-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Wsln+JpyVygc8kQiQh4nwiHIJXLVUoFxqTjWadP7cYE9TfJKAi2jIOzRzxYBsm+8 ehEL7uA5+1iEGBXm7ipwhg== 0001322311-09-000004.txt : 20090921 0001322311-09-000004.hdr.sgml : 20090921 20090921164218 ACCESSION NUMBER: 0001322311-09-000004 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090921 DATE AS OF CHANGE: 20090921 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Hicks Acquisition CO I Inc. CENTRAL INDEX KEY: 0001402175 STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770] IRS NUMBER: 208521842 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-83174 FILM NUMBER: 091079182 BUSINESS ADDRESS: STREET 1: 100 CRESCENT COURT STREET 2: SUITE 1200 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214.615.2222 MAIL ADDRESS: STREET 1: 100 CRESCENT COURT STREET 2: SUITE 1200 CITY: DALLAS STATE: TX ZIP: 75201 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ADVISORY RESEARCH ENERGY FUND LP CENTRAL INDEX KEY: 0001322311 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 180 NORTH STETSON STREET 2: SUITE 5500 CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: 3125651414 MAIL ADDRESS: STREET 1: 180 NORTH STETSON STREET 2: SUITE 5500 CITY: CHICAGO STATE: IL ZIP: 60611 SC 13G 1 toh13g1501.txt SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 (Amendment No. __________) Hicks Acquisition CO I Inc. - ------------------------------------------------------------------ (Name of Issuer) Common Stock - ------------------------------------------------------------------ (Title of Class of Securities) 429086309 - ------------------------------------------------------------------ (CUSIP Number) August 14, 2009** - ------------------------------------------------------------------ (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1 (b) [x] Rule 13d-1 (c) [ ] Rule 13d-1 (d) * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act, but shall be subject to all other provisions of the Act (however, see the Notes.) ** As a result of an administrative error, this Schedule 13G is filed late (See Item 4). CUSIP NO. 429086309 13G 1 Name of Reporting Person / IRS Identification Number: Advisory Research Energy Fund, L.P. / 20-2354375 - ------------------------------------------------------------------ 2 Check the Appropriate Box if a Member of a Group (a) [ ] (See Instructions) (b) [ ] - ------------------------------------------------------------------ 3 SEC Use Only - ------------------------------------------------------------------ 4 Citizenship or Place of Organization Illinois - ------------------------------------------------------------------ Number of 5 Sole Voting Power Shares 0 Shares ----------------------------------------------- Beneficially 6 Shared Voting Power Owned By 4,003,465 Shares* ----------------------------------------------- Each 7 Sole Dispositive Power Reporting 0 Shares ----------------------------------------------- Person 8 Shared Dispositive Power With 4,003,465 Shares* - ------------------------------------------------------------------ 9 Aggregate Amount Beneficially Owned by Each Reporting Person 4,003,465 Shares* - ------------------------------------------------------------------ 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] (See Instructions) - ------------------------------------------------------------------ 11 Percent of Class Represented by Amount in Row (9) 5.56% - ------------------------------------------------------------------ 12 Type of Reporting Person PN - ------------------------------------------------------------------ * Includes 3,003,465 shares underlying currently exercisable warrants. Item 1 (a) Name of Issuer: Hicks Acquisition CO I Inc. Item 1 (b) Name of Issuer's Principal Executive Offices: 100 Crescent Court Suite 1200 Dallas, TX 75201 Item 2 (a) Person Filing: Advisory Research Energy Fund, L.P. Item 2 (b) Address - 180 North Stetson St., Suite 5500 Chicago, IL 60601 Item 2 (c) Citizenship - Advisory Research Energy Fund, L.P. is an Illinois Limited Partnership Item 2 (d) Title of Class of Securities - Common Stock Item 2 (e) CUSIP Number - 429086309 Item 3 If this statement is filed pursuant to Rules 13d-1(b) or 13d-2(b), check whether the person filing is a: (a) [ ] Broker or Dealer registered under Section 15 of the Act (b) [ ] Bank as defined in Section 3(a)(6) of the Act (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act (d) [ ] Investment Company registered under Section 8 of the Investment Company Act (e) [ ] Investment Advisor in accordance with section 240.13d-1(b)(1)(ii)(E) (f) [ ] Employee Benefit Plan or Endowment Fund in accordance with section 240.13d-1(b) (1)(ii)(F) (g) [ ] Parent Holding Company or Control Person in accordance with section 13d-1(b) (1)(ii)(G) (h) [ ] A savings association as defined in section 3(b) of the Federal Deposit Insurance Act (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 Item 4 Ownership (a) Amount Beneficially Owned: Advisory Research Energy Fund, L.P. 4,003,465 Shares* (b) Percent of Class 5.56% (c) Number of shares as to which reporting person has: (i) Sole Voting Power 0 Shares (ii) Shared Voting Power 4,003,465 Shares* (iii) Sole Dispositive Power 0 Shares (iv) Shared Dispositive Power 4,003,465 Shares* * Includes 3,003,465 shares underlying currently exercisable warrants. As a result of an administrative error, the Reporting Person inadvertently failed to file this report within 10 days of August 14, 2009, the date of the event which required filing of this statement. The foregoing represents the amount and the percentage of the class of shares outstanding beneficially owned as of that date. The Reporting Person subsequently acquired additional shares and warrants such that, as of the date of this filing, the Reporting Person beneficially owns 6,360,813 shares, including 5,110,813 shares underlying currently exercisable warrants. Item 5 Ownership of Five Percent or Less of a Class: If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ] Item 6 Ownership of More than Five Percent on Behalf of Another Person: Not Applicable Item 7 Identification and Classification of the Subsidiary Which Acquired the Security being Reported on by the Parent Holding Company: Not Applicable Item 8 Identification and Classification if Members of the Group: Not Applicable Item 9 Notice of Dissolution of Group: Not Applicable Item 10 Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of such securities and were not acquired and are not held in connection with or as a participant in any transaction having such purposes or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. 09/21/2009 ---------------------------------- Date ADVISORY RESEARCH ENERGY FUND, L.P. By: Advisory Research, Inc. its General Partner /s/ Brien M. O'Brien ---------------------------------- Signature Brien M. O'Brien, Chairman & CEO ---------------------------------- Name/Title -----END PRIVACY-ENHANCED MESSAGE-----