0001567619-19-019705.txt : 20191017
0001567619-19-019705.hdr.sgml : 20191017
20191017215018
ACCESSION NUMBER: 0001567619-19-019705
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191008
FILED AS OF DATE: 20191017
DATE AS OF CHANGE: 20191017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Gen IV Investment Opportunities, LLC
CENTRAL INDEX KEY: 0001697367
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35467
FILM NUMBER: 191156541
BUSINESS ADDRESS:
STREET 1: 1700 BROADWAY
STREET 2: 35TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 7328675858
MAIL ADDRESS:
STREET 1: 1700 BROADWAY
STREET 2: 35TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LSP Generation IV, LLC
CENTRAL INDEX KEY: 0001730248
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35467
FILM NUMBER: 191156542
BUSINESS ADDRESS:
STREET 1: 1700 BROADWAY
STREET 2: FLOOR 35
CITY: NEW YORK
STATE: X1
ZIP: 10019
BUSINESS PHONE: 2126153456
MAIL ADDRESS:
STREET 1: 1700 BROADWAY
STREET 2: FLOOR 35
CITY: NEW YORK
STATE: X1
ZIP: 10019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LSP Investment Advisors, LLC
CENTRAL INDEX KEY: 0001728850
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35467
FILM NUMBER: 191156543
BUSINESS ADDRESS:
STREET 1: 1700 BROADWAY
STREET 2: FL. 35
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 2126153546
MAIL ADDRESS:
STREET 1: 1700 BROADWAY
STREET 2: FL. 35
CITY: NEW YORK
STATE: NY
ZIP: 10019
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: HALCON RESOURCES CORP
CENTRAL INDEX KEY: 0001282648
STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311]
IRS NUMBER: 200700684
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1000 LOUISIANA STREET, SUITE 1500
CITY: HOUSTON
STATE: TX
ZIP: 77002
BUSINESS PHONE: 832-538-0300
MAIL ADDRESS:
STREET 1: 1000 LOUISIANA STREET, SUITE 1500
CITY: HOUSTON
STATE: TX
ZIP: 77002
FORMER COMPANY:
FORMER CONFORMED NAME: RAM ENERGY RESOURCES INC
DATE OF NAME CHANGE: 20060518
FORMER COMPANY:
FORMER CONFORMED NAME: TREMISIS ENERGY ACQUISITION CORP
DATE OF NAME CHANGE: 20040304
3
1
doc1.xml
FORM 3
X0206
3
2019-10-08
0
0001282648
HALCON RESOURCES CORP
HKRS
0001697367
Gen IV Investment Opportunities, LLC
1700 BROADWAY
35TH FLOOR
NEW YORK
NY
10019
0
0
1
0
0001730248
LSP Generation IV, LLC
1700 BROADWAY
35TH FLOOR
NEW YORK
X1
10019
0
0
1
0
0001728850
LSP Investment Advisors, LLC
1700 BROADWAY
35TH FLOOR
NEW YORK
NY
10019
0
0
1
0
Common Stock, par value $0.0001 per share
2369769
D
Series A Warrants
40.17
2019-10-08
2022-10-08
Common Stock
83239
D
Series B Warrants
48.28
2019-10-08
2022-10-08
Common Stock
104053
D
Series C Warrants
60.45
2019-10-08
2022-10-08
Common Stock
133782
D
This Form 3 is jointly filed by Gen IV Investment Opportunities, LLC ("Gen IV"), a Delaware limited liability company, LSP Generation IV, LLC ("LSP Gen IV"), a Delaware limited liability company, and LSP Investment Advisors, LLC ("LSP Advisors"), a Delaware limited liability company.
LSP Gen IV, as the managing member of Gen IV, has the power to direct the affairs of Gen IV, including voting and disposing of the shares. LSP Advisors, as the investment manager of Gen IV, also has the power to direct the voting and disposition of the shares held by Gen IV.
For Section 16 purposes, LSP Gen IV and LSP Advisors disclaim beneficial ownership over the shares reported herein, except to the extent of their pecuniary interest therein.
Gen IV Investment Opportunities, LLC; By: LSP Generation IV, LLC, Managing Member; By: /s/ Darpan Kapadia, Managing Director; By: LSP Investment Advisors, LLC, its Investment Manager; By: /s/ Paul Segal, President
2019-10-17
LSP Generation IV, LLC; By: /s/ Darpan Kapadia, Managing Director
2019-10-17
LSP Investment Advisors, LLC; By: /s/ Paul Segal, President
2019-10-17