on the Notes) as of the Maturity Date, by (b) the volume weighted average price of Class A Common Stock for the 20 trading day period immediately preceding the Maturity Date (or in such other manner as determined pursuant to the terms of the Note Purchase Agreement).

F4 · derivative.exercise_price: All or any portion of the Notes may be converted at the election of the holder thereof at any time into a number of shares of Class A Common Stock, determined by dividing (a) the outstanding balance of the principal amount of the Notes being converted (together with the accrued but unpaid interest thereon) as of the applicable conversion date, by (b) a conversion price of $1.25, which such conversion price is subject to certain anti-dilution adjustments in accordance with its terms.

F4 · price: All or any portion of the Notes may be converted at the election of the holder thereof at any time into a number of shares of Class A Common Stock, determined by dividing (a) the outstanding balance of the principal amount of the Notes being converted (together with the accrued but unpaid interest thereon) as of the applicable conversion date, by (b) a conversion price of $1.25, which such conversion price is subject to certain anti-dilution adjustments in accordance with its terms.

F4 · derivative.exercise_date: All or any portion of the Notes may be converted at the election of the holder thereof at any time into a number of shares of Class A Common Stock, determined by dividing (a) the outstanding balance of the principal amount of the Notes being converted (together with the accrued but unpaid interest thereon) as of the applicable conversion date, by (b) a conversion price of $1.25, which such conversion price is subject to certain anti-dilution adjustments in accordance with its terms.

F2 · derivative.expiration_date: This Form 4 is being filed to report that, on July 12, 2021, Holdings purchased an aggregate of $2,750,000 in principal amount of 16.0% Convertible Senior Secured (Third Lien) PIK Notes of the Issuer (the "Notes"), that are convertible into shares of Class A Common Stock, pursuant to a Note Purchase Agreement, dated June 24, 2021 (the "Note Purchase Agreement"). The Notes are convertible by Holdings at any time prior to the payment in full of all outstanding principle and interest due under the Notes.

F3 · derivative.expiration_date: Subject to earlier conversion or redemption in accordance with their terms, the Notes will become due and payable on June 5, 2026 (the "Maturity Date") in a number of shares of Class A Common Stock, determined by dividing (a) the outstanding balance of the principal amount of the Notes (together with the accrued but unpaid interest on the Notes) as of the Maturity Date, by (b) the volume weighted average price of Class A Common Stock for the 20 trading day period immediately preceding the Maturity Date (or in such other manner as determined pursuant to the terms of the Note Purchase Agreement).

F5 · derivative.underlying_shares: This number represents the number of shares of Class A Common Stock issuable upon conversion of the Notes if the holder thereof elects to convert the Notes based on the principal amount of the Notes and the conversion price applicable to the Notes.

Read SEC document
July 01, 2021 Filed Jul 7, 2021 13:50 UTC U.S. WELL SERVICES HOLDINGS, LLC USWS · Entity 122531 Sale16.0% Convertible Senior Secured PIK · Derivative Not disclosed Not disclosed $12,500,000.00
Disclosure

SEC source: 0000899243-21-027743 · doc4.xml · derivative · entry 2

THRC Holdings, LP · CIK 0001754159 · 10% owner

THRC Management, LLC · CIK 0001834450 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Class A Common Stock · 12,755,102 shares

Expires not disclosed

F1 · security: THRC Holdings LP ("Holdings"), a Texas limited partnership, directly holds the securities of the Issuer. THRC Management, LLC ("Management") a Texas limited liability company, as General Partner of Holdings, has exclusive voting and investment power over the shares of Issuer's Common Stock held by Holdings, and therefore, may be deemed to beneficially own such shares. Dan H. Wilks, as sole Manager of Management, together with his spouse, Staci Wilks, who share the same household, may be deemed to exercise voting and investment power over the securities directly owned by Holdings, and therefore, may be deemed to beneficially own such shares. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

F2 · security: As reported on the Form 3 previously filed by the Reporting Persons, Holdings purchased an aggregate of $25,000,000 in principal amount of 16.0% Convertible Senior Secured (Third Lien) PIK Notes of the Issuer (the "Notes"), that are convertible into shares of Class A Common Stock, pursuant to the Note Purchase Agreement, dated June 24, 2021, by and among the Issuer, Holdings and the other purchasers party thereto (the "Note Purchase Agreement"). The Notes are convertible by Holdings at any time prior to the payment in full of all outstanding principle and interest due under the Notes.

