0001225208-17-018573.txt : 20171213
0001225208-17-018573.hdr.sgml : 20171213
20171213141330
ACCESSION NUMBER: 0001225208-17-018573
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 3
CONFORMED PERIOD OF REPORT: 20171211
FILED AS OF DATE: 20171213
DATE AS OF CHANGE: 20171213
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FRANKLIN RESOURCES INC
CENTRAL INDEX KEY: 0000038777
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35467
FILM NUMBER: 171253553
BUSINESS ADDRESS:
STREET 1: ONE FRANKLIN PARKWAY
STREET 2: BUILDING 920
CITY: SAN MATEO
STATE: CA
ZIP: 94403
BUSINESS PHONE: 650-312-2000
MAIL ADDRESS:
STREET 1: FRANKLIN RESOURCES INC
STREET 2: ONE FRANKLIN PARKWAY
CITY: SAN MATEO
STATE: CA
ZIP: 94403
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 6700
CITY: HOUSTON
STATE: TX
ZIP: 77002
BUSINESS PHONE: 832-538-0300
MAIL ADDRESS:
STREET 1: 1000 LOUISIANA STREET, SUITE 6700
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
4
1
doc4.xml
X0306
4
2017-12-11
0001282648
HALCON RESOURCES CORP
HK
0000038777
FRANKLIN RESOURCES INC
ONE FRANKLIN PARKWAY
SAN MATEO
CA
94403-1906
1
Common Stock
2017-12-11
4
S
0
28554.0000
7.6579
D
20079174.0000
I
See Footnote
Common Stock
2017-12-11
4
S
0
250000.0000
7.7150
D
19829174.0000
I
See Footnote
Common Stock
2017-12-12
4
S
0
55446.0000
7.7000
D
19773728.0000
I
See Footnote
See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein.
ex99-1.txt, ex99-2.txt
Maria Gray, Vice President and Secretary of Franklin Resources, Inc.
2017-12-13
EX-99
2
ex99-1.txt
Exhibit 99-1
The Common Stock of Halcon Resources Corporation reported in Table 1 of the
attached Form 4 are beneficially owned by investment advisory clients
("Clients") of Franklin Advisers, Inc. and Franklin Templeton Institutional, LLC
(collectively, the "Investment Management Subsidiaries").
The Investment Management Subsidiaries are wholly-owned subsidiaries of Franklin
Resources, Inc. ("FRI"). The Common Stock may be deemed to be beneficially
owned by the Investment Management Subsidiaries for purposes of Rule 13d-3, and
accordingly for purposes of section 16(a) under the Securities Exchange Act of
1934, as amended (the "Act"), in their capacity as the investment advisers to
the Clients pursuant to investment management contracts that grant them
investment and/or voting power. When an investment management contract
(including a sub-advisory agreement) delegates to an Investment Management
Subsidiary investment discretion or voting power over the securities held in the
investment advisory accounts that are subject to that agreement, FRI treats
the Investment Management Subsidiary as having sole investment discretion or
voting authority, as the case may be, unless the agreement specifies otherwise.
Beneficial ownership by FRI and the Investment Management Subsidiaries is
reported in conformity with the guidelines articulated by the SEC staff in
Release No. 34-39538 (January 12, 1998) relating to organizations, such as FRI,
where related entities exercise voting and investment powers over the securities
being reported independently from each other. The voting and investment
powers held by Franklin Mutual Advisers, LLC ("FMA"), an indirect wholly- owned
investment management subsidiary of FRI, are exercised independently from FRI,
the Investment Management Subsidiaries and their other affiliates. Furthermore,
internal policies and procedures of FMA and FRI establish informational barriers
that prevent the flow between FMA and FRI and its other affiliates, including
the Investment Management Subsidiaries, of information that relates to the
voting and investment powers over the securities owned by their investment
management clients. Consequently, FMA, on the one hand, and FRI and its other
affiliates, on the other hand, report the securities over which they hold
investment and voting power separately from each other for purposes of Sections
13 and 16 of the Act.
Charles B. Johnson and Rupert H. Johnson, Jr. (the "Principal Shareholders")
each own in excess of 10% of FRI's outstanding common stock and are the
principal stockholders of FRI. FRI and the Principal Shareholders may be deemed
to be, for purposes of Rule 13d-3 under the Act, the beneficial owners of
securities held by persons and entities for whom or for which FRI's subsidiaries
provide investment management services. FRI, the Principal Shareholders and
the Investment Management Subsidiaries disclaim any pecuniary interest in any of
the Common Stock. In addition, the filing of this Form 4 on behalf of the
Principal Shareholders, FRI and the Investment Management Subsidiaries should
not be construed as an admission that any of them is, and each disclaims that it
is, the beneficial owner, as defined in Rule 13d-3, of any of the Common
Stock.
FRI, the Principal Shareholders, and the Investment Management Subsidiaries
believe that they are not a group within the meaning of Rule 13d-5 under the Act
and that they are not otherwise required to attribute to each other the
beneficial ownership of the Common Stock held by any of them or by any persons
or entities for whom or for which the Investment Management Subsidiaries provide
investment management services.
EX-99
3
ex99-2.txt
Exhibit 99-2
Names and Addresses of Additional Reporting Persons:
Charles B. Johnson
Franklin Templeton Investments
One Franklin Parkway
San Mateo, CA 94403-1906
Rupert H. Johnson, Jr.
Franklin Templeton Investments
One Franklin Parkway
San Mateo, CA 94403-1906
By:
/s/Maria Gray
Signature
Maria Gray
Vice President and Secretary of Franklin Resources, Inc.
Attorney in Fact for Charles B. Johnson
Attorney in Fact for Rupert H. Johnson, Jr.