HKRS / Halcon Resources Corp. - Insider Trading and Ownership Report - SEC Form 3, 4, 5

Halcon 자원 공사
US ˙ OTC
이 기호는 더 이상 활성화되지 않습니다.

내부자 지분180,855,896 shares
내부자 센티멘트 점수

내부자 센티멘트 점수를 통해서 내부자들이 법인 지분을 매입하는 기업들에 대해서 알아볼 수 있습니다.

이는 내부자의 누적도가 가장 높은 기업을 식별하는 정교하고 복합적인 지수를 분석하는 계량 모델의 결과 값입니다. 스코어링 모델은 이전 90일 동안 매수한 "내부자의 순 숫자", "매수한 주식의 총합", "내부자가 소유한 주식의 총합"의 조합을 사용합니다. 점수는 0에서 100 사이이며, 점수가 높을수록 피어(Peer: 동종업계 경쟁기업)에 대한 누적도가 높다는 것을 나타내며, 평균은 50입니다.

업데이트 주기: 일별

내부자의 누적도가 가장 높은 기업 목록을 확인할 수 있는 내부자들의 최다 선택(Insiders Top Picks)을 참고하십시오.

가장 높은 순위의 주식을 확인하세요
내부 경영진 센티멘트 점수

내부 경영진 센티멘트 점수를 통해서 내부 경영진들이 법인 지분을 매입하는 기업들에 대해서 알아볼 수 있습니다.

내부 거래의 정의에 따라 내부 경영진(기업 임원)도 내부자이지만, 다른 내부자(10% 주주 및 이사회 구성원)들과는 달리 내부 경영진은 매일 회사에서 근무하며, 거래 시에 자신의 자금을 사용합니다. (많은 경우에 10% 주주 및 이사회 구성원은 다른 사람의 자금을 관리하는 자금 관리자입니다.) 따라서 내부 경영진(기업 임원: Officer)의 내부 거래는 훨씬 더 중요하며 올바른 분석이 필요합니다.

내부자 센티멘트 점수와 마찬가지로 임원 감정 점수는 가장 높은 수준의 임원 축적을 가진 기업을 식별하는 정교하고 복합적인 지수 퀀트(Multi-factor quantitative) 모델의 결과입니다.

업데이트 주기: 일별

내부자의 누적도가 가장 높은 기업 목록을 확인할 수 있는 내부자들의 최다 선택(Insiders Top Picks)을 참고하십시오.

가장 높은 순위의 주식을 확인하세요
주요 내부자 지표

이 수치는 해당 기업이 다양한 내부자 지표에 따라 어떻게 순위를 매겨지는 지를 설명합니다. 백분위 순위는 이 기업이 미국 시장의 다른 기업들과 어떻게 비교되는지 보여줍니다. 순위가 높을수록 더 나은 상황에 있다는 것을 의미합니다.

예를 들어, 일반적으로 내부자의 매입은 긍정적인 지표라고 간주되어지기 때문에, 내부자의 매입(내부자의 매각, 역시도)가 적은 기업보다 내부자의 매입이 많은 기업은 순위가 높을 것입니다.

내부자의 순 매입(순위)

N/A

내부자의 순 매입(Net Number of Insiders Buying)는 내부자 매수의 총 수에서 지난 90일 동안의 내부자 매도의 총 수를 뺀 값입니다. 여기에 백분위 순위가 표시됩니다(범위: 0~100%).

내부자가 매입한 플로트 비율 (순위)

N/A

"내부자가 매입한 플로트 비율(Percent of Float Bought by Insiders)"은 내부자가 매입한 주식의 총 수에서 내부자가 매도한 주식의 총 수를 뺀 값을 전체 플로트로 나눈 값에 100을 곱한 값입니다. * ((내부자가 매입한 주식의 총 수 - 내부자가 매도한 주식의 총 수) ÷ 전체 플로트) x 100

내부자 트레이딩 차트

Halcon Resources Corp. 내부자의 매매 거래는 아래 차트에 나와 있습니다. 내부자들은 기업의 임원(내부 경영진), 이사 또는 주요 투자자입니다. 일반적으로 내부자가 중요한 비공개 정보를 기반으로 자신이 속한 기업을 거래하는 것은 불법으로 간주됩니다. 이것은 내부자가 자신의 기업 내에서 행하는 모든 거래가 불법이라는 것을 뜻은 아닙니다. 그러나 그들은 자신들의 모든 거래를 양식 4를 통해 SEC에 보고해야만 합니다.

내부자의 명단 및 이익 지표

아래 표는 공개된 내부자의 목록이며, SEC에 공개된 제출 문서에서 자동으로 생성됩니다. "이름", "가장 최근의 직급", "이사, 임원 또는 10% 주주"에 대한 지정 외에도 최근에 공개된 보유 주식에 대한 정보를 보여줍니다. 또한 가능한 경우 내부자의 과거 거래 실적도 확인 가능합니다. 과거 거래 실적은 내부자가 실제 "공개 시장"(Open market) 매입 거래를 수행한 실적을 가중 평균한 값입니다. 이 계산 방법에 대한 자세한 내용은 유튜브 웨비나 를 참조하시면 됩니다.

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내부자 평균 이익률 (%) 소유
지분		 주식
분할

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내부자의 매입 내역 추적: 단기 이익 분석

이 섹션에서는 HKRS / Halcon Resources Corp.에서 계획되지 않은 "공개 시장"(Open market)의 내부자가 매입한 모든 상품의 수익성을 분석합니다. 이 분석을 통해서 내부자가 비정상적인 수익을 지속적으로 창출하는지 파악하는 데 도움이 되며, 이러한 분석은 수행해볼 가치가 있습니다. 이 분석은 개별 거래 후 1년 동안 수행한 것이며, 결과는 이론 값입니다. .

아래 표는 사전 거래 계획(Automated trading plan)에 포함되지 않은 가장 최근의 "공개 시장"(Open market)에서의 매입을 보여줍니다.

거래일 내부자 보고된
지분		 보고된
가격		 조정된
지분		 조정된
가격		 가격 기준 최고까지
일수		 최고에서
가격		 최고
이익 ($)		 최고 수익률 (%)
2022-06-10 Andrews Richard Kevin 300 14.0806 300 14.0806 4,224 96 14.0900 3 0.07
2022-06-09 Little Richard H 1,000 14.5790 1,000 14.5790 14,579
2022-06-08 Rohling Daniel P 1,500 15.1000 1,500 15.1000 22,650
2022-06-02 Rohling Daniel P 2,337 15.2263 2,337 15.2263 35,584
2022-06-01 Little Richard H 1,000 15.1710 1,000 15.1710 15,171
2022-06-01 Andrews Richard Kevin 300 15.0433 300 15.0433 4,513
2021-12-08 Andrews Richard Kevin 200 10.4300 200 10.4300 2,086
2021-12-08 ROGERS WILLIAM D 2,000 10.5900 2,000 10.5900 21,180
2021-12-07 Andrews Richard Kevin 150 10.6900 150 10.6900 1,604

조정된 가격은 분할 조정 가격입니다. 조정된 지분은 분할 조정 지분입니다.

HKRS / Halcon Resources Corp. Insider Trades
내부자 매매의 실적: 단기 손실 분석

이 섹선에서는 HKRS / Halcon Resources Corp.에서 이루어진 "공개 시장(Open market)"에서의 모든 계획되지 않은 내부자 매매의 단기 손실 회피(Short-term loss avoidance)를 분석합니다. 일관된 손실 회피 패턴을 통해서 향후 매매 거래가 가격 하락을 초래할 수도 있음을 예상할 수 있습니다. 이 분석은 각 각 매매 거래 후 1년 동안의 자료이며, 결과는 이론 값입니다. .

아래 표는 사전 거래 계획(Automated trading plan)에 포함되지 않은 가장 최근의 공개 시장에서의 매매를 보여줍니다.

거래일 내부자 보고된
지분		 보고된
가격		 조정된
지분		 조정된
가격		 가격 기준 최저까지
일수		 최저에서
가격		 회피된
최대 손실($)		 회피된
최대 손실율(%)
2026-03-31 LUMINUS MANAGEMENT LLC 872,586 3.8500 872,586 3.8500 3,359,456 65 1.4000 -2,137,836 -63.64
2026-03-31 LUMINUS MANAGEMENT LLC 336,791 4.3300 336,791 4.3300 1,458,305
2026-03-31 LUMINUS MANAGEMENT LLC 336,791 4.3300 336,791 4.3300 1,458,305
2026-03-31 LUMINUS MANAGEMENT LLC 872,586 3.8500 872,586 3.8500 3,359,456
2026-03-30 LUMINUS MANAGEMENT LLC 681,105 5.5900 681,105 5.5900 3,807,377
2026-03-30 LUMINUS MANAGEMENT LLC 681,105 5.5900 681,105 5.5900 3,807,377
2026-03-27 Mayer Walter R 4,777 6.0000 4,777 6.0000 28,662
2026-03-25 Martin Charles E 7,623 5.2500 7,623 5.2500 40,021
2026-03-25 Rohling Daniel P 14,421 5.9900 14,421 5.9900 86,382

조정된 가격은 분할 조정 가격입니다. 조정된 지분은 분할 조정 지분입니다.

HKRS / Halcon Resources Corp. Insider Trades
거래 내역

전체 거래 내역을 보려면 링크 아이콘을 클릭하세요. 10b5-1 자동 거래 계획의 일부로 보고된 거래는 10b-5 열에 X 표시가 나타납니다.