F3 · derivative.exercise_price: All or any portion of the Notes may be converted at the election of the holder thereof at any time into a number of shares Class A Common Stock, determined by dividing (a) the outstanding balance of the principal amount of the Notes being converted (together with the accrued but unpaid interest thereon) as of the applicable conversion date, by (b) a conversion price of $0.98, which such conversion price is subject to certain anti-dilution adjustments in accordance with its terms.

F3 · price: All or any portion of the Notes may be converted at the election of the holder thereof at any time into a number of shares Class A Common Stock, determined by dividing (a) the outstanding balance of the principal amount of the Notes being converted (together with the accrued but unpaid interest thereon) as of the applicable conversion date, by (b) a conversion price of $0.98, which such conversion price is subject to certain anti-dilution adjustments in accordance with its terms.

F2 · derivative.expiration_date: As reported on the Form 3 previously filed by the Reporting Persons, Holdings purchased an aggregate of $25,000,000 in principal amount of 16.0% Convertible Senior Secured (Third Lien) PIK Notes of the Issuer (the "Notes"), that are convertible into shares of Class A Common Stock, pursuant to the Note Purchase Agreement, dated June 24, 2021, by and among the Issuer, Holdings and the other purchasers party thereto (the "Note Purchase Agreement"). The Notes are convertible by Holdings at any time prior to the payment in full of all outstanding principle and interest due under the Notes.

F4 · derivative.underlying_shares: This number represents the number of shares of Class A Common Stock issuable upon conversion of the Notes if the holder thereof elects to convert the Notes based on the principal amount of the Notes and the conversion price applicable to the Notes.

Read SEC document
June 30, 2021 Filed Jul 7, 2021 13:50 UTC U.S. WELL SERVICES HOLDINGS, LLC USWS · Entity 122531 PurchaseClass A Common Stock 200,909 $1.00 $200,909.00
Disclosure

SEC source: 0000899243-21-027743 · doc4.xml · nonDerivative · entry 1

THRC Holdings, LP · CIK 0001754159 · 10% owner

THRC Management, LLC · CIK 0001834450 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,909

F1 · security: THRC Holdings LP ("Holdings"), a Texas limited partnership, directly holds the securities of the Issuer. THRC Management, LLC ("Management") a Texas limited liability company, as General Partner of Holdings, has exclusive voting and investment power over the shares of Issuer's Common Stock held by Holdings, and therefore, may be deemed to beneficially own such shares. Dan H. Wilks, as sole Manager of Management, together with his spouse, Staci Wilks, who share the same household, may be deemed to exercise voting and investment power over the securities directly owned by Holdings, and therefore, may be deemed to beneficially own such shares. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

Read SEC document
November 24, 2020 Filed Nov 25, 2020 02:06 UTC FTS International, Inc. FTSI · Entity 129368 PurchaseCommon Stock 158,974 $17.08 $2,714,989.77
Disclosure

SEC source: 0001567619-20-020330 · doc1.xml · nonDerivative · entry 3

THRC Holdings, LP · CIK 0001754159 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,750,000

Read SEC document
November 24, 2020 Filed Dec 3, 2020 02:57 UTC Amendment FTS International, Inc. FTSI · Entity 129368 PurchaseCommon Stock 158,974 $17.08 $2,714,989.77
Disclosure

SEC source: 0001567619-20-020591 · doc1.xml · nonDerivative · entry 3

THRC Holdings, LP · CIK 0001754159 · 10% owner

THRC Management, LLC · CIK 0001834450 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,750,000

Read SEC document
November 23, 2020 Filed Nov 25, 2020 02:06 UTC FTS International, Inc. FTSI · Entity 129368 PurchaseCommon Stock 365,742 $15.88 $5,807,214.90
Disclosure

