SEC Form 4
Washington, D.C. 20549


Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Krog George William Jr

(Last) (First) (Middle)


(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
VP Chief Accounting Officer
3. Date of Earliest Transaction (Month/Day/Year)
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Abraxas Petroleum Common Stock 186,314 D
Abraxas Petroleum Common Stock 02/07/2020 P(1) 35,380 A $0.28 73,251 I 401-K
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Performance-based Restricted Stock Unit $2.19 04/02/2021 04/02/2021 Abraxas Petroleum Common Stock 23,973 23,973 D
Employee Stock Option $0.97 03/15/2017 03/15/2026 Abraxas Petroleum Common Stock 123,000 123,000 D
Employee Stock Option $3.16 03/03/2016 03/03/2025 Abraxas Petroleum Common Stock 100,000 100,000 D
Employee Stock Option $3.15 03/11/2014 03/11/2024 Abraxas Petroleum Common Stock 21,000 21,000 D
Employee Stock Option $2.39 03/11/2015 03/11/2024 Abraxas Petroleum Common Stock 20,000 20,000 D
Employee Stock Option $6.05 03/24/2010 03/24/2016 Abraxas Petroleum Common Stock 5,000 5,000 D
Employee Stock Option $3.6 08/28/2011 08/28/2017 Abraxas Petroleum Common Stock 8,829 8,829 D
Employee Stock Option $4.72 03/12/2012 03/15/2021 Abraxas Petroleum Common Stock 10,000 10,000 D
Employee Stock Option $2.09 03/16/2011 03/16/2020 Abraxas Petroleum Common Stock 12,700 12,700 D
Employee Stock Option $3.74 03/08/2013 03/08/2022 Abraxas Petroleum Common Stock 9,500 9,500 D
Performance-based Restricted Stock Unit $1.34 04/01/2023 04/01/2023 Abraxas Petroleum Common Stock 43,097 43,097 D
Explanation of Responses:
1. Employer Safe Harbor match to 401-K for the year ended December 31, 2019.
G. William Krog, Jr. 02/10/2020
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.