보고일 거래일 양식 내부자 티커 증권 소유권 코드 10b5-1 직접 행사
가격		 단위
가격		 단위
변동		 가치
변동 (단위: 1,000)		 잔여
옵션		 잔여
주식
2026-05-26 2026-04-02 4/A LUMINUS MANAGEMENT LLC BATL Common Stock J - Other I -379,559 1,626,949
2026-05-26 2026-03-31 4/A LUMINUS MANAGEMENT LLC BATL Common Stock S - Sale I 4.3300 -336,791 -1,458 2,006,508
2026-05-26 2026-03-31 4/A LUMINUS MANAGEMENT LLC BATL Common Stock S - Sale I 3.8500 -872,586 -3,359 2,343,299
2026-05-26 2026-03-30 4/A LUMINUS MANAGEMENT LLC BATL Common Stock C - Conversion I 1,800,000 3,215,885
2026-05-26 2026-03-30 4/A LUMINUS MANAGEMENT LLC BATL Common Stock S - Sale I 5.5900 -681,105 -3,807 1,415,885
2026-05-26 2026-03-24 4/A LUMINUS MANAGEMENT LLC BATL Common Stock J - Other I -4,054,458 2,096,990
2026-05-26 2026-05-21 4 LUMINUS MANAGEMENT LLC BATL Common Stock J - Other I -384,282 1,069,455
2026-05-26 2026-04-17 4 LUMINUS MANAGEMENT LLC BATL Common Stock J - Other I -8,551 1,453,737
2026-05-26 2026-04-13 4 LUMINUS MANAGEMENT LLC BATL Common Stock J - Other I -2,372 1,462,288
2026-05-26 2026-04-10 4 LUMINUS MANAGEMENT LLC BATL Common Stock J - Other I -148,286 1,464,660
2026-05-26 2026-04-09 4 LUMINUS MANAGEMENT LLC BATL Common Stock J - Other I -14,003 1,612,946
2026-04-06 2026-04-02 4 LUMINUS MANAGEMENT LLC BATL Common Stock J - Other I -379,559 1,626,949
2026-04-01 2026-03-31 4 LUMINUS MANAGEMENT LLC BATL Common Stock S - Sale I 4.3300 -336,791 -1,458 2,006,508
2026-04-01 2026-03-31 4 LUMINUS MANAGEMENT LLC BATL Common Stock S - Sale I 3.8500 -872,586 -3,359 2,343,299
2026-04-01 2026-03-30 4 LUMINUS MANAGEMENT LLC BATL Common Stock C - Conversion I 1,800,000 3,215,885
2026-04-01 2026-03-30 4 LUMINUS MANAGEMENT LLC BATL Common Stock S - Sale I 5.5900 -681,105 -3,807 1,415,885
2026-03-30 2026-03-27 4 Mayer Walter R BATL Common Stock S - Sale D 6.0000 -4,777 -29 174
2026-03-27 2026-03-25 4 Gen IV Investment Opportunities, LLC BATL Common Stock S - Sale D 5.8206 -2,369,769 -13,793 0
2026-03-27 2026-03-24 4 LUMINUS MANAGEMENT LLC BATL Common Stock J - Other I -4,054,458 2,096,990
2026-03-26 2026-03-25 4 Rohling Daniel P BATL Common Stock S - Sale D 5.9900 -14,421 -86 0
2026-03-26 2026-03-24 4 Rohling Daniel P BATL Common Stock S - Sale D 9.0400 -7,837 -71 14,421
2026-03-26 2026-03-25 4 Martin Charles E BATL Common Stock S - Sale D 5.2500 -7,623 -40 0
2024-06-04 3 Martin Charles E BATL Common Stock D 7,623
2023-05-16 3 Jegadeesan Ajay BATL Common Stock D 0
2023-04-12 3 Steele Matthew BATL Common Stock D 8,782
2023-02-22 2023-02-20 4 Kasparek Leah R. BATL Common Stock F - Taxes D 9.7700 -656 -6 5,267
2023-02-22 2023-02-20 4 Kasparek Leah R. BATL Common Stock M - Exercise D 2,214 5,923
2023-02-22 2023-02-20 4 Evans Grant R BATL Common Stock F - Taxes D 9.7700 -1,312 -13 9,580
2023-02-22 2023-02-20 4 Evans Grant R BATL Common Stock M - Exercise D 4,427 10,892
2023-02-22 2023-02-20 4 Mayer Walter R BATL Common Stock F - Taxes D 9.7700 -656 -6 4,951
2023-02-22 2023-02-20 4 Mayer Walter R BATL Common Stock M - Exercise D 2,214 5,607
2023-02-22 2023-02-20 4 Little Richard H BATL Common Stock F - Taxes D 9.7700 -4,408 -43 47,471
2023-02-22 2023-02-20 4 Little Richard H BATL Common Stock M - Exercise D 17,709 52,279
2023-02-22 2023-02-20 4 Rohling Daniel P BATL Common Stock F - Taxes D 9.7700 -1,969 -19 22,258
2023-02-22 2023-02-20 4 Rohling Daniel P BATL Common Stock M - Exercise D 6,641 24,227
2023-02-03 3 McWatters Kristen BATL Common Stock D 0
2022-08-22 2022-08-21 4 Andrews Richard Kevin BATL Common Stock F - Taxes D 12.0400 -1,617 -19 12,548
2022-08-22 2022-08-21 4 Andrews Richard Kevin BATL Common Stock M - Exercise D 6,641 14,165
2022-06-13 2022-06-10 4 Andrews Richard Kevin BATL Common Stock P - Purchase D 14.0806 300 4 7,524
2022-06-10 2022-06-08 4 Rohling Daniel P BATL Common Stock P - Purchase D 15.1000 1,500 23 17,586
2022-06-10 2022-06-09 4 Little Richard H BATL Common Stock P - Purchase D 14.5790 1,000 15 34,570
2022-06-03 2022-06-01 4 Andrews Richard Kevin BATL Common Stock P - Purchase D 15.0433 300 5 7,224
2022-06-03 2022-06-02 4 Rohling Daniel P BATL Common Stock P - Purchase D 15.2263 2,337 36 16,086
2022-06-03 2022-06-01 4 Little Richard H BATL Common Stock P - Purchase D 15.1710 1,000 15 33,570
2022-02-23 2022-02-20 4 Evans Grant R BATL Restricted Stock Unit M - Exercise D -4,427 8,855
2022-02-23 2022-02-20 4 Evans Grant R BATL Common Stock F - Taxes D 17.9800 -1,312 -24 6,465
2022-02-23 2022-02-20 4 Evans Grant R BATL Common Stock M - Exercise D 4,427 7,777
2022-02-23 2022-02-20 4 Little Richard H BATL Restricted Stock Unit M - Exercise D -17,709 35,419
2022-02-23 2022-02-20 4 Little Richard H BATL Common Stock F - Taxes D 17.9800 -4,536 -82 32,570
2022-02-23 2022-02-20 4 Little Richard H BATL Common Stock M - Exercise D 17,709 37,106
2022-02-23 2022-02-20 4 Rohling Daniel P BATL Restricted Stock Unit M - Exercise D -6,641 13,282
2022-02-23 2022-02-20 4 Rohling Daniel P BATL Common Stock F - Taxes D 17.9800 -1,916 -34 13,749
2022-02-23 2022-02-20 4 Rohling Daniel P BATL Common Stock M - Exercise D 6,641 15,665
2022-02-23 2022-02-20 4 Kasparek Leah R. BATL Restricted Stock Unit M - Exercise D -2,214 4,428
2022-02-23 2022-02-20 4 Kasparek Leah R. BATL Common Stock F - Taxes D 17.9800 -656 -12 3,709
2022-02-23 2022-02-20 4 Kasparek Leah R. BATL Common Stock M - Exercise D 2,214 4,365
2022-02-23 2022-02-20 4 Mayer Walter R BATL Restricted Stock Unit M - Exercise D -2,214 4,428
2022-02-23 2022-02-20 4 Mayer Walter R BATL Common Stock F - Taxes D 17.9800 -656 -12 3,393
2022-02-23 2022-02-20 4 Mayer Walter R BATL Common Stock M - Exercise D 2,214 4,049
2021-12-09 2021-12-08 4 ROGERS WILLIAM D BATL Common Stock P - Purchase D 10.5900 2,000 21 2,000
2021-12-09 2021-12-07 4 Kasparek Leah R. BATL Common Stock S - Sale D 10.0200 -2 -0 2,151
2021-12-09 2021-12-08 4 Andrews Richard Kevin BATL Common Stock P - Purchase D 10.4300 200 2 6,924
2021-12-09 2021-12-07 4 Andrews Richard Kevin BATL Common Stock P - Purchase D 10.6900 150 2 6,724
2021-09-15 2021-09-10 4/A Hinds Gregory S. BATL Common Stock P - Purchase D 7.9856 6,201 50 11,601
2021-09-15 2021-09-14 4 Little Richard H BATL Common Stock P - Purchase D 7.9020 3,000 24 19,397
2021-09-14 2021-09-10 4 Evans Grant R BATL Common Stock P - Purchase D 7.9856 6,201 50 9,551
2021-09-14 2021-09-10 4 Little Richard H BATL Common Stock P - Purchase D 7.8460 3,000 24 16,397
2021-09-14 2021-09-14 4 Rohling Daniel P BATL Common Stock P - Purchase D 8.5000 4,000 34 9,024
2021-09-14 2021-09-10 4 Andrews Richard Kevin BATL Common Stock P - Purchase D 7.9223 1,550 12 6,574
2021-08-24 2021-08-21 4 Andrews Richard Kevin BATL Restricted Stock Unit M - Exercise D -6,641 19,923
2021-08-24 2021-08-21 4 Andrews Richard Kevin BATL Common Stock F - Taxes D 11.7500 -1,617 -19 5,024
2021-08-24 2021-08-21 4 Andrews Richard Kevin BATL Common Stock M - Exercise D 6,641 6,641
2021-06-15 2021-06-15 4 ROGERS WILLIAM D By IRA BATL Common Stock P - Purchase I 13.4400 2,000 27 2,000
2021-06-14 2021-06-03 4 Germann Scott BATL Common Stock S - Sale D 12.5000 -2,438 -30 0
2021-06-14 3 ROGERS WILLIAM D BATL Common Stock D 0
2021-06-04 2021-06-03 4 Germann Scott BATL Common Stock S - Sale D 12.5400 -1,801 -23 2,438
2021-06-02 2021-06-01 4 Germann Scott BATL Common Stock S - Sale D 13.1100 -553 -7 4,239
2021-02-23 2021-02-20 4 Mayer Walter R BATL Restricted Stock Unit M - Exercise D -2,213 6,642
2021-02-23 2021-02-20 4 Mayer Walter R BATL Common Stock F - Taxes D 11.1600 -585 -7 1,835
2021-02-23 2021-02-20 4 Mayer Walter R BATL Common Stock M - Exercise D 2,213 2,420
2021-02-23 2021-02-20 4 Evans Grant R BATL Restricted Stock Unit M - Exercise D -4,427 13,282
2021-02-23 2021-02-20 4 Evans Grant R BATL Common Stock F - Taxes D 11.1600 -1,077 -12 3,350
2021-02-23 2021-02-20 4 Evans Grant R BATL Common Stock M - Exercise D 4,427 4,427
2021-02-23 2021-02-20 4 Kasparek Leah R. BATL Restricted Stock Unit M - Exercise D -2,213 6,642
2021-02-23 2021-02-20 4 Kasparek Leah R. BATL Common Stock F - Taxes D 11.1600 -537 -6 2,153
2021-02-23 2021-02-20 4 Kasparek Leah R. BATL Common Stock M - Exercise D 2,213 2,690
2021-02-23 2021-02-20 4 Rohling Daniel P BATL Restricted Stock Unit M - Exercise D -6,641 19,923
2021-02-23 2021-02-20 4 Rohling Daniel P BATL Common Stock F - Taxes D 11.1600 -1,617 -18 5,024
2021-02-23 2021-02-20 4 Rohling Daniel P BATL Common Stock M - Exercise D 6,641 6,641
2021-02-23 2021-02-20 4 Little Richard H BATL Restricted Stock Unit M - Exercise D -17,709 53,128
2021-02-23 2021-02-20 4 Little Richard H BATL Common Stock F - Taxes D 11.1600 -4,312 -48 13,397
2021-02-23 2021-02-20 4 Little Richard H BATL Common Stock M - Exercise D 17,709 17,709
2021-01-04 2020-12-30 4 Kasparek Leah R. BATL Common Stock S - Sale D 7.9300 -43 -0 477
2020-08-25 2020-08-21 4 Andrews Richard Kevin BATL Restricted Stock Unit A - Award D 53,128 53,128
2020-08-25 2020-08-21 4 Andrews Richard Kevin BATL Restricted Stock Unit A - Award D 26,564 26,564
2020-08-25 2020-08-21 4 Andrews Richard Kevin BATL Restricted Stock Unit A - Award D 26,564 26,564
2020-08-25 2020-08-21 4 Andrews Richard Kevin BATL Employee Stock Option (Right to Buy) A - Award D 37.83 26,564 26,564
2020-08-25 2020-08-21 4 Andrews Richard Kevin BATL Employee Stock Option (Right to Buy) A - Award D 28.23 26,564 26,564
2020-08-25 2020-08-21 4 Andrews Richard Kevin BATL Employee Stock Option (Right to Buy) A - Award D 18.91 26,564 26,564
2020-06-16 2020-06-12 4 Hinds Gregory S. BATL Common Stock P - Purchase D 9.2700 5,400 50 5,400
2020-06-09 2020-06-05 4 Germann Scott BATL Common Stock P - Purchase D 6.7500 1,400 9 3,000
2020-06-09 2020-06-05 4 Germann Scott BATL Common Stock P - Purchase D 6.6000 1,600 11 1,600
2020-02-21 2020-02-20 4 Little Richard H BATL Restricted Stock Unit A - Award D 141,674 141,674
2020-02-21 2020-02-20 4 Little Richard H BATL Employee Stock Option (Right to Buy) A - Award D 18.91 70,837 70,837
2020-02-21 2020-02-20 4 Little Richard H BATL Restricted Stock Unit A - Award D 70,837 70,837
2020-02-21 2020-02-20 4 Little Richard H BATL Restricted Stock Unit A - Award D 70,837 70,837
2020-02-21 2020-02-20 4 Little Richard H BATL Employee Stock Option (Right to Buy) A - Award D 37.83 70,837 70,837
2020-02-21 2020-02-20 4 Little Richard H BATL Employee Stock Option (Right to Buy) A - Award D 28.23 70,837 70,837
2020-02-21 2020-02-20 4 Altizer Ragan T BATL Restricted Stock Unit A - Award D 53,128 53,128
2020-02-21 2020-02-20 4 Altizer Ragan T BATL Employee Stock Option (Right to Buy) A - Award D 18.91 26,564 26,564
2020-02-21 2020-02-20 4 Altizer Ragan T BATL Restricted Stock Unit A - Award D 26,564 26,564
2020-02-21 2020-02-20 4 Altizer Ragan T BATL Restricted Stock Unit A - Award D 26,564 26,564
2020-02-21 2020-02-20 4 Altizer Ragan T BATL Employee Stock Option (Right to Buy) A - Award D 37.83 26,564 26,564
2020-02-21 2020-02-20 4 Altizer Ragan T BATL Employee Stock Option (Right to Buy) A - Award D 28.23 26,564 26,564
2020-02-21 2020-02-20 4 Rohling Daniel P BATL Restricted Stock Unit A - Award D 53,128 53,128
2020-02-21 2020-02-20 4 Rohling Daniel P BATL Employee Stock Option (Right to Buy) A - Award D 18.91 26,564 26,564
2020-02-21 2020-02-20 4 Rohling Daniel P BATL Restricted Stock Unit A - Award D 26,564 26,564
2020-02-21 2020-02-20 4 Rohling Daniel P BATL Restricted Stock Unit A - Award D 26,564 26,564
2020-02-21 2020-02-20 4 Rohling Daniel P BATL Employee Stock Option (Right to Buy) A - Award D 37.83 26,564 26,564
2020-02-21 2020-02-20 4 Rohling Daniel P BATL Employee Stock Option (Right to Buy) A - Award D 28.23 26,564 26,564