SEC source: 0001567619-20-020330 · doc1.xml · nonDerivative · entry 2

THRC Holdings, LP · CIK 0001754159 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,591,026

Read SEC document
November 23, 2020 Filed Dec 3, 2020 02:57 UTC Amendment FTS International, Inc. FTSI · Entity 129368 PurchaseCommon Stock 365,742 $15.88 $5,807,214.90
Disclosure

SEC source: 0001567619-20-020591 · doc1.xml · nonDerivative · entry 2

THRC Holdings, LP · CIK 0001754159 · 10% owner

THRC Management, LLC · CIK 0001834450 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,591,026

Read SEC document
November 20, 2020 Filed Nov 25, 2020 02:06 UTC FTS International, Inc. FTSI · Entity 129368 PurchaseCommon Stock 351,564 $13.98 $4,913,247.53
Disclosure

SEC source: 0001567619-20-020330 · doc1.xml · nonDerivative · entry 1

THRC Holdings, LP · CIK 0001754159 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,225,284

F1 · ownership.direct: THRC Holdings LP ("Holdings"), a Texas limited partnership, directly holds the securities of the Issuer.

F2 · ownership.direct: THRC Management, LLC ("Management") a Texas limited liability company, as General Partner of Holdings, has exclusive voting and investment power over the shares of Issuer's Common Stock held by Holdings, and therefore may be deemed to beneficially own such shares. Dan H. Wilks, as sole Manager of Management, together with his spouse, Staci Wilks, who share the same household, may be deemed to exercise voting and investment power over the shares of Issuer's Common Stock directly owned by Holdings and therefore may be deemed to beneficially own such shares. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form.

F3 · ownership.direct: As previously filed with the Commission on the Reporting Persons' Form 3 in respect of the Issuer on November 24, 2020, Exhibit 99.1 thereto is incorporated in its entirety by reference herein.

Read SEC document
November 20, 2020 Filed Dec 3, 2020 02:57 UTC Amendment FTS International, Inc. FTSI · Entity 129368 PurchaseCommon Stock 251,564 $13.98 $3,515,707.53
Disclosure

SEC source: 0001567619-20-020591 · doc1.xml · nonDerivative · entry 1

THRC Holdings, LP · CIK 0001754159 · 10% owner

THRC Management, LLC · CIK 0001834450 · 10% owner

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,225,284

F1 · ownership.direct: THRC Holdings LP ("Holdings"), a Texas limited partnership, directly holds the securities of the Issuer.

F2 · ownership.direct: THRC Management, LLC ("Management") a Texas limited liability company, as General Partner of Holdings, has exclusive voting and investment power over the shares of Issuer's Common Stock held by Holdings, and therefore may be deemed to beneficially own such shares. Dan H. Wilks, as sole Manager of Management, together with his spouse, Staci Wilks, who share the same household, may be deemed to exercise voting and investment power over the shares of Issuer's Common Stock directly owned by Holdings and therefore may be deemed to beneficially own such shares. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form.

F3 · ownership.direct: As previously filed with the Commission on the Reporting Persons' Form 3a in respect of the Issuer on December 2, 2020, Exhibit 99.1 through Exhibit 99.4 thereto is incorporated in their entirety by reference therein.

Read SEC document
June 14, 2018 Filed Jun 28, 2018 19:40 UTC CARBO CERAMICS INC CRR · Entity 148009 PurchasePut Option (obligation to buy) · Derivative 3,930 $4.45 Strike: $13.00 $17,488.50
Disclosure

SEC source: 0000899243-18-018647 · doc4.xml · derivative · entry 4

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 393,000 shares

Expires 2018-06-15

F1 · security: The Reporting Person bought-to-close 6,275 put options referencing 627,500 shares of Common Stock.

F1 · balance_after: The Reporting Person bought-to-close 6,275 put options referencing 627,500 shares of Common Stock.

