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