2020-02-21 2020-02-20 4 Evans Grant R BATL Restricted Stock Unit A - Award D 35,418 35,418
2020-02-21 2020-02-20 4 Evans Grant R BATL Employee Stock Option (Right to Buy) A - Award D 18.91 17,709 17,709
2020-02-21 2020-02-20 4 Evans Grant R BATL Restricted Stock Unit A - Award D 17,709 17,709
2020-02-21 2020-02-20 4 Evans Grant R BATL Restricted Stock Unit A - Award D 17,709 17,709
2020-02-21 2020-02-20 4 Evans Grant R BATL Employee Stock Option (Right to Buy) A - Award D 37.83 17,709 17,709
2020-02-21 2020-02-20 4 Evans Grant R BATL Employee Stock Option (Right to Buy) A - Award D 28.23 17,709 17,709
2020-02-21 2020-02-20 4 Kasparek Leah R. BATL Restricted Stock Unit A - Award D 17,709 17,709
2020-02-21 2020-02-20 4 Kasparek Leah R. BATL Restricted Stock Unit A - Award D 8,855 8,855
2020-02-21 2020-02-20 4 Kasparek Leah R. BATL Employee Stock Option (Right to Buy) A - Award D 18.91 8,855 8,855
2020-02-21 2020-02-20 4 Kasparek Leah R. BATL Restricted Stock Unit A - Award D 8,855 8,855
2020-02-21 2020-02-20 4 Kasparek Leah R. BATL Employee Stock Option (Right to Buy) A - Award D 37.83 8,855 8,855
2020-02-21 2020-02-20 4 Kasparek Leah R. BATL Employee Stock Option (Right to Buy) A - Award D 28.23 8,855 8,855
2020-02-21 2020-02-20 4 Mayer Walter R BATL Restricted Stock Unit A - Award D 17,709 17,709
2020-02-21 2020-02-20 4 Mayer Walter R BATL Employee Stock Option (Right to Buy) A - Award D 18.91 8,855 8,855
2020-02-21 2020-02-20 4 Mayer Walter R BATL Restricted Stock Unit A - Award D 8,855 8,855
2020-02-21 2020-02-20 4 Mayer Walter R BATL Restricted Stock Unit A - Award D 8,855 8,855
2020-02-21 2020-02-20 4 Mayer Walter R BATL Employee Stock Option (Right to Buy) A - Award D 37.83 8,855 8,855
2020-02-21 2020-02-20 4 Mayer Walter R BATL Employee Stock Option (Right to Buy) A - Award D 28.23 8,855 8,855
2019-12-17 2019-12-13 4 Elkouri David S HK Common Stock S - Sale D 13.0000 -250 -3 869
2019-10-22 3 OCM HLCN Holdings, L.P. See Footnotes HK Common Stock I 7,976,176
2019-10-22 3 OCM HLCN Holdings, L.P. See Footnotes HK Common Stock I 7,976,176
2019-10-22 3 OCM HLCN Holdings, L.P. See Footnotes HK Common Stock I 7,976,176
2019-10-22 3 OCM HLCN Holdings, L.P. See Footnotes HK Common Stock I 7,976,176
2019-10-22 3 OCM HLCN Holdings, L.P. See Footnotes HK Common Stock I 7,976,176
2019-10-22 3 OCM HLCN Holdings, L.P. See Footnotes HK Common Stock I 7,976,176
2019-10-22 3 OCM HLCN Holdings, L.P. See Footnotes HK Common Stock I 7,976,176
2019-10-22 3 OCM HLCN Holdings, L.P. See Footnotes HK Common Stock I 7,976,176
2019-10-22 3 OCM HLCN Holdings, L.P. See Footnotes HK Common Stock I 7,976,176
2019-10-21 3 Barrett Jonathan Dan By: Luminus Energy Partners Master Fund, Ltd. HK Common Stock, par value $0.0001 per share ("Common Stock") I 12,302,896
2019-10-21 3 Barrett Jonathan Dan By: Luminus Energy Partners Master Fund, Ltd. HK Common Stock, par value $0.0001 per share ("Common Stock") I 12,302,896
2019-10-21 3 Barrett Jonathan Dan By: Luminus Energy Partners Master Fund, Ltd. HK Common Stock, par value $0.0001 per share ("Common Stock") I 12,302,896
2019-10-21 3 Barrett Jonathan Dan By: Luminus Energy Partners Master Fund, Ltd. HK Common Stock, par value $0.0001 per share ("Common Stock") I 12,302,896
2019-10-21 3 Barrett Jonathan Dan By: Luminus Energy Partners Master Fund, Ltd. HK Common Stock, par value $0.0001 per share ("Common Stock") I 12,302,896
2019-10-18 3 Mayer Walter R HK Common Stock D 414
2019-10-18 3 Mayer Walter R HK Common Stock D 414
2019-10-18 3 Mayer Walter R HK Common Stock D 414
2019-10-17 3 LSP Investment Advisors, LLC HKRS Common Stock, par value $0.0001 per share D 4,739,538
2019-10-17 3 LSP Investment Advisors, LLC HKRS Common Stock, par value $0.0001 per share D 4,739,538
2019-10-17 3 LSP Investment Advisors, LLC HKRS Common Stock, par value $0.0001 per share D 4,739,538
2019-10-17 3 LSP Investment Advisors, LLC HKRS Common Stock, par value $0.0001 per share D 4,739,538
2019-10-17 3 LSP Investment Advisors, LLC HKRS Common Stock, par value $0.0001 per share D 4,739,538
2019-10-10 2019-09-08 4 Little Richard H HK Common Stock J - Other D -2 0
2019-10-10 2019-10-08 4 Kasparek Leah R. HK Warrants (Right to Buy) J - Other D 60.45 4,020 4,020
2019-10-10 2019-10-08 4 Kasparek Leah R. HK Warrants (Right to Buy) J - Other D 48.28 3,126 3,126
2019-10-10 2019-10-08 4 Kasparek Leah R. HK Warrants (Right to Buy) J - Other D 40.17 2,500 2,500
2019-10-10 2019-10-08 4 Kasparek Leah R. HK Common Stock J - Other D 520 520
2019-10-10 2019-10-08 4 Kasparek Leah R. HK Common Stock J - Other D -224,558 0
2019-10-10 2019-10-08 4 Elkouri David S By IRA HK Warrants (Right to Buy) J - Other I 60.45 4 4
2019-10-10 2019-10-08 4 Elkouri David S HK Warrants (Right to Buy) J - Other D 60.45 10,057 10,057
2019-10-10 2019-10-08 4 Elkouri David S By IRA HK Warrants (Right to Buy) J - Other I 48.28 3 3
2019-10-10 2019-10-08 4 Elkouri David S HK Warrants (Right to Buy) J - Other D 48.28 7,822 7,822
2019-10-10 2019-10-08 4 Elkouri David S By IRA HK Warrants (Right to Buy) J - Other I 40.17 2 2
2019-10-10 2019-10-08 4 Elkouri David S HK Warrants (Right to Buy) J - Other D 40.17 6,258 6,258
2019-10-10 2019-10-08 4 Elkouri David S HK Common Stock J - Other D 1,302 1,302
2019-10-10 2019-10-08 4 Elkouri David S By IRA HK Common Stock J - Other I -265 0
2019-10-10 2019-10-08 4 Elkouri David S HK Common Stock J - Other D -561,898 0
2019-10-04 2019-10-02 4 Kasparek Leah R. HK Common Stock F - Taxes D 0.0750 -45,181 -3 224,558
2019-10-04 2019-10-02 4 Kasparek Leah R. HK Common Stock F - Taxes D 0.0750 -8,796 -1 269,739
2019-09-27 2019-09-24 4 Wright Jon C. HK Common Stock F - Taxes D 0.0713 -54,108 -4 407,413
2019-09-27 2019-09-24 4 Wright Jon C. HK Common Stock F - Taxes D 0.0713 -20,135 -1 461,521
2019-09-27 2019-09-24 4 Elkouri David S HK Common Stock F - Taxes D 0.0713 -58,296 -4 483,467
2019-09-27 2019-09-24 4 Elkouri David S HK Common Stock F - Taxes D 0.0713 -20,135 -1 541,763
2019-08-27 2019-08-23 4 ARES MANAGEMENT LLC See footnotes HKRSQ Common Stock, $0.0001 par value S - Sale I 0.1000 -1,080,862 -108 15,335,346
2019-08-23 2019-08-22 4 ARES MANAGEMENT LLC See footnotes HKRSQ Common Stock, $0.0001 par value S - Sale I 0.1000 -57,800 -6 16,416,208
2019-08-23 2019-08-21 4 ARES MANAGEMENT LLC See footnotes HKRSQ Common Stock, $0.0001 par value S - Sale I 0.1000 -350,000 -35 16,474,008
2019-08-19 2019-08-16 4 ARES MANAGEMENT LLC See footnotes HKRSQ Common Stock, $0.0001 par value S - Sale I 0.1000 -545,000 -54 16,824,008
2019-08-19 2019-08-15 4 ARES MANAGEMENT LLC See footnotes HKRSQ Common Stock, $0.0001 par value S - Sale I 0.1082 -3,500,000 -379 17,369,008
2019-08-16 2019-08-15 4 Elkouri David S HK Common Stock S - Sale D 0.1200 -7,302 -1 561,898
2019-08-15 2019-08-13 4 Schall Darryl HK Common Stock S - Sale D 0.1200 -84,127 -10 0
2019-06-21 3 Little Richard H HK Common Stock D 4
2019-06-21 3 Little Richard H HK Common Stock D 4
2019-06-21 3 Little Richard H HK Common Stock D 4
2019-04-19 2019-04-17 4 BARTH CARIN MARCY HK Common Stock A - Award D 10,568 10,568
2019-04-11 2018-02-09 4/A ARES MANAGEMENT LLC See footnotes HK Common Stock, $0.0001 par value P - Purchase I 6.9000 1,113,466 7,683 21,855,288
2019-04-11 2018-09-12 4 ARES MANAGEMENT LLC See footnotes HK Common Stock, $0.0001 par value S - Sale I 4.8600 -4 -0 20,869,008
2019-03-15 2019-03-13 4 Elkouri David S HK Common Stock A - Award D 201,160 569,431
2019-03-15 2019-03-13 4 Wright Jon C. HK Common Stock A - Award D 186,710 481,656
2019-03-15 2019-03-13 4 HICKS QUENTIN R HK Common Stock A - Award D 187,860 435,028
2019-03-15 2019-03-13 4 Kasparek Leah R. HK Common Stock A - Award D 185,550 278,475
2019-03-05 2019-03-01 4 Elkouri David S HK Common Stock F - Taxes D 1.6300 -11,908 -19 368,271
2019-03-05 2019-03-01 4 Wright Jon C. HK Common Stock F - Taxes D 1.6300 -11,908 -19 294,946
2019-03-05 2019-03-01 4 HICKS QUENTIN R HK Common Stock F - Taxes D 1.6300 -8,485 -14 247,168
2019-03-05 2019-03-01 4 Kasparek Leah R. HK Common Stock F - Taxes D 1.6300 -5,355 -9 92,925
2019-03-05 2019-03-01 4 Obut Tina S HK Common Stock F - Taxes D 1.6300 -6,179 -10 106,470
2019-03-05 2019-03-01 4 HEROD STEPHEN W HK Common Stock F - Taxes D 1.6300 -11,351 -19 424,463
2019-03-05 2019-03-01 4 Mize Mark HK Common Stock F - Taxes D 1.6300 -10,300 -17 408,450
2018-11-28 2018-11-27 4 FULLER THOMAS R HK Common Stock S - Sale D 2.9100 -1,368 -4 84,323
2018-11-20 2018-11-19 4 Elkouri David S HK Common Stock S - Sale D 2.9950 -331 -1 379,948
2018-11-20 2018-11-19 4 Kasparek Leah R. HK Common Stock S - Sale D 2.9902 -40 -0 98,340
2018-08-15 2018-08-15 4 ARES MANAGEMENT LLC See footnotes HK Warrants to Purchase Common Stock S - Sale I 14.04 0.1000 -8,095 -1 332,811
2018-08-15 2018-08-15 4 ARES MANAGEMENT LLC See Footnotes HK Common Stock, $0.0001 par value S - Sale I 3.6400 -277,674 -1,011 20,869,008
2018-08-15 2018-08-14 4 ARES MANAGEMENT LLC See Footnotes HK Common Stock, $0.0001 par value S - Sale I 3.8300 -100,000 -383 21,146,682
2018-08-15 2018-08-14 4 ARES MANAGEMENT LLC See Footnotes HK Common Stock, $0.0001 par value S - Sale I 3.8900 -258,602 -1,006 21,246,682
2018-08-15 2018-08-13 4 ARES MANAGEMENT LLC See Footnotes HK Common Stock, $0.0001 par value S - Sale I 3.8900 -200,000 -778 21,505,284
2018-08-15 2018-08-13 4 ARES MANAGEMENT LLC See Footnotes HK Common Stock, $0.0001 par value S - Sale I 3.9100 -150,000 -586 21,705,284
2018-06-19 3 MCARDLE JANINE J HK Common Stock D 190
2018-06-19 3 MCARDLE JANINE J By Spouse's IRA HK Common Stock I 182
2018-06-19 3 MCARDLE JANINE J HK Common Stock D 190
2018-06-19 3 MCARDLE JANINE J By Spouse's IRA HK Common Stock I 182
2018-06-19 3 MCARDLE JANINE J HK Common Stock D 190
2018-06-19 3 MCARDLE JANINE J By Spouse's IRA HK Common Stock I 182
2018-06-19 2018-06-15 4 MCARDLE JANINE J HK Common Stock A - Award D 33,750 33,816
2018-05-16 2018-05-14 4 ARES MANAGEMENT LLC HK Common Stock, $0.0001 par value A - Award D 33,743 86,857
2018-05-16 2018-05-14 4 FULLER THOMAS R HK Common Stock A - Award D 33,743 85,691
2018-05-16 2018-05-14 4 Schall Darryl HK Common Stock A - Award D 33,743 84,127
2018-05-16 2018-05-14 4 SCOTT RONALD D. HK Common Stock A - Award D 33,743 76,992
2018-05-16 2018-05-14 4 CHRISTMAS JAMES W HK Common Stock A - Award D 33,743 105,272
2018-05-16 2018-05-14 4 Campbell William Jefferson HK Common Stock A - Award D 33,743 76,992
2018-05-16 2018-05-14 4 CLARK MICHAEL LAURENCE HK Common Stock A - Award D 33,743 76,992
2018-03-12 2018-03-09 4 WILSON FLOYD C HK Common Stock P - Purchase D 5.2400 20,000 105 1,718,836
2018-03-12 2018-03-09 4 WILSON FLOYD C HK Common Stock P - Purchase D 5.2300 10,000 52 1,698,836
2018-03-12 2018-03-09 4 WILSON FLOYD C HK Common Stock P - Purchase D 5.2200 10,000 52 1,688,836
2018-03-12 2018-03-09 4 WILSON FLOYD C HK Common Stock P - Purchase D 5.1900 9,350 49 1,678,836
2018-03-12 2018-03-09 4 WILSON FLOYD C HK Common Stock P - Purchase D 5.1800 650 3 1,669,486
2018-03-05 2018-03-01 4 WILSON FLOYD C HK Employee Stock Option (Right to Buy) A - Award D 5.65 241,500 241,500
2018-03-05 2018-03-01 4 WILSON FLOYD C HK Common Stock A - Award D 250,130 1,668,836
2018-03-05 2018-03-01 4 HEROD STEPHEN W HK Employee Stock Options (Right to Buy) A - Award D 5.65 113,200 113,200
2018-03-05 2018-03-01 4 HEROD STEPHEN W HK Common Stock A - Award D 117,250 435,814
2018-03-05 2018-03-01 4 Mize Mark HK Employee Stock Options (Right to Buy) A - Award D 5.65 100,600 100,600
