Sec Form 3 Filing - Oaktree Capital Group, LLC @ HALCON RESOURCES CORP - 2019-10-08

Insider filing report for Changes in Beneficial Ownership
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FORM 3
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Oaktree Capital Group, LLC
2. Issuer Name and Ticker or Trading Symbol
HALCON RESOURCES CORP [ HK]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
333 SOUTH GRAND AVENUE,, 28TH FLOOR
3. Date of Earliest Transaction (MM/DD/YY)
10/08/2019
(Street)
LOS ANGELES, CA90071
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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
Common Stock 3,988,088 ( 1 ) ( 2 ) ( 3 ) I ( 1 ) ( 2 ) ( 3 ) See Footnotes ( 1 ) ( 2 ) ( 3 )
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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: 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
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Oaktree Capital Group, LLC
333 SOUTH GRAND AVENUE,
28TH FLOOR
LOS ANGELES, CA90071
X
OAKTREE HOLDINGS, LLC
333 SOUTH GRAND AVENUE,
28TH FLOOR
LOS ANGELES, CA90071
X
OCM HOLDINGS I, LLC
333 SOUTH GRAND AVENUE,
28TH FLOOR
LOS ANGELES, CA90071
X
Oaktree Capital I, L.P.
333 SOUTH GRAND AVENUE,
28TH FLOOR
LOS ANGELES, CA90071
X
OAKTREE FUND GP I, L.P.
333 SOUTH GRAND AVENUE,
28TH FLOOR
LOS ANGELES, CA90071
X
Oaktree Fund GP, LLC
333 SOUTH GRAND AVENUE,
28TH FLOOR
LOS ANGELES, CA90071
X
OCM HLCN Holdings, L.P.
333 SOUTH GRAND AVENUE,
28TH FLOOR
LOS ANGELES, CA90071
X
Signatures
See Signatures included in Exhibit 99.1 10/22/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Consists of shares of the Company's common stock, par value $0.0001 per share (the "Common Stock") directly beneficially owned by OCM HLCN Holdings, L.P. ("OCM HLCN").
( 2 )This Form 3 is being filed jointly by (each, a "Reporting Person" and, collectively, the "Reporting Persons") (i) OCM HLCN, (ii) Oaktree Fund GP, LLC ("Fund GP"), in its capacity as the general partner of OCM HLCN, (iii) Oaktree Fund GP I, L.P. ("Fund GP I"), in its capacity as the managing member of Fund GP, (iv) Oaktree Capital I, L.P. ("Capital I"), in its capacity as the general partner of Fund GP I, (v) OCM Holdings I, LLC ("Holdings I"), in its capacity as general partner of Capital I, (vi) Oaktree Holdings, LLC ("Holdings LLC"), in its capacity as the managing member of Holdings I and (vii) Oaktree Capital Group, LLC, in its capacity as managing member of Holdings LLC. Oaktree Capital Group, LLC is managed by its ten-member board of directors. [cont'd in FN 3]
( 3 )[cont'd from FN 2] Each of the Reporting Persons expressly disclaims beneficial ownership of the equity securities reported herein, except to the extent of their respective pecuniary interests therein, and the filing of this Form 3 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 3.

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