Read SEC document
June 13, 2018 Filed Jun 28, 2018 19:40 UTC CARBO CERAMICS INC CRR · Entity 148009 PurchasePut Option (obligation to buy) · Derivative 585 $3.99 Strike: $13.00 $2,334.15
Disclosure

SEC source: 0000899243-18-018647 · doc4.xml · derivative · entry 3

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 58,500 shares

Expires 2018-06-15

F1 · security: The Reporting Person bought-to-close 6,275 put options referencing 627,500 shares of Common Stock.

F1 · balance_after: The Reporting Person bought-to-close 6,275 put options referencing 627,500 shares of Common Stock.

Read SEC document
June 12, 2018 Filed Jun 28, 2018 19:40 UTC CARBO CERAMICS INC CRR · Entity 148009 PurchasePut Option (obligation to buy) · Derivative 1,060 $3.88 Strike: $13.00 $4,112.80
Disclosure

SEC source: 0000899243-18-018647 · doc4.xml · derivative · entry 2

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 106,000 shares

Expires 2018-06-15

F1 · security: The Reporting Person bought-to-close 6,275 put options referencing 627,500 shares of Common Stock.

F1 · balance_after: The Reporting Person bought-to-close 6,275 put options referencing 627,500 shares of Common Stock.

Read SEC document
June 11, 2018 Filed Jun 28, 2018 19:40 UTC CARBO CERAMICS INC CRR · Entity 148009 PurchasePut Option (obligation to buy) · Derivative 700 $3.96 Strike: $13.00 $2,772.00
Disclosure

SEC source: 0000899243-18-018647 · doc4.xml · derivative · entry 1

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 70,000 shares

Expires 2018-06-15

F1 · security: The Reporting Person bought-to-close 6,275 put options referencing 627,500 shares of Common Stock.

F1 · balance_after: The Reporting Person bought-to-close 6,275 put options referencing 627,500 shares of Common Stock.

Read SEC document
January 12, 2018 Filed Jan 12, 2018 20:15 UTC Approach Resources Inc AREX · Entity 152620 PurchaseCommon Stock 200,000 $4.04 $807,280.00
Disclosure

SEC source: 0000899243-18-001012 · doc4.xml · nonDerivative · entry 1

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

SDW Investments, LLC · CIK 0001589906 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,799,413

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.

F2 · ownership.direct: See Remarks.

F3 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC.

Read SEC document
January 10, 2018 Filed Jan 11, 2018 18:14 UTC Approach Resources Inc AREX · Entity 152620 PurchaseCommon Stock 200,000 $3.59 $718,760.00
Disclosure

SEC source: 0000899243-18-000945 · doc4.xml · nonDerivative · entry 2

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

SDW Investments, LLC · CIK 0001589906 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,599,413

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.

F2 · ownership.direct: See Remarks.

F3 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC.

Read SEC document
January 09, 2018 Filed Jan 11, 2018 18:14 UTC Approach Resources Inc AREX · Entity 152620 PurchaseCommon Stock 250,000 $3.34 $834,025.00
Disclosure

SEC source: 0000899243-18-000945 · doc4.xml · nonDerivative · entry 1

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

SDW Investments, LLC · CIK 0001589906 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,399,413

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.

F2 · ownership.direct: See Remarks.

F3 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC.

Read SEC document
January 05, 2018 Filed Jan 5, 2018 18:14 UTC Approach Resources Inc AREX · Entity 152620 PurchaseCommon Stock 100,000 $3.15 $314,500.00
Disclosure

SEC source: 0000899243-18-000614 · doc4.xml · nonDerivative · entry 3

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

SDW Investments, LLC · CIK 0001589906 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,149,413

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.

F2 · ownership.direct: See Remarks.

F3 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC.

Read SEC document
January 04, 2018 Filed Jan 5, 2018 18:14 UTC Approach Resources Inc AREX · Entity 152620 PurchaseCommon Stock 100,000 $3.19 $319,400.00
Disclosure

SEC source: 0000899243-18-000614 · doc4.xml · nonDerivative · entry 2

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

SDW Investments, LLC · CIK 0001589906 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,049,413

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.

F2 · ownership.direct: See Remarks.

F3 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC.