2018-03-05 2018-03-01 4 Mize Mark HK Common Stock A - Award D 104,220 418,750
2018-03-05 2018-03-01 4 Wright Jon C. HK Employee Stock Options (Right to Buy) A - Award D 5.65 100,600 100,600
2018-03-05 2018-03-01 4 Wright Jon C. HK Common Stock A - Award D 104,220 306,854
2018-03-05 2018-03-01 4 Elkouri David S HK Employee Stock Options (Right to Buy) A - Award D 5.65 100,600 100,600
2018-03-05 2018-03-01 4 Elkouri David S HK Common Stock A - Award D 104,220 380,279
2018-03-05 2018-03-01 4 HICKS QUENTIN R HK Employee Stock Options (Right to Buy) A - Award D 5.65 71,700 71,700
2018-03-05 2018-03-01 4 HICKS QUENTIN R HK Common Stock A - Award D 74,260 255,653
2018-03-05 2018-03-01 4 Obut Tina S HK Employee Stock Options (Right to Buy) A - Award D 5.65 60,400 60,400
2018-03-05 2018-03-01 4 Obut Tina S HK Common Stock A - Award D 62,530 112,649
2018-03-05 2018-03-01 4 Kasparek Leah R. HK Employee Stock Options (Right to Buy) A - Award D 5.65 52,300 52,300
2018-03-05 2018-03-01 4 Kasparek Leah R. HK Common Stock A - Award D 54,190 98,380
2018-03-05 2018-03-05 4 Schall Darryl HK Common Stock P - Purchase D 5.4790 5,658 31 50,384
2018-03-05 2018-03-05 4 Schall Darryl HK Common Stock P - Purchase D 5.4700 1,342 7 44,726
2018-02-13 2018-02-09 4 ARES MANAGEMENT LLC See footnotes HK Common Stock, $0.0001 par value P - Purchase I 6.9000 1,113,466 7,683 21,855,284
2018-01-29 2018-01-26 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.6000 -500,000 -4,300 14,530,157
2018-01-29 2018-01-26 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.6007 -77,571 -667 15,030,157
2018-01-29 2018-01-25 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.4427 -435,010 -3,673 15,107,728
2018-01-26 2017-12-12 5 Elkouri David S HK Common Stock G - Gift D -11,000 276,059
2018-01-26 2017-12-04 5 Elkouri David S HK Common Stock G - Gift D -10,000 287,059
2018-01-25 2018-01-24 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.1665 -132,707 -1,084 15,542,738
2018-01-25 2018-01-23 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.2278 -195,100 -1,605 15,675,445
2018-01-25 2018-01-23 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.3095 -62,283 -518 15,870,545
2018-01-25 2018-01-23 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.2050 -24,900 -204 15,932,828
2018-01-23 2018-01-22 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.2126 -400,000 -3,285 15,957,728
2018-01-23 2018-01-19 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.0439 -150,000 -1,207 16,357,728
2018-01-19 2018-01-18 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.2509 -130,000 -1,073 16,507,728
2018-01-19 2018-01-17 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.3869 -170,000 -1,426 16,637,728
2018-01-17 2018-01-16 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.5487 -300,000 -2,565 16,807,728
2018-01-17 2018-01-16 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.7306 -150,000 -1,310 17,107,728
2018-01-17 2018-01-12 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.5259 -350,000 -2,984 17,257,728
2018-01-12 2018-01-11 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.2137 -390,000 -3,203 17,607,728
2018-01-12 2018-01-11 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.1950 -73,000 -598 17,997,728
2018-01-12 2018-01-11 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.0407 -27,000 -217 18,070,728
2018-01-12 2018-01-10 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.8607 -225,165 -1,770 18,097,728
2018-01-12 2018-01-10 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.9246 -50,000 -396 18,322,893
2018-01-10 2018-01-09 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.7741 -144,729 -1,125 18,372,893
2018-01-10 2018-01-08 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.7525 -120,414 -934 18,517,622
2018-01-08 2018-01-04 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.2713 -158,188 -1,308 18,638,036
2018-01-04 2018-01-03 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.2959 -233,204 -1,935 18,796,224
2018-01-04 2018-01-03 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.3122 -78,300 -651 19,029,428
2018-01-04 2018-01-03 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.2194 -18,000 -148 19,107,728
2018-01-04 2018-01-03 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.2700 -10,900 -90 19,125,728
2018-01-04 2018-01-02 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.9219 -228,369 -1,809 19,136,628
2018-01-04 2018-01-02 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.7501 -100,000 -775 19,364,997
2018-01-04 2018-01-02 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 8.0550 -39,400 -317 19,464,997
2018-01-02 2017-12-28 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.7012 -7,100 -55 19,504,397
2017-12-28 2017-12-27 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.7208 -98,896 -764 19,511,497
2017-12-28 2017-12-26 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.7532 -131,313 -1,018 19,610,393
2017-12-26 2017-12-22 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.7326 -23,900 -185 19,741,706
2017-12-26 2017-12-21 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.7026 -8,122 -63 19,765,606
2017-12-13 2017-12-12 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.7000 -55,446 -427 19,773,728
2017-12-13 2017-12-11 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.7150 -250,000 -1,929 19,829,174
2017-12-13 2017-12-11 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.6579 -28,554 -219 20,079,174
2017-12-01 2017-11-30 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.4200 -120,000 -890 20,107,728
2017-12-01 2017-11-30 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.3073 -51,900 -379 20,227,728
2017-11-30 2017-11-29 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.6450 -99,100 -659 20,279,628
2017-11-30 2017-11-29 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.6949 -78,100 -523 20,378,728
2017-11-30 2017-11-29 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.7084 -31,752 -213 20,456,828
2017-11-30 2017-11-28 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.6661 -120,791 -805 20,488,580
2017-11-28 2017-11-27 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.8409 -98,357 -673 20,609,371
2017-11-28 2017-11-24 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.0967 -100,000 -710 20,707,728
2017-11-24 2017-11-22 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.9636 -212,152 -1,477 20,807,728
2017-11-24 2017-11-21 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.9578 -87,848 -611 21,019,880
2017-11-17 2017-11-16 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.8361 -80,000 -547 21,107,728
2017-11-17 2017-11-16 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.7077 -33,027 -222 21,187,728
2017-11-17 2017-11-15 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.5508 -1,000,000 -6,551 21,220,755
2017-11-17 2017-11-15 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.6615 -146,973 -979 22,220,755
2017-11-17 2017-11-15 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.5661 -140,000 -919 22,367,728
2017-11-15 2017-11-14 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.9561 -300,000 -2,087 22,507,728
2017-11-15 2017-11-13 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.0911 -186,188 -1,320 22,807,728
2017-11-15 2017-11-13 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.1082 -113,812 -809 22,993,916
2017-11-13 2017-11-10 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.7989 -217,104 -1,476 23,107,728
2017-11-13 2017-11-10 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.8970 -157,713 -1,088 23,324,832
2017-11-13 2017-11-09 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.7008 -230,000 -1,541 23,482,545
2017-11-13 2017-11-09 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.7894 -169,766 -1,153 23,712,545
2017-11-13 2017-11-08 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.8728 -150,000 -1,031 23,882,311
2017-11-13 2017-11-08 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.8224 -75,417 -515 24,032,311
2017-11-08 2017-11-07 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.9886 -400,000 -2,795 24,107,728
2017-11-08 2017-11-07 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.8185 -129,225 -881 24,507,728
2017-11-08 2017-11-07 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.8849 -110,775 -763 24,636,953
2017-11-08 2017-11-06 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.0470 -210,700 -1,485 24,747,728
2017-11-08 2017-11-06 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.0831 -99,300 -703 24,958,428
2017-11-08 2017-11-06 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.0650 -50,000 -353 25,057,728
2017-10-19 2017-10-18 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.3126 -800,000 -5,050 25,107,728
2017-10-19 2017-10-17 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.1419 -650,000 -3,992 25,907,728
2017-10-19 2017-10-17 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.1611 -100,000 -616 26,557,728
2017-10-19 2017-10-17 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.3799 -100,000 -638 26,657,728
2017-10-17 2017-10-16 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.0950 -203,900 -1,243 26,757,728
2017-10-17 2017-10-16 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 5.9102 -100,000 -591 26,961,628
2017-10-17 2017-10-13 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.0143 -46,100 -277 27,061,628
2017-10-10 2017-09-28 4/A FRANKLIN RESOURCES INC HK Warrants S - Sale I 14.04 0.5500 -11,650 -6 415,208
2017-10-05 2017-10-04 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.5817 -80,000 -527 27,107,728
2017-10-05 2017-10-04 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.7254 -20,000 -135 27,187,728
2017-10-05 2017-10-03 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.8641 -400,000 -2,746 27,207,728
2017-10-02 2017-09-29 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.7969 -218,100 -1,482 27,607,728
2017-09-29 2017-09-27 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.0723 -175,000 -1,238 27,825,828
2017-09-27 2017-09-26 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.6778 -225,000 -1,503 28,000,828
2017-09-27 2017-09-25 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.6424 -225,000 -1,495 28,225,828
2017-09-22 2017-09-20 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.5013 -256,900 -1,670 28,450,828
2017-09-22 2017-09-20 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.3861 -154,515 -987 28,707,728
2017-09-22 2017-09-20 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.3753 -100,000 -638 28,862,243
2017-09-22 2017-09-20 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.2802 -4,478 -28 28,962,243
2017-09-20 2017-09-19 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.2463 -68,944 -431 28,966,721
2017-09-20 2017-09-19 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.2954 -35,485 -223 29,035,665
2017-09-20 2017-09-18 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.3864 -311,300 -1,988 29,071,150
2017-09-20 2017-09-18 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.4550 -38,700 -250 29,382,450
2017-09-20 2017-09-18 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.2675 -30,000 -188 29,421,150
2017-09-18 2017-09-15 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.2355 -197,789 -1,233 29,451,150
2017-09-18 2017-09-15 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.3666 -69,000 -439 29,648,939
2017-09-18 2017-09-15 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.3637 -63,211 -402 29,717,939
