Sec Form 3 Filing - Gen IV Investment Opportunities, 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
Gen IV Investment Opportunities, LLC
2. Issuer Name and Ticker or Trading Symbol
HALCON RESOURCES CORP [ HKRS]
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)
1700 BROADWAY, 35TH FLOOR
3. Date of Earliest Transaction (MM/DD/YY)
10/08/2019
(Street)
NEW YORK, NY10019
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, par value $0.0001 per share 2,369,769 ( 1 ) ( 2 ) ( 3 ) D
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
Series A Warrants $ 40.17 10/08/2019 10/08/2022 Common Stock 83,239 D
Series B Warrants $ 48.28 10/08/2019 10/08/2022 Common Stock 104,053 D
Series C Warrants $ 60.45 10/08/2019 10/08/2022 Common Stock 133,782 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Gen IV Investment Opportunities, LLC
1700 BROADWAY
35TH FLOOR
NEW YORK, NY10019
X
LSP Generation IV, LLC
1700 BROADWAY
35TH FLOOR
NEW YORK, X110019
X
LSP Investment Advisors, LLC
1700 BROADWAY
35TH FLOOR
NEW YORK, NY10019
X
Signatures
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 10/17/2019
Signature of Reporting Person Date
LSP Generation IV, LLC; By: /s/ Darpan Kapadia, Managing Director 10/17/2019
Signature of Reporting Person Date
LSP Investment Advisors, LLC; By: /s/ Paul Segal, President 10/17/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )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.
( 2 )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.
( 3 )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.

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).
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