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.