2017-09-18 2017-09-14 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.4878 -250,000 -1,622 29,781,150
2017-09-18 2017-09-14 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.5519 -250,000 -1,638 30,031,150
2017-09-18 2017-09-12 4 Rinando Joseph S III HK Common Stock F - Taxes D 6.2400 -5,697 -36 72,086
2017-09-18 2017-09-12 4 Rinando Joseph S III HK Common Stock F - Taxes D 6.2400 -8,546 -53 77,783
2017-09-18 2017-09-12 4 Obut Tina S HK Common Stock F - Taxes D 6.2400 -3,418 -21 50,119
2017-09-18 2017-09-12 4 Obut Tina S HK Common Stock F - Taxes D 6.2400 -5,128 -32 53,537
2017-09-18 2017-09-12 4 Kasparek Leah R. HK Common Stock F - Taxes D 6.2400 -3,418 -21 44,190
2017-09-18 2017-09-12 4 Kasparek Leah R. HK Common Stock F - Taxes D 6.2400 -5,128 -32 47,608
2017-09-18 2017-09-12 4 HICKS QUENTIN R HK Common Stock F - Taxes D 6.2400 -14,814 -92 181,393
2017-09-18 2017-09-12 4 HICKS QUENTIN R HK Common Stock F - Taxes D 6.2400 -22,221 -139 196,207
2017-09-18 2017-09-12 4 Wright Jon C. HK Common Stock F - Taxes D 6.2400 -25,910 -162 202,634
2017-09-18 2017-09-12 4 Wright Jon C. HK Common Stock F - Taxes D 6.2400 -31,980 -200 228,544
2017-09-18 2017-09-12 4 Elkouri David S HK Common Stock F - Taxes D 6.2400 -31,435 -196 297,059
2017-09-18 2017-09-12 4 Mize Mark HK Common Stock F - Taxes D 6.2400 -31,967 -199 314,530
2017-09-18 2017-09-12 4 HEROD STEPHEN W HK Common Stock F - Taxes D 6.2400 -32,010 -200 318,564
2017-09-14 2017-09-13 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.5920 -325,000 -2,142 30,281,150
2017-09-14 2017-09-13 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.6250 -100,000 -662 30,606,150
2017-09-13 2017-09-12 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.1751 -557,600 -3,443 30,706,150
2017-09-13 2017-09-12 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.0950 -17,400 -106 31,263,750
2017-09-13 2017-09-11 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.0079 -134,998 -811 31,281,150
2017-08-24 2017-08-23 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.1186 -142,613 -873 31,416,148
2017-08-24 2017-08-23 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.1097 -130,000 -794 31,558,761
2017-08-24 2017-08-23 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.2663 -59,000 -370 31,688,761
2017-08-24 2017-08-22 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.0133 -68,387 -411 31,747,761
2017-08-24 2017-08-22 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.0212 -23,000 -138 31,816,148
2017-08-22 2017-08-21 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.0218 -61,800 -372 31,839,148
2017-08-22 2017-08-18 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.1594 -215,100 -1,325 31,900,948
2017-08-18 2017-08-17 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.1915 -160,100 -991 32,116,048
2017-08-18 2017-08-17 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.2814 -50,000 -314 32,276,148
2017-08-18 2017-08-16 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.1172 -234,799 -1,436 32,326,148
2017-08-18 2017-08-16 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.0350 -50,000 -302 32,560,947
2017-08-16 2017-08-15 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.0661 -214,101 -1,299 32,610,947
2017-08-16 2017-08-14 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.2955 -91,100 -574 32,825,048
2017-08-08 2017-08-04 4 Schall Darryl HK Common Stock P - Purchase D 6.2500 7,795 49 43,384
2017-08-08 2017-08-04 4 Schall Darryl HK Common Stock P - Purchase D 6.2400 2,205 14 35,589
2017-06-15 2017-06-14 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 5.8871 -17,000 -100 32,916,148
2017-06-15 2017-06-14 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 5.7841 -11,300 -65 32,933,148
2017-06-15 2017-06-13 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.0803 -420,173 -2,555 32,944,448
2017-06-15 2017-06-13 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.0900 -250,000 -1,522 33,364,621
2017-06-15 2017-06-13 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.0727 -25,200 -153 33,614,621
2017-06-15 2017-06-13 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.0950 -12,500 -76 33,639,821
2017-06-15 2017-06-13 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.0700 -10,000 -61 33,652,321
2017-06-15 2017-06-14 4 BARNES SYLVIA K. HK Common Stock P - Purchase D 5.3590 9,400 50 43,157
2017-06-15 2017-06-14 4 BARNES SYLVIA K. HK Common Stock P - Purchase D 5.3400 2,400 13 33,757
2017-06-15 2017-06-14 4 BARNES SYLVIA K. HK Common Stock P - Purchase D 5.3500 1,000 5 31,357
2017-06-15 2017-06-14 4 BARNES SYLVIA K. HK Common Stock P - Purchase D 5.3300 2,600 14 30,357
2017-06-15 2017-06-14 4 BARNES SYLVIA K. HK Common Stock P - Purchase D 5.3200 4,000 21 27,757
2017-06-15 2017-06-14 4 BARNES SYLVIA K. HK Common Stock P - Purchase D 5.3150 600 3 23,757
2017-06-02 2017-05-31 4 BARNES SYLVIA K. HK Common Stock A - Award D 23,157 23,157
2017-05-15 2017-05-04 4/A Schall Darryl HK Common Stock A - Award D 25,985 33,384
2017-05-11 2017-05-10 4 FRANKLIN RESOURCES INC HK Warrants S - Sale I 14.04 1.0000 -1,165 -1 426,858
2017-05-11 2017-05-10 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 6.7321 -31,341 -211 33,662,321
2017-05-08 2017-05-04 4 ARES MANAGEMENT LLC HK Common Stock, $0.0001 par value A - Award D 25,985 53,114
2017-05-08 2017-05-04 4 Schall Darryl HK Common Stock A - Award D 25,985 33,384
2017-05-08 2017-05-04 4 SCOTT RONALD D. HK Common Stock A - Award D 25,985 43,249
2017-05-08 2017-05-04 4 TAKAHA ERIC G. HK Common Stock A - Award D 25,985 43,249
2017-05-08 2017-05-04 4 Campbell William Jefferson HK Common Stock A - Award D 25,985 43,249
2017-05-08 2017-05-04 4 CHRISTMAS JAMES W HK Common Stock A - Award D 25,985 71,529
2017-05-08 2017-05-04 4 CLARK MICHAEL LAURENCE HK Common Stock A - Award D 25,985 43,249
2017-05-08 2017-05-04 4 FULLER THOMAS R HK Common Stock A - Award D 25,985 51,948
2017-04-13 2017-04-11 4 Rinando Joseph S III HK Employee Stock Options (Right to Buy) A - Award D 7.75 41,667 41,667
2017-04-13 2017-04-11 4 Rinando Joseph S III HK Common Stock A - Award D 20,833 86,329
2017-04-13 2017-04-11 4 Kasparek Leah R. HK Employee Stock Options (Right to Buy) A - Award D 7.75 25,000 25,000
2017-04-13 2017-04-11 4 Kasparek Leah R. HK Common Stock A - Award D 12,500 52,736
2017-04-13 2017-04-11 4 Wright Jon C. HK Employee Stock Options (Right to Buy) A - Award D 7.75 133,333 133,333
2017-04-13 2017-04-11 4 Wright Jon C. HK Common Stock A - Award D 66,667 260,524
2017-04-13 2017-04-11 4 HICKS QUENTIN R HK Employee Stock Options (Right to Buy) A - Award D 7.75 108,333 108,333
2017-04-13 2017-04-11 4 HICKS QUENTIN R HK Common Stock A - Award D 54,167 218,428
2017-04-13 2017-04-11 4 Obut Tina S HK Employee Stock Options (Right to Buy) A - Award D 7.75 25,000 25,000
2017-04-13 2017-04-11 4 Obut Tina S HK Common Stock A - Award D 12,500 58,665
2017-04-13 2017-04-11 4 Mize Mark HK Employee Stock Options (Right to Buy) A - Award D 7.75 162,500 162,500
2017-04-13 2017-04-11 4 Mize Mark HK Common Stock A - Award D 81,250 346,497
2017-04-13 2017-04-11 4 Elkouri David S HK Employee Stock Options (Right to Buy) A - Award D 7.75 162,500 162,500
2017-04-13 2017-04-11 4 Elkouri David S HK Common Stock A - Award D 81,250 328,494
2017-04-13 2017-04-11 4 WILSON FLOYD C HK Employee Stock Option (Right to Buy) A - Award D 7.75 620,835 620,835
2017-04-13 2017-04-11 4 WILSON FLOYD C HK Common Stock A - Award D 310,415 1,418,706
2017-04-13 2017-04-11 4 HEROD STEPHEN W HK Employee Stock Options (Right to Buy) A - Award D 7.75 162,500 162,500
2017-04-13 2017-04-11 4 HEROD STEPHEN W HK Common Stock A - Award D 81,250 350,574
2017-04-11 2017-04-07 4 FRANKLIN RESOURCES INC HK Warrants S - Sale I 14.04 1.7500 -10,485 -18 428,023
2017-04-11 2017-04-07 4 FRANKLIN RESOURCES INC HK Common Stock S - Sale I 7.8403 -117,731 -923 33,693,662
2017-04-11 2017-03-09 4 FRANKLIN RESOURCES INC HK Warrants J - Other I 14.04 -583 438,508
2017-04-11 2017-03-09 4 FRANKLIN RESOURCES INC HK Common Stock J - Other I -10,940 33,811,393
2017-03-01 2017-02-27 4 ARES MANAGEMENT LLC See footnotes HK Convertible Preferred Stock C - Conversion I -276 0
2017-03-01 2017-02-27 4 ARES MANAGEMENT LLC See footnotes HK Convertible Preferred Stock P - Purchase I 276 276
2017-03-01 2017-02-27 4 ARES MANAGEMENT LLC See footnotes HK Common Stock, $0.0001 par value C - Conversion I 7.2500 2,760,000 20,010 20,741,822
2017-02-14 2016-12-23 5 Elkouri David S HK Common Stock G - Gift D -5,500 247,244
2016-12-16 2016-12-15 4 Wright Jon C. HK Common Stock S - Sale D 8.6004 -10,000 -86 193,857
2016-12-09 2016-12-08 4 Elkouri David S HK Common Stock S - Sale D 8.5748 -100 -1 252,744
2016-12-09 2016-12-07 4 WILSON FLOYD C HK Common Stock S - Sale D 8.7244 -10,000 -87 1,111,919
2016-11-21 2016-09-12 4/A WILSON FLOYD C HK Employee Stock Option (Right to Buy) A - Award D 9.24 1,862,500 1,862,500
2016-11-21 2016-09-12 4/A WILSON FLOYD C HK Common Stock A - Award D 931,250 966,301
2016-11-21 2016-11-18 4 FULLER THOMAS R HK Warrants (Right to Buy) J - Other D 14.04 1,722 1,722
2016-11-21 2016-11-17 4 FULLER THOMAS R HK Common Stock J - Other D 6,545 25,963
2016-11-21 2016-11-18 4 CHRISTMAS JAMES W HK Warrants (Right to Buy) J - Other D 14.04 6,029 6,029
2016-11-21 2016-11-17 4 CHRISTMAS JAMES W HK Common Stock J - Other D 22,909 45,544
2016-11-21 2016-11-18 4 HEROD STEPHEN W HK Warrants (Right to Buy) J - Other D 14.04 6,029 6,029
2016-11-21 2016-11-17 4 HEROD STEPHEN W HK Common Stock J - Other D 22,909 269,324
2016-11-21 2016-11-18 4 Mize Mark HK Warrants (Right to Buy) J - Other D 14.04 4,306 4,306
2016-11-21 2016-11-17 4 Mize Mark HK Common Stock J - Other D 16,364 265,247
2016-11-21 2016-11-18 4 Rinando Joseph S III HK Warrants (Right to Buy) J - Other D 14.04 129 129
2016-11-21 2016-11-17 4 Rinando Joseph S III HK Common Stock J - Other D 491 65,496
2016-11-21 2016-11-18 4 Obut Tina S HK Warrants (Right to Buy) J - Other D 14.04 1,292 1,292
2016-11-21 2016-11-17 4 Obut Tina S HK Common Stock J - Other D 4,909 46,165
2016-11-21 2016-11-18 4 Elkouri David S HK Warrants (Right to Buy) J - Other D 14.04 1,722 1,722
2016-11-21 2016-11-17 4 Elkouri David S HK Common Stock J - Other D 6,545 252,844
2016-11-21 2016-11-18 4 Kasparek Leah R. HK Warrants (Right to Buy) J - Other D 14.04 172 172
2016-11-21 2016-11-17 4 Kasparek Leah R. HK Common Stock J - Other D 655 40,236
2016-11-21 2016-11-18 4 Wright Jon C. HK Warrants (Right to Buy) J - Other D 14.04 172 172
2016-11-21 2016-11-17 4 Wright Jon C. HK Common Stock J - Other D 654 203,857
2016-11-21 2016-11-21 4 HICKS QUENTIN R HK Common Stock S - Sale D 11.0900 -25 -0 164,261
2016-11-21 2016-11-18 4 WILSON FLOYD C By Trusts HK Warrants (Right to Buy) J - Other I 14.04 1,557 1,557
2016-11-21 2016-11-18 4 WILSON FLOYD C HK Warrants (Right to Buy) J - Other D 14.04 40,952 42,117
2016-11-21 2016-11-17 4 WILSON FLOYD C By Trusts HK Common Stock J - Other I 5,895 6,583
2016-11-21 2016-11-17 4 WILSON FLOYD C HK Common Stock J - Other D 155,618 1,121,919
2016-11-14 3/A FRANKLIN RESOURCES INC HK Common Stock I 33,822,333
2016-09-29 3 FRANKLIN RESOURCES INC HK Common Stock I 67,644,678
2016-09-29 3 FRANKLIN RESOURCES INC HK Common Stock I 67,644,678
2016-09-22 2016-09-12 4/A Elkouri David S HK Employee Stock Option (Right to Buy) A - Award D 9.24 487,500 487,500
2016-09-22 2016-09-12 4/A HICKS QUENTIN R HK Employee Stock Option (Right to Buy) A - Award D 9.24 325,000 325,000
2016-09-22 2016-09-12 4/A Kasparek Leah R. HK Employee Stock Option (Right to Buy) A - Award D 9.24 75,000 75,000