Read SEC document
January 03, 2018 Filed Jan 5, 2018 18:14 UTC Approach Resources Inc AREX · Entity 152620 PurchaseCommon Stock 150,000 $3.20 $480,705.00
Disclosure

SEC source: 0000899243-18-000614 · doc4.xml · nonDerivative · entry 1

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

SDW Investments, LLC · CIK 0001589906 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,949,413

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.

F2 · ownership.direct: See Remarks.

F3 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC.

Read SEC document
December 28, 2017 Filed Jan 3, 2018 06:43 UTC Approach Resources Inc AREX · Entity 152620 PurchaseCommon Stock 150,000 $3.09 $463,200.00
Disclosure

SEC source: 0000899243-18-000165 · doc4.xml · nonDerivative · entry 1

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

SDW Investments, LLC · CIK 0001589906 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,440,300

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.

F2 · ownership.direct: See Remarks.

F3 · ownership.direct: These shares are owned directly by SDW Investments, LLC.

Read SEC document
December 27, 2017 Filed Dec 28, 2017 20:46 UTC Approach Resources Inc AREX · Entity 152620 PurchaseCommon Stock 200,000 $2.72 $544,200.00
Disclosure

SEC source: 0000899243-17-029696 · doc4.xml · nonDerivative · entry 2

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

SDW Investments, LLC · CIK 0001589906 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,290,300

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.

F2 · ownership.direct: See Remarks.

F3 · ownership.direct: These shares are owned directly by SDW Investments, LLC.

Read SEC document
December 26, 2017 Filed Dec 28, 2017 20:46 UTC Approach Resources Inc AREX · Entity 152620 PurchaseCommon Stock 150,000 $3.05 $457,065.00
Disclosure

SEC source: 0000899243-17-029696 · doc4.xml · nonDerivative · entry 1

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

SDW Investments, LLC · CIK 0001589906 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,090,300

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.

F2 · ownership.direct: See Remarks.

F3 · ownership.direct: These shares are owned directly by SDW Investments, LLC.

Read SEC document
December 20, 2017 Filed Dec 22, 2017 06:05 UTC Approach Resources Inc AREX · Entity 152620 PurchaseCommon Stock 250,000 $2.95 $737,500.00
Disclosure

SEC source: 0000899243-17-029442 · doc4.xml · nonDerivative · entry 3

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

SDW Investments, LLC · CIK 0001589906 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,940,300

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.

F3 · ownership.direct: See Remarks.

F4 · ownership.direct: These shares are owned directly by SDW Investments, LLC. .

Read SEC document
December 20, 2017 Filed Dec 22, 2017 06:05 UTC Approach Resources Inc AREX · Entity 152620 PurchaseCommon Stock 150,000 $2.72 $408,150.00
Disclosure

SEC source: 0000899243-17-029442 · doc4.xml · nonDerivative · entry 2

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

SDW Investments, LLC · CIK 0001589906 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,799,413

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.

F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC.

F3 · ownership.direct: See Remarks.

Read SEC document
December 19, 2017 Filed Dec 22, 2017 06:05 UTC Approach Resources Inc AREX · Entity 152620 PurchaseCommon Stock 200,000 $2.71 $542,000.00
Disclosure

SEC source: 0000899243-17-029442 · doc4.xml · nonDerivative · entry 1

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

SDW Investments, LLC · CIK 0001589906 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,690,300

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.

F3 · ownership.direct: See Remarks.

F4 · ownership.direct: These shares are owned directly by SDW Investments, LLC. .

Read SEC document
December 18, 2017 Filed Dec 19, 2017 18:06 UTC Approach Resources Inc AREX · Entity 152620 PurchaseCommon Stock 150,000 $2.65 $397,200.00
Disclosure

SEC source: 0000899243-17-029215 · doc4.xml · nonDerivative · entry 3

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

SDW Investments, LLC · CIK 0001589906 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,490,300

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.

F3 · ownership.direct: See Remarks.

F4 · ownership.direct: These shares are owned directly by SDW Investments, LLC.

Read SEC document
December 15, 2017 Filed Dec 19, 2017 18:06 UTC Approach Resources Inc AREX · Entity 152620 PurchaseCommon Stock 200,000 $2.57 $514,000.00
Disclosure

SEC source: 0000899243-17-029215 · doc4.xml · nonDerivative · entry 2

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

SDW Investments, LLC · CIK 0001589906 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,340,300

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.