2016-09-22 2016-09-12 4/A HEROD STEPHEN W HK Employee Stock Option (Right to Buy) A - Award D 9.24 487,500 487,500
2016-09-22 2016-09-12 4/A Mize Mark HK Employee Stock Option (Right to Buy) A - Award D 9.24 487,500 487,500
2016-09-22 2016-09-12 4/A Obut Tina S HK Employee Stock Option (Right to Buy) A - Award D 9.24 75,000 75,000
2016-09-22 2016-09-12 4/A Rinando Joseph S III HK Employee Stock Option (Right to Buy) A - Award D 9.24 125,000 125,000
2016-09-22 2016-09-12 4/A Wright Jon C. HK Employee Stock Option (Right to Buy) A - Award D 9.24 400,000 400,000
2016-09-22 2016-09-12 4/A WILSON FLOYD C HK Employee Stock Option (Right to Buy) A - Award D 9.24 1,837,500 1,837,500
2016-09-21 2016-09-19 4 CHRISTMAS JAMES W HK Common Stock A - Award D 17,264 22,637
2016-09-21 2016-09-19 4 FULLER THOMAS R HK Common Stock A - Award D 17,264 19,418
2016-09-21 2016-09-19 4 Campbell William Jefferson HK Common Stock A - Award D 17,264 17,264
2016-09-21 2016-09-19 4 ARES MANAGEMENT LLC HK Common Stock, $0.0001 par value A - Award D 34,528 34,528
2016-09-21 2016-09-19 4 SCOTT RONALD D. HK Common Stock A - Award D 17,264 17,264
2016-09-21 2016-09-19 4 CLARK MICHAEL LAURENCE HK Common Stock A - Award D 17,264 17,264
2016-09-21 2016-09-19 4 TAKAHA ERIC G. HK Common Stock A - Award D 17,264 17,264
2016-09-19 3 Chedraoui Tony See footnotes HK Common Stock I 15,802,036
2016-09-19 3 Chedraoui Tony See footnotes HK Common Stock I 9,932,441
2016-09-19 3 Chedraoui Tony See footnotes HK Common Stock I 15,802,036
2016-09-19 3 Chedraoui Tony See footnotes HK Common Stock I 9,932,441
2016-09-19 3 Chedraoui Tony See footnotes HK Common Stock I 9,932,441
2016-09-19 3 Chedraoui Tony See footnotes HK Common Stock I 15,802,036
2016-09-13 2016-09-12 4 BRIDWELL TUCKER S By FLP HK Common Stock J - Other I 589 589
2016-09-13 2016-09-12 4 BRIDWELL TUCKER S By Mansefeldt Hawk Partners HK Common Stock J - Other I 1,178 1,178
2016-09-13 2016-09-12 4 BRIDWELL TUCKER S HK Common Stock J - Other D 2,091 2,091
2016-09-13 2016-09-09 4 BRIDWELL TUCKER S By FLP HK Common Stock J - Other I -20,000 0
2016-09-13 2016-09-09 4 BRIDWELL TUCKER S By Mansefeldt Hawk Partners HK Common Stock J - Other I -40,000 0
2016-09-13 2016-09-09 4 BRIDWELL TUCKER S HK Common Stock J - Other D -71,000 0
2016-09-13 2016-09-12 4 FULLER THOMAS R HK Common Stock J - Other D 2,154 2,154
2016-09-13 2016-09-09 4 FULLER THOMAS R HK Common Stock J - Other D -73,127 0
2016-09-13 2016-09-12 4 CHRISTMAS JAMES W By IRA HK Common Stock J - Other I 1,767 1,767
2016-09-13 2016-09-12 4 CHRISTMAS JAMES W HK Common Stock J - Other D 5,373 5,373
2016-09-13 2016-09-09 4 CHRISTMAS JAMES W HK 5.75% Series A Preferred Stock J - Other D -2,000 0
2016-09-13 2016-09-09 4 CHRISTMAS JAMES W By IRA HK Common Stock J - Other I -60,000 0
2016-09-13 2016-09-09 4 CHRISTMAS JAMES W HK Common Stock J - Other D -182,428 0
2016-09-13 2016-09-12 4 HEROD STEPHEN W HK Employee Stock Option (Right to Buy) A - Award D 487,500 487,500
2016-09-13 2016-09-12 4 HEROD STEPHEN W By Trusts HK Common Stock J - Other I 2,749 2,749
2016-09-13 2016-09-12 4 HEROD STEPHEN W HK Common Stock A - Award D 243,750 246,415
2016-09-13 2016-09-12 4 HEROD STEPHEN W HK Common Stock J - Other D 2,665 2,665
2016-09-13 2016-09-09 4 HEROD STEPHEN W HK 5.75% Series A Preferred Stock J - Other D -150 0
2016-09-13 2016-09-09 4 HEROD STEPHEN W By Trusts HK Common Stock J - Other I -93,334 0
2016-09-13 2016-09-09 4 HEROD STEPHEN W HK Common Stock J - Other D -90,490 0
2016-09-13 2016-09-12 4 MILLER DAVID B By HALRES, LLC HK Common Stock J - Other I 3,600,000 3,600,000
2016-09-13 2016-09-12 4 MILLER DAVID B By EnCap Fund VIII HK Common Stock J - Other I 22,088 22,088
2016-09-13 2016-09-12 4 MILLER DAVID B HK Common Stock J - Other D 1,031 1,031
2016-09-13 2016-09-09 4 MILLER DAVID B By HALRES, LLC HK Warrants (right to buy) J - Other I 14.04 947,369 947,369
2016-09-13 2016-09-09 4 MILLER DAVID B By HALRES, LLC HK 8% Convertible Promissory Note J - Other I 0
2016-09-13 2016-09-09 4 MILLER DAVID B By HALRES, LLC HK Warrants (right to buy) J - Other I -36,666,667 0
2016-09-13 2016-09-09 4 MILLER DAVID B By HALRES, LLC HK Common Stock J - Other I -1 0
2016-09-13 2016-09-09 4 MILLER DAVID B By EnCap Fund VIII HK Common Stock J - Other I -750,000 0
2016-09-13 2016-09-09 4 MILLER DAVID B HK Common Stock J - Other D -35,000 0
2016-09-13 2016-09-12 4 Mize Mark HK Employee Stock Option (Right to Buy) A - Award D 487,500 487,500
2016-09-13 2016-09-12 4 Mize Mark HK Common Stock A - Award D 243,750 248,883
2016-09-13 2016-09-12 4 Mize Mark HK Common Stock J - Other D 5,133 5,133
2016-09-13 2016-09-09 4 Mize Mark HK 5.75% Series A Preferred Stock J - Other D -200 0
2016-09-13 2016-09-09 4 Mize Mark HK Common Stock J - Other D -174,294 0
2016-09-13 2016-09-12 4 Rinando Joseph S III HK Employee Stock Option (Right to Buy) A - Award D 125,000 125,000
2016-09-13 2016-09-12 4 Rinando Joseph S III HK Common Stock A - Award D 62,500 65,005
2016-09-13 2016-09-12 4 Rinando Joseph S III HK Common Stock J - Other D 2,505 2,505
2016-09-13 2016-09-09 4 Rinando Joseph S III HK Common Stock J - Other D -85,053 0
2016-09-13 2016-09-12 4 Obut Tina S HK Employee Stock Option (Right to Buy) A - Award D 75,000 75,000
2016-09-13 2016-09-12 4 Obut Tina S HK Common Stock A - Award D 37,500 41,256
2016-09-13 2016-09-12 4 Obut Tina S HK Common Stock J - Other D 3,756 3,756
2016-09-13 2016-09-09 4 Obut Tina S HK Common Stock J - Other D -127,526 0
2016-09-13 2016-09-12 4 Vlasic Michael Andrew HK Common Stock J - Other D 2,741 2,741
2016-09-13 2016-09-09 4 Vlasic Michael Andrew HK Common Stock J - Other D -93,081 0
2016-09-13 2016-09-12 4 Elkouri David S HK Employee Stock Option (Right to Buy) A - Award D 487,500 487,500
2016-09-13 2016-09-12 4 Elkouri David S By IRA HK Common Stock J - Other I 88 88
2016-09-13 2016-09-12 4 Elkouri David S By IRA HK Common Stock J - Other I 177 177
2016-09-13 2016-09-12 4 Elkouri David S HK Common Stock A - Award D 243,750 246,299
2016-09-13 2016-09-12 4 Elkouri David S HK Common Stock J - Other D 2,549 2,549
2016-09-13 2016-09-09 4 Elkouri David S HK 5.75% Series A Preferred Stock J - Other D -100 0
2016-09-13 2016-09-09 4 Elkouri David S By IRA HK Common Stock J - Other I -3,000 0
2016-09-13 2016-09-09 4 Elkouri David S By IRA HK Common Stock J - Other I -6,000 0
2016-09-13 2016-09-09 4 Elkouri David S HK Common Stock J - Other D -86,539 0
2016-09-13 2016-09-12 4 Welsh Mark A. IV HK Common Stock J - Other D 1,031 1,031
2016-09-13 2016-09-09 4 Welsh Mark A. IV HK Common Stock J - Other D -35,000 0
2016-09-13 2016-09-12 4 Kasparek Leah R. HK Employee Stock Option (Right to Buy) A - Award D 75,000 75,000
2016-09-13 2016-09-12 4 Kasparek Leah R. HK Common Stock A - Award D 37,500 39,581
2016-09-13 2016-09-12 4 Kasparek Leah R. HK Common Stock J - Other D 2,081 2,081
2016-09-13 2016-09-09 4 Kasparek Leah R. HK Common Stock J - Other D -70,642 0
2016-09-13 2016-09-12 4 Wright Jon C. HK Employee Stock Option (Right to Buy) A - Award D 400,000 400,000
2016-09-13 2016-09-12 4 Wright Jon C. HK Common Stock A - Award D 200,000 203,203
2016-09-13 2016-09-12 4 Wright Jon C. HK Common Stock J - Other D 3,203 3,203
2016-09-13 2016-09-09 4 Wright Jon C. HK Common Stock J - Other D -108,730 0
2016-09-13 2016-09-12 4 CANADA PENSION PLAN INVESTMENT BOARD HK Common Stock J - Other I 258,448 258,448
2016-09-13 2016-09-12 4 CANADA PENSION PLAN INVESTMENT BOARD HK Common Stock J - Other D 39,800 39,800
2016-09-13 2016-09-09 4 CANADA PENSION PLAN INVESTMENT BOARD HK Series A Convertible Preferred Stock J - Other D -40,000 0
2016-09-13 2016-09-09 4 CANADA PENSION PLAN INVESTMENT BOARD HK Common Stock J - Other I -8,775,513 0
2016-09-13 2016-09-09 4 CANADA PENSION PLAN INVESTMENT BOARD HK Common Stock J - Other D -1,351,437 0
2016-09-13 2016-09-09 4 ARES MANAGEMENT LLC See footnotes HK Warrants to Purchase Common Stock J - Other I 14.04 340,906 340,906
2016-09-13 2016-09-09 4 ARES MANAGEMENT LLC See footnotes HK Common Stock, $0.0001 par value J - Other I 17,981,822 17,981,822
2016-09-13 2016-09-12 4 HICKS QUENTIN R HK Employee Stock Option (Right to Buy) A - Award D 325,000 325,000
2016-09-13 2016-09-12 4 HICKS QUENTIN R HK Common Stock A - Award D 162,500 164,287
2016-09-13 2016-09-12 4 HICKS QUENTIN R HK Common Stock J - Other D 1,787 1,787
2016-09-13 2016-09-09 4 HICKS QUENTIN R HK Common Stock J - Other D -60,671 0
2016-09-13 2016-09-12 4 BROWN JOHN WAT /ADV By Adult Relative HK Common Stock J - Other I 82 82
2016-09-13 2016-09-12 4 BROWN JOHN WAT /ADV HK Common Stock J - Other D 627 627
2016-09-13 2016-09-09 4 BROWN JOHN WAT /ADV By Adult Relative HK Common Stock J - Other I -2,800 0
2016-09-13 2016-09-09 4 BROWN JOHN WAT /ADV HK Common Stock J - Other D -21,301 0
2016-09-13 2016-09-12 4 WILSON FLOYD C HK Employee Stock Option (Right to Buy) A - Award D 1,837,500 1,837,500
2016-09-13 2016-09-12 4 WILSON FLOYD C HK Common Stock J - Other D 4,292 4,292
2016-09-13 2016-09-12 4 WILSON FLOYD C By Spouse HK Common Stock J - Other I 4,292 4,292
2016-09-13 2016-09-12 4 WILSON FLOYD C By Trust HK Common Stock J - Other I 324 324
2016-09-13 2016-09-12 4 WILSON FLOYD C By Family Trusts HK Common Stock J - Other I 2,403 2,403
2016-09-13 2016-09-12 4 WILSON FLOYD C By Trusts HK Common Stock J - Other I 688 688
2016-09-13 2016-09-12 4 WILSON FLOYD C HK Common Stock A - Award D 918,750 953,802
2016-09-13 2016-09-12 4 WILSON FLOYD C HK Common Stock J - Other D 30,760 30,760
2016-09-13 2016-09-09 4 WILSON FLOYD C HK Warrants (Right to Buy) J - Other D 14.04 1,165 1,165
2016-09-13 2016-09-09 4 WILSON FLOYD C By Spouse HK Warrants (Right to Buy) J - Other I 14.04 1,165 1,165
2016-09-13 2016-09-09 4 WILSON FLOYD C HK 5.75% Series A Preferred Stock J - Other D -1,000 0
2016-09-13 2016-09-09 4 WILSON FLOYD C By Trust HK Common Stock J - Other I -11,000 0
2016-09-13 2016-09-09 4 WILSON FLOYD C By Family Trusts HK Common Stock J - Other I -81,600 0
2016-09-13 2016-09-09 4 WILSON FLOYD C By Trusts HK Common Stock J - Other I -23,361 0
2016-09-13 2016-09-09 4 WILSON FLOYD C HK Common Stock J - Other D -1,044,449 0
2016-06-13 3 Wright Jon C. HK Common Stock D 217,460
2016-06-13 3 Wright Jon C. HK Common Stock D 217,460
2016-06-13 3 HICKS QUENTIN R HK Common Stock D 121,342
2016-06-13 3 HICKS QUENTIN R HK Common Stock D 121,342
2016-03-14 3 BROWN JOHN WAT /ADV HK Common Stock D 45,402
2016-03-14 3 BROWN JOHN WAT /ADV HK Common Stock D 45,402
2016-03-14 3 BROWN JOHN WAT /ADV By Adult Relative HK Common Stock I 26,901
2016-03-14 3 BROWN JOHN WAT /ADV By Adult Relative HK Common Stock I 26,901
2016-03-14 2016-03-11 4 HELM LARRY L HK Common Stock F - Taxes D 1.1900 -936 -1 53,545
2016-03-14 2016-03-11 4 HELM LARRY L HK Common Stock F - Taxes D 1.1900 -6,323 -8 54,481
2016-03-03 2016-03-01 4 Cusack Charles E III HK Common Stock F - Taxes D 0.5500 -1,308 -1 185,156
2016-03-03 2016-03-01 4 Cusack Charles E III HK Common Stock F - Taxes D 0.5500 -7,153 -4 186,464
2016-03-01 2015-12-31 5 WILSON FLOYD C By Trust HK Common Stock G - Gift I 11,000 11,000
2016-03-01 2015-12-31 5 WILSON FLOYD C HK Common Stock G - Gift D -11,000 1,044,449
2016-03-01 3/A Obut Tina S HK Common Stock D 530
2016-03-01 2016-02-28 4 HELM LARRY L HK Common Stock F - Taxes D 0.4911 -1,494 -1 60,804
2016-03-01 2016-02-27 4 HELM LARRY L HK Common Stock F - Taxes D 0.4911 -936 -0 62,298
2016-03-01 2016-02-26 4 HELM LARRY L HK Common Stock F - Taxes D 0.4911 -3,161 -2 63,234