F3 · ownership.direct: See Remarks.

F4 · ownership.direct: These shares are owned directly by SDW Investments, LLC.

Read SEC document
December 15, 2017 Filed Dec 29, 2017 21:30 UTC CARBO CERAMICS INC CRR · Entity 148009 OtherCall Option (right to buy) · Derivative 2,000 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0000899243-17-029748 · doc4.xml · derivative · entry 5

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires 2017-12-15

Read SEC document
December 14, 2017 Filed Dec 19, 2017 18:06 UTC Approach Resources Inc AREX · Entity 152620 PurchaseCommon Stock 200,000 $2.58 $515,000.00
Disclosure

SEC source: 0000899243-17-029215 · doc4.xml · nonDerivative · entry 1

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

SDW Investments, LLC · CIK 0001589906 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,649,413

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.

F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC.

F3 · ownership.direct: See Remarks.

Read SEC document
December 13, 2017 Filed Dec 13, 2017 20:34 UTC Approach Resources Inc AREX · Entity 152620 PurchaseCommon Stock 150,000 $2.54 $380,550.00
Disclosure

SEC source: 0000899243-17-028652 · doc4.xml · nonDerivative · entry 6

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

SDW Investments, LLC · CIK 0001589906 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,449,413

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.

F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC.

F3 · ownership.direct: See Remarks.

Read SEC document
December 12, 2017 Filed Dec 13, 2017 20:34 UTC Approach Resources Inc AREX · Entity 152620 PurchaseCommon Stock 150,000 $2.54 $381,300.00
Disclosure

SEC source: 0000899243-17-028652 · doc4.xml · nonDerivative · entry 5

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

SDW Investments, LLC · CIK 0001589906 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,299,413

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.

F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC.

F3 · ownership.direct: See Remarks.

Read SEC document
December 11, 2017 Filed Dec 13, 2017 20:34 UTC Approach Resources Inc AREX · Entity 152620 PurchaseCommon Stock 50,000 $2.53 $126,450.00
Disclosure

SEC source: 0000899243-17-028652 · doc4.xml · nonDerivative · entry 4

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

SDW Investments, LLC · CIK 0001589906 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,149,413

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Wilks Brothers, LLC on May 5, 2017.

F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC.

F3 · ownership.direct: See Remarks.

Read SEC document
December 08, 2017 Filed Dec 29, 2017 21:30 UTC CARBO CERAMICS INC CRR · Entity 148009 PurchaseCall Option (right to buy) · Derivative 2,000 $0.55 Strike: $10.00 $1,100.00
Disclosure

SEC source: 0000899243-17-029748 · doc4.xml · derivative · entry 4

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 200,000 shares

Expires 2017-12-15

Read SEC document
December 07, 2017 Filed Dec 13, 2017 20:34 UTC Approach Resources Inc AREX · Entity 152620 PurchaseCommon Stock 80,828 $2.38 $192,451.47
Disclosure

SEC source: 0000899243-17-028652 · doc4.xml · nonDerivative · entry 3

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

SDW Investments, LLC · CIK 0001589906 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,099,413

F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC.

F3 · ownership.direct: See Remarks.

Read SEC document
December 06, 2017 Filed Dec 13, 2017 20:34 UTC Approach Resources Inc AREX · Entity 152620 PurchaseCommon Stock 29,285 $2.39 $70,079.01
Disclosure

SEC source: 0000899243-17-028652 · doc4.xml · nonDerivative · entry 2

Wilks Brothers, LLC · CIK 0001662888 · 10% owner · See Remarks

Wilks Dan H. · CIK 0001641792 · 10% owner

Wilks Staci · CIK 0001641796 · 10% owner

Wilks Farris · CIK 0001641794 · 10% owner

SDW Investments, LLC · CIK 0001589906 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,018,585

F2 · ownership.direct: These shares are owned directly by Wilks Brothers, LLC.

F3 · ownership.direct: See Remarks.

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.