2016-03-01 2016-02-28 4 HEROD STEPHEN W HK Common Stock F - Taxes D 0.4911 -3,065 -2 90,490
2016-03-01 2016-02-27 4 HEROD STEPHEN W HK Common Stock F - Taxes D 0.4911 -1,921 -1 93,555
2016-03-01 2016-02-26 4 HEROD STEPHEN W HK Common Stock F - Taxes D 0.4911 -4,184 -2 95,476
2016-03-01 2016-02-28 4 Rinando Joseph S III HK Common Stock F - Taxes D 0.4911 -834 -0 85,053
2016-03-01 2016-02-27 4 Rinando Joseph S III HK Common Stock F - Taxes D 0.4911 -1,291 -1 85,887
2016-03-01 2016-02-28 4 Obut Tina S HK Common Stock F - Taxes D 0.4911 -802 -0 127,526
2016-03-01 2016-02-27 4 Obut Tina S HK Common Stock F - Taxes D 0.4911 -1,366 -1 128,328
2016-03-01 2016-02-28 4 Elkouri David S HK Common Stock F - Taxes D 0.4911 -1,494 -1 86,539
2016-03-01 2016-02-27 4 Elkouri David S HK Common Stock F - Taxes D 0.4911 -936 -0 88,033
2016-03-01 2016-02-26 4 Elkouri David S HK Common Stock F - Taxes D 0.4911 -3,295 -2 88,969
2016-03-01 2016-02-28 4 Cusack Charles E III HK Common Stock F - Taxes D 0.4911 -1,494 -1 193,617
2016-03-01 2016-02-27 4 Cusack Charles E III HK Common Stock F - Taxes D 0.4911 -1,308 -1 195,111
2016-03-01 2016-02-26 4 Cusack Charles E III HK Common Stock F - Taxes D 0.4911 -3,576 -2 196,419
2016-03-01 2016-02-28 4 Kasparek Leah R. HK Common Stock F - Taxes D 0.4911 -789 -0 70,642
2016-03-01 2016-02-27 4 Kasparek Leah R. HK Common Stock F - Taxes D 0.4911 -1,117 -1 71,431
2016-02-16 2015-12-02 5 Vlasic Michael Andrew By Michael A. Vlasic Revocable Trust HK Common Stock G - Gift I 19,440 93,081
2016-02-16 2015-12-02 5 Vlasic Michael Andrew HK Common Stock G - Gift D -19,440 0
2016-02-10 2015-06-01 5 CANADA PENSION PLAN INVESTMENT BOARD HK Common Stock J - Other D 497,503 1,351,437
2015-12-21 2015-12-18 4 WILSON FLOYD C HK Common Stock P - Purchase D 0.2610 500,000 130 5,277,244
2015-12-21 2015-12-18 4 Cusack Charles E III HK Common Stock P - Purchase D 0.2583 100,000 26 999,954
2015-12-21 2015-12-18 4 Elkouri David S HK Common Stock P - Purchase D 0.2567 100,000 26 461,306
2015-12-21 2015-12-07 4 Elkouri David S HK Series A Convertible Preferred Stock G - Gift D 6.16 1,000.0000 -100 -100 0
2015-12-21 2015-12-07 4 Elkouri David S HK Common Stock G - Gift D -45,000 361,306
2015-12-21 2015-12-18 4 Obut Tina S HK Common Stock P - Purchase D 0.2571 100,000 26 645,810
2015-12-21 2015-12-18 4 CHRISTMAS JAMES W By IRA HK Common Stock P - Purchase I 0.2594 200,000 52 300,000
2015-12-07 2015-12-03 4 Rinando Joseph S III HK Employee Stock Options (Right to buy) A - Award D 0.55 300,079 300,079
2015-12-07 2015-12-03 4 Rinando Joseph S III HK Common Stock A - Award D 152,500 435,880
2015-12-07 2015-12-03 4 Kasparek Leah R. HK Employee Stock Options (Right to buy) A - Award D 0.55 252,419 252,419
2015-12-07 2015-12-03 4 Kasparek Leah R. HK Common Stock A - Award D 128,280 362,720
2015-12-07 2015-12-03 4 Obut Tina S HK Employee Stock Options (Right to buy) A - Award D 0.55 300,079 300,079
2015-12-07 2015-12-03 4 Obut Tina S HK Common Stock A - Award D 152,500 545,810
2015-09-02 2015-09-01 4 Cusack Charles E III HK Common Stock P - Purchase D 1.0500 50,000 52 899,954
2015-06-01 2015-05-29 4 WILSON FLOYD C HK Common Stock P - Purchase D 1.0329 644,317 666 4,764,807
2015-06-01 2015-05-28 4 WILSON FLOYD C HK Common Stock P - Purchase D 1.0381 355,683 369 4,120,490
2015-05-20 2015-05-06 4/A CANADA PENSION PLAN INVESTMENT BOARD HK Common Stock A - Award D 97,200 6,259,683
2015-05-08 2015-05-06 4 BRIDWELL TUCKER S HK Common Stock A - Award D 97,200 355,000
2015-05-08 2015-05-06 4 CHRISTMAS JAMES W HK Common Stock A - Award D 97,200 887,255
2015-05-08 2015-05-06 4 FULLER THOMAS R HK Common Stock A - Award D 97,200 365,633
2015-05-08 2015-05-06 4 MILLER DAVID B HK 8% Convertible Promissory Note P - Purchase I 2.44 36,666,667
2015-05-08 2015-05-06 4 MILLER DAVID B HK Warrants (right to buy) P - Purchase I 2.44 36,666,667 36,666,667
2015-05-08 2015-05-06 4 MILLER DAVID B HK Common Stock A - Award D 97,200 175,000
2015-05-08 2012-02-08 4 MILLER DAVID B HK Warrants (right to buy) H - Other I 4.50 -36,666,667 0
2015-05-08 2012-02-08 4 MILLER DAVID B HK 8% Convertible Promissory Note H - Other I 4.50 0
2015-05-08 2015-05-06 4 Vlasic Michael Andrew HK Common Stock A - Award D 97,200 158,911
2015-05-08 2015-05-06 4 Welsh Mark A. IV HK Common Stock A - Award D 97,200 175,000
2015-05-08 2015-05-06 4 HALRES LLC HK Warrants (right to buy) P - Purchase D 2.44 36,666,667 36,666,667
2015-05-08 2015-05-06 4 HALRES LLC HK 8% Convertible Promissory Note P - Purchase D 2.44 36,666,667
2015-05-08 2012-02-08 4 HALRES LLC HK Warrants (right to buy) H - Other D 4.50 -36,666,667 0
2015-05-08 2012-02-08 4 HALRES LLC HK 8% Convertible Promissory Note H - Other D 4.50 0
2015-05-08 2015-05-06 4 CANADA PENSION PLAN INVESTMENT BOARD HK Common Stock A - Award D 97,200 6,259,683
2015-03-24 2015-03-02 4/A Cusack Charles E III HK Common Stock J - Other D 741 848,711
2015-03-24 2015-02-26 4/A Cusack Charles E III HK Common Stock A - Award D 164,319 847,970
2015-03-02 2015-03-02 4 Cusack Charles E III HK Common Stock J - Other D 741 845,284
2015-03-02 2015-02-26 4 Cusack Charles E III HK Employee Stock Options (Right to buy) A - Award D 1.97 385,463 385,463
2015-03-02 2015-02-26 4 Cusack Charles E III HK Common Stock A - Award D 164,319 844,543
2015-03-02 2015-03-02 4 Mize Mark HK Common Stock J - Other D 1,483 868,962
2015-03-02 2015-02-26 4 Mize Mark HK Employee Stock Options (Right to buy) A - Award D 1.97 447,137 447,137
2015-03-02 2015-02-26 4 Mize Mark HK Common Stock A - Award D 190,610 867,479
2015-03-02 2015-03-02 4 Elkouri David S HK Common Stock J - Other D 741 405,063
2015-03-02 2015-02-28 4 Elkouri David S HK Common Stock F - Taxes D 1.9200 -6,955 -13 404,322
2015-03-02 2015-02-27 4 Elkouri David S HK Common Stock F - Taxes D 1.9200 -4,682 -9 411,277
2015-03-02 2015-02-26 4 Elkouri David S HK Employee Stock Options (Right to buy) A - Award D 1.97 355,176 355,176
2015-03-02 2015-02-26 4 Elkouri David S HK Common Stock A - Award D 151,408 415,959
2015-03-02 2015-02-25 4 Elkouri David S HK Common Stock G - Gift D -50,000 264,551
2015-03-02 2015-02-28 4 HELM LARRY L HK Common Stock F - Taxes D 1.9200 -6,944 -13 331,970
2015-03-02 2015-02-27 4 HELM LARRY L HK Common Stock F - Taxes D 1.9200 -4,682 -9 338,914
2015-03-02 2015-02-26 4 HELM LARRY L HK Employee Stock Options (Right to buy) A - Award D 1.97 340,721 340,721
2015-03-02 2015-02-26 4 HELM LARRY L HK Common Stock A - Award D 145,246 343,596
2015-03-02 2015-03-02 4 HEROD STEPHEN W HK Common Stock J - Other D 1,112 496,425
2015-03-02 2015-02-28 4 HEROD STEPHEN W HK Common Stock F - Taxes D 1.9200 -12,520 -24 495,313
2015-03-02 2015-02-27 4 HEROD STEPHEN W HK Common Stock F - Taxes D 1.9200 -9,179 -18 507,833
2015-03-02 2015-02-26 4 HEROD STEPHEN W HK Employee Stock options (Right to buy) A - Award D 1.97 450,991 450,991
2015-03-02 2015-02-26 4 HEROD STEPHEN W HK Common Stock A - Award D 192,254 517,012
2015-03-02 2015-03-02 4 WILSON FLOYD C HK Common Stock J - Other D 7,415 3,764,807
2015-03-02 2015-02-26 4 WILSON FLOYD C HK Employee Stock Options (Right to buy) A - Award D 1.97 1,238,987 1,238,987
2015-03-02 2015-02-26 4 WILSON FLOYD C HK Common Stock A - Award D 528,169 3,757,392
2015-03-02 2015-02-04 4 WILSON FLOYD C By Family Trusts HK Common Stock G - Gift I 255,000 408,000
2015-03-02 2015-02-04 4 WILSON FLOYD C By Trusts HK Common Stock G - Gift I 45,000 116,805
2015-03-02 2015-02-04 4 WILSON FLOYD C HK Common Stock G - Gift D -300,000 3,229,223
2015-02-17 2014-12-15 5 Elkouri David S By Trust HK Common Stock G - Gift I 2,500 21,500
2015-02-17 2014-12-15 5 Elkouri David S HK Common Stock G - Gift D -23,000 314,551
2015-02-17 2014-11-26 5 Vlasic Michael Andrew By Michael A. Vlasic Revocable Trust HK Common Stock G - Gift I 28,300 306,492
2015-02-17 2014-11-26 5 Vlasic Michael Andrew HK Common Stock G - Gift D -28,300 61,711
2015-02-17 2014-11-02 5 WILSON FLOYD C By Family Trusts HK Common Stock G - Gift I 153,000 153,000
2015-02-17 2014-11-02 5 WILSON FLOYD C By Trusts HK Common Stock G - Gift I 13,500 71,805
2015-02-17 2014-11-02 5 WILSON FLOYD C HK Common Stock G - Gift D -166,500 3,529,223
2015-02-17 2014-04-21 5 WILSON FLOYD C By Trusts HK Common Stock G - Gift I 7,806 58,305
2015-02-17 2014-04-21 5 WILSON FLOYD C HK Common Stock G - Gift D -7,806 3,690,309
2015-02-12 2014-09-02 5 CANADA PENSION PLAN INVESTMENT BOARD HK Common Stock J - Other D 111,540 5,858,073
2015-02-12 2014-06-02 5 CANADA PENSION PLAN INVESTMENT BOARD HK Common Stock J - Other D 105,003 5,746,533
2014-12-10 2014-12-08 4 Rinando Joseph S III HK Employee Stock Options (Right to buy) A - Award D 1.57 248,300 248,300
2014-12-10 2014-12-08 4 Rinando Joseph S III HK Common Stock A - Award D 105,770 283,380
2014-12-10 2014-12-08 4 Obut Tina S HK Employee Stock Options (Right to buy) A - Award D 1.57 268,500 268,500
2014-12-10 2014-12-08 4 Obut Tina S HK Common Stock A - Award D 114,370 393,310
2014-12-10 2014-12-08 4 Kasparek Leah R. HK Employee Stock Options (Right to buy) A - Award D 1.57 192,100 192,100
2014-12-10 2014-12-08 4 Kasparek Leah R. HK Common Stock A - Award D 81,820 234,440
2014-12-08 2014-12-05 4 Rinando Joseph S III HK Common Stock P - Purchase D 1.7300 2,800 5 177,610
2014-12-08 2014-12-05 4 Rinando Joseph S III HK Common Stock P - Purchase D 1.7250 17,200 30 174,810
2014-12-08 2014-12-05 4 Obut Tina S HK Common Stock P - Purchase D 1.6500 18,500 31 278,940
2014-12-08 2014-12-05 4 Obut Tina S HK Common Stock P - Purchase D 1.6450 1,500 2 260,440
2014-12-08 2014-12-05 4 Elkouri David S HK Common Stock P - Purchase D 1.6700 50,000 84 337,551
2014-12-08 2014-12-05 4 Cusack Charles E III HK Common Stock P - Purchase D 1.6100 40,000 64 683,651
2014-12-01 2014-11-28 4 Cusack Charles E III HK Common Stock P - Purchase D 2.2990 20,000 46 643,651
2014-12-01 2014-11-28 4 Cusack Charles E III HK Common Stock P - Purchase D 2.6303 20,000 53 623,651
2014-11-12 2014-11-12 4 Cusack Charles E III HK Common Stock P - Purchase D 3.0300 30,000 91 603,651
2014-06-04 2014-06-03 4 Vlasic Michael Andrew By Michael A. Vlasic 2009 Annuity Trust f/b/o Thomas Joseph Vlasic HK Common Stock J - Other I 185,641 185,641
2014-06-04 2014-06-03 4 Vlasic Michael Andrew By Michael A. Vlasic 2009 Annuity Trust f/b/o Robert Thomas Vlasic HK Common Stock J - Other I 185,644 185,644
2014-06-04 2014-06-03 4 Vlasic Michael Andrew By Michael A. Vlasic 2009 Annuity Trust f/b/o Nina Marie Vlasic HK Common Stock J - Other I 185,644 275,655
2014-06-04 2014-06-03 4 Vlasic Michael Andrew By Michael A. Vlasic Revocable Trust HK Common Stock J - Other I 241,892 278,192
2014-06-04 2014-06-03 4 Vlasic Michael Andrew By VILLCo Energy, LLC HK Common Stock J - Other I -5,770,677 0
2014-05-27 2014-05-22 4 MILLER DAVID B HK Common Stock A - Award D 28,300 77,800
2014-05-27 2014-05-22 4 SMILEY STEPHEN P HK Common Stock A - Award D 28,300 28,300
2014-05-27 2014-05-22 4 IRISH JAMES L HK Common Stock A - Award D 28,300 77,800
2014-05-27 2014-05-22 4 FULLER THOMAS R HK Common Stock A - Award D 28,300 268,433
2014-05-27 2014-05-22 4 CHRISTMAS JAMES W HK Common Stock A - Award D 28,300 764,398
2014-05-27 2014-05-22 4 BRIDWELL TUCKER S HK Common Stock A - Award D 28,300 257,800
2014-05-27 2014-05-22 4 Vlasic Michael Andrew HK Common Stock A - Award D 28,300 90,011
2014-05-27 2014-05-22 4 Welsh Mark A. IV HK Common Stock A - Award D 28,300 77,800
2014-05-27 2014-05-22 4 Hunt David S. HK Common Stock A - Award D 28,300 325,100
2014-05-27 2014-05-22 4 CANADA PENSION PLAN INVESTMENT BOARD HK Common Stock A - Award D 28,300 5,641,530
2014-03-03 2014-02-27 4 HELM LARRY L HK Performance Share Units A - Award D 129,238 129,238
2014-03-03 2014-02-27 4 HELM LARRY L HK Common Stock A - Award D 43,023 198,350
2014-03-03 2014-02-27 4 HEROD STEPHEN W HK Performance Share Units A - Award D 265,120 265,120
2014-03-03 2014-02-27 4 HEROD STEPHEN W HK Common Stock A - Award D 88,257 323,341
2014-03-03 2014-02-27 4 Mize Mark HK Performance Share Units A - Award D 231,973 231,973
2014-03-03 2014-02-27 4 Mize Mark HK Common Stock A - Award D 77,222 674,979
2014-03-03 2014-02-27 4 Rinando Joseph S III HK Employee Stock Options (Right to buy) A - Award D 3.67 167,700 167,700
2014-03-03 2014-02-27 4 Rinando Joseph S III HK Common Stock A - Award D 70,840 157,610
2014-03-03 2014-02-27 4 Obut Tina S HK Employee Stock Options (Right to buy) A - Award D 3.67 177,400 177,400
2014-03-03 2014-02-27 4 Obut Tina S HK Common Stock A - Award D 74,930 258,940
2014-03-03 2014-02-27 4 Elkouri David S HK Performance Share Units A - Award D 129,238 129,238
2014-03-03 2014-02-27 4 Elkouri David S HK Common Stock A - Award D 43,023 286,607
2014-03-03 2014-02-27 4 Cusack Charles E III HK Performance Share Units A - Award D 180,368 180,368
2014-03-03 2014-02-27 4 Cusack Charles E III HK Common Stock A - Award D 60,123 572,707
2014-03-03 2014-02-27 4 Zuehlke Scott M. HK Employee Stock Options (Right to buy) A - Award D 3.67 90,200 90,200
2014-03-03 2014-02-27 4 Zuehlke Scott M. HK Common Stock A - Award D 38,080 96,251
2014-03-03 2014-02-27 4 Kasparek Leah R. HK Employee Stock Options (Right to buy) A - Award D 3.67 145,200 145,200
2014-03-03 2014-02-27 4 Kasparek Leah R. HK Common Stock A - Award D 61,310 152,620
2014-03-03 2014-02-28 4 Tippett David W. HK Common Stock F - Taxes D 3.8100 -2,297 -9 72,702
2014-03-03 2014-02-27 4 Tippett David W. HK Employee Stock Options (Right to buy) A - Award D 3.67 94,400 94,400
2014-03-03 2014-02-27 4 Tippett David W. HK Common Stock A - Award D 39,850 74,999
2014-03-03 2014-02-27 4 DiMichele Richard G. HK Employee Stock Options (Right to buy) A - Award D 3.67 149,600 149,600
2014-03-03 2014-02-27 4 DiMichele Richard G. HK Common Stock A - Award D 63,180 179,773
2014-03-03 2014-02-27 4 WILSON FLOYD C HK Performance Share Units A - Award D 668,203 668,203
2014-02-14 2013-11-25 5 SMILEY STEPHEN P By Smiley Family Trust HK Common Stock G - Gift I 29,000 66,166
2014-02-14 2013-11-25 5 SMILEY STEPHEN P HK Common Stock G - Gift D -29,000 0
2014-02-14 2013-08-29 5 SMILEY STEPHEN P By Smiley Family Trust HK Common Stock G - Gift I 15,500 37,166
2014-02-14 2013-08-29 5 SMILEY STEPHEN P HK Common Stock G - Gift D -15,500 29,000
2014-02-14 2013-11-29 5 Vlasic Michael Andrew By Michael A. Vlasic Revocable Trust HK Common Stock G - Gift I 29,000 36,300
2014-02-14 2013-11-29 5 Vlasic Michael Andrew HK Common Stock G - Gift D -29,000 61,711
2014-02-14 2013-12-23 5 Elkouri David S By Trust HK Common Stock G - Gift I 2,000 19,000
2014-02-14 2013-12-23 5 Elkouri David S HK Common Stock G - Gift D -15,000 243,584
2014-02-07 2013-12-02 5 CANADA PENSION PLAN INVESTMENT BOARD HK Common Stock J - Other D 137,957 5,451,620
2014-02-07 2013-09-01 5 CANADA PENSION PLAN INVESTMENT BOARD HK Common Stock J - Other D 99,110 5,313,663
2013-12-10 2013-12-06 4 Hunt David S. HK Common Stock P - Purchase D 3.8200 10,000 38 296,800
2013-12-09 2013-12-05 4 WILSON FLOYD C HK Common Stock P - Purchase D 4.0000 23,200 93 3,694,075
2013-12-09 2013-12-05 4 WILSON FLOYD C HK Common Stock P - Purchase D 3.9950 76,800 307 3,670,875
2013-12-06 2013-12-05 4 Mize Mark HK Common Stock P - Purchase D 4.0000 39,829 159 597,757
2013-12-06 2013-12-05 4 Mize Mark HK Common Stock P - Purchase D 3.9900 10,171 41 557,928
2013-12-06 2013-12-05 4 Cusack Charles E III HK Common Stock P - Purchase D 4.0000 3,427 14 512,584
2013-12-06 2013-12-04 4 Cusack Charles E III HK Common Stock P - Purchase D 3.7900 36,573 139 509,157
2013-12-06 2013-12-05 4 Zuehlke Scott M. HK Common Stock P - Purchase D 3.9900 2,500 10 58,171
2013-12-05 2013-12-04 4 BRIDWELL TUCKER S By FLP HK Common Stock P - Purchase I 3.7999 10,000 38 100,000
2013-12-05 2013-12-04 4 Elkouri David S HK Common Stock P - Purchase D 3.7300 12,000 45 258,584
2013-12-05 2013-12-04 4 Elkouri David S HK Common Stock P - Purchase D 3.7200 13,000 48 246,584
2013-12-05 2013-10-21 4 Elkouri David S HK Common Stock G - Gift D -2,000 233,584
2013-11-25 2013-11-22 4 Obut Tina S HK Common Stock P - Purchase D 4.1099 5,000 21 184,010
2013-11-20 2013-11-19 4 Cusack Charles E III HK Common Stock P - Purchase D 4.2300 20,000 85 472,240
2013-11-12 2013-11-07 4 Cusack Charles E III HK Common Stock P - Purchase D 4.5500 20,000 91 452,240
2013-11-06 2013-11-06 4 Obut Tina S HK Common Stock P - Purchase D 4.6699 5,000 23 179,010
2013-11-06 2013-11-06 4 Cusack Charles E III HK Common Stock P - Purchase D 4.7500 20,000 95 432,240
2013-08-21 2013-08-21 4 Hunt David S. HK Common Stock P - Purchase D 4.7432 29,700 141 286,800
2013-08-21 2013-08-19 4 Hunt David S. HK Common Stock P - Purchase D 4.7184 20,300 96 257,100
2013-08-20 2013-08-20 4 Cusack Charles E III By Cusack Ranch Corporation HK Common Stock P - Purchase I 4.8800 20,000 98 23,334
2013-08-20 2013-08-20 4 Cusack Charles E III HK Common Stock P - Purchase D 4.8400 20,000 97 411,993
2013-08-12 2013-08-08 4 CANADA PENSION PLAN INVESTMENT BOARD HK Common Stock P - Purchase D 5.1000 5,185,553 26,446 5,214,553
2013-08-09 2013-08-08 4 FULLER THOMAS R HK Common Stock P - Purchase D 5.1000 40,000 204 240,133
2013-08-09 2013-08-08 4 CHRISTMAS JAMES W HK Common Stock P - Purchase D 5.1000 100,000 510 716,166
2013-08-09 2013-08-08 4 HELM LARRY L HK Common Stock P - Purchase D 5.1000 20,000 102 155,327
2013-08-09 2013-08-08 4 HEROD STEPHEN W HK Common Stock P - Purchase D 5.1000 25,000 127 234,196
2013-08-09 2013-08-08 4 Mize Mark HK Common Stock P - Purchase D 5.1000 50,000 255 546,573
2013-08-09 2013-08-08 4 Rinando Joseph S III HK Common Stock P - Purchase D 5.1000 10,000 51 86,770
2013-08-09 2013-08-08 4 Obut Tina S HK Common Stock P - Purchase D 5.2900 10,000 53 174,010
2013-08-09 2013-08-08 4 Elkouri David S HK Common Stock P - Purchase D 5.1000 20,000 102 234,993
2013-08-09 2013-08-08 4 Cusack Charles E III HK Common Stock P - Purchase D 5.1000 20,000 102 391,993
2013-08-09 2013-08-08 4 Kasparek Leah R. HK Common Stock P - Purchase D 5.1000 20,000 102 91,310
2013-08-09 2013-08-08 4 Hunt David S. HK Common Stock P - Purchase D 5.1000 200,000 1,020 236,800
2013-08-09 2013-08-08 4 WILSON FLOYD C HK Common Stock P - Purchase D 5.1000 100,000 510 3,588,150
2013-08-06 2013-08-02 4 Tippett David W. HK Common Stock F - Taxes D 6.0100 -911 -5 35,149
2013-06-17 2013-06-13 4 HEROD STEPHEN W HK Series A Convertible Preferred Stock P - Purchase D 6.16 1,000.0000 150 150 150
2013-06-17 2013-06-13 4 CHRISTMAS JAMES W HK Series A Convertible Preferred Stock P - Purchase D 6.16 1,000.0000 2,000 2,000 2,000
2013-06-17 2013-06-14 4 Mize Mark HK Common Stock P - Purchase D 5.5190 6,300 35 496,573
2013-06-17 2013-06-14 4 Mize Mark HK Common Stock P - Purchase D 5.5200 8,100 45 490,273
2013-06-17 2013-06-14 4 Mize Mark HK Common Stock P - Purchase D 5.5196 600 3 482,173
2013-06-17 2013-06-13 4 Mize Mark HK Series A Convertible Preferred Stock P - Purchase D 6.16 1,000.0000 200 200 200
2013-06-17 2013-06-13 4 Elkouri David S HK Series A Convertible Preferred Stock P - Purchase D 6.16 1,000.0000 100 100 100
2013-06-17 2013-06-13 4 Cusack Charles E III HK Series A Convertible Preferred Stock P - Purchase D 6.16 1,000.0000 100 100 100
2013-06-17 2013-06-14 4 CANADA PENSION PLAN INVESTMENT BOARD HK Common Stock P - Purchase I 5.4501 1,978,125 10,781 43,877,566
2013-06-17 2013-06-13 4 CANADA PENSION PLAN INVESTMENT BOARD HK Series A Convertible Preferred Stock P - Purchase D 1,000.0000 40,000 40,000 40,000
2013-06-17 2013-06-13 4 WILSON FLOYD C HK Series A Convertible Preferred Stock P - Purchase D 6.16 1,000.0000 1,000 1,000 1,000
2013-06-13 2013-06-13 4 Cusack Charles E III By LP HK Common Stock P - Purchase I 5.0480 200 1 20,000
2013-06-13 2013-06-13 4 Cusack Charles E III By LP HK Common Stock P - Purchase I 5.0450 431 2 19,800
2013-06-13 2013-06-13 4 Cusack Charles E III By LP HK Common Stock P - Purchase I 5.0500 19,369 98 19,369
2013-05-28 2013-05-23 4 CANADA PENSION PLAN INVESTMENT BOARD HK Common Stock A - Award D 29,000 36,800
2013-05-24 2013-05-23 4 BRIDWELL TUCKER S HK Common Stock A - Award D 29,000 229,500
2013-05-24 2013-05-23 4 CHRISTMAS JAMES W HK Common Stock A - Award D 29,000 616,166
2013-05-24 2013-05-23 4 FULLER THOMAS R HK Common Stock A - Award D 29,000 200,133
2013-05-24 2013-05-23 4 IRISH JAMES L HK Common Stock A - Award D 29,000 49,500
2013-05-24 2013-05-23 4 SMILEY STEPHEN P HK Common Stock A - Award D 29,000 44,500
2013-05-24 2013-05-23 4 MILLER DAVID B HK Common Stock A - Award D 29,000 49,500
2013-05-24 2013-05-23 4 Vlasic Michael Andrew HK Common Stock A - Award D 29,000 90,711
2013-05-24 2013-02-08 4 Vlasic Michael Andrew By Michael A. Vlasic Revocable Trust HK Common Stock G - Gift I 7,300 7,300
2013-05-24 2013-02-08 4 Vlasic Michael Andrew HK Common Stock G - Gift D -7,300 61,711
2013-05-24 2013-05-23 4 Welsh Mark A. IV HK Common Stock A - Award D 29,000 49,500
2013-05-24 2013-05-23 4 Hunt David S. HK Common Stock A - Award D 29,000 36,800
2013-03-04 3/A Cusack Charles E III By Cusack Ranch Corporation HK Common Stock I 3,334
2013-03-04 3/A HELM LARRY L HK Common Stock D 66,667
2013-03-04 2013-02-28 4 BRIDWELL TUCKER S HK Common Stock A - Award D 15,500 200,500
2013-03-04 3 HELM LARRY L HK Common Stock D 133,333
2013-03-04 2013-02-28 4 CHRISTMAS JAMES W HK Common Stock A - Award D 15,500 587,166
2013-03-04 2013-02-28 4 FULLER THOMAS R HK Common Stock A - Award D 15,500 171,133
2013-03-04 2013-02-28 4 IRISH JAMES L HK Common Stock A - Award D 15,500 20,500
2013-03-04 2013-02-28 4 MILLER DAVID B HK Common Stock A - Award D 15,500 20,500
2013-03-04 2013-02-28 4 SMILEY STEPHEN P HK Common Stock A - Award D 15,500 15,500
2013-03-04 2013-02-28 4 HEROD STEPHEN W HK Employee Stock Option (Right to buy) A - Award D 7.10 342,200 342,200
2013-03-04 2013-02-28 4 HEROD STEPHEN W HK Common Stock A - Award D 140,850 209,196
2013-03-04 2013-02-28 4 HELM LARRY L HK Employee Stock Option (Right to buy) A - Award D 7.10 166,800 166,800
2013-03-04 2013-02-28 4 HELM LARRY L HK Common Stock A - Award D 68,660 135,327
2013-03-04 2013-02-28 4 Mize Mark HK Employee Stock Option (Right to buy) A - Award D 7.10 299,500 299,500
2013-03-04 2013-02-28 4 Mize Mark HK Common Stock A - Award D 123,240 481,573
2013-03-04 2013-02-28 4 Rinando Joseph S III HK Employee Stock Option (Right to buy) A - Award D 7.10 111,200 111,200
2013-03-04 2013-02-28 4 Rinando Joseph S III HK Common Stock A - Award D 45,770 76,770
2013-03-04 3 Obut Tina S HK Common Stock D 120,000
2013-03-04 2013-02-28 4 Obut Tina S HK Employee Stock Option (Right to buy) A - Award D 7.10 106,900 106,900
2013-03-04 2013-02-28 4 Obut Tina S HK Common Stock A - Award D 44,010 164,010
2013-03-04 2013-02-28 4 Elkouri David S HK Employee Stock Options (Right to buy) A - Award D 7.10 166,800 166,800
2013-03-04 2013-02-28 4 Elkouri David S HK Common Stock A - Award D 68,660 214,993
2013-03-04 2013-02-28 4 Cusack Charles E III HK Employee Stock Options (Right to buy) A - Award D 7.10 166,800 166,800
2013-03-04 2013-02-28 4 Cusack Charles E III HK Common Stock A - Award D 68,660 371,993
2013-03-04 2013-02-28 4 Welsh Mark A. IV HK Common Stock A - Award D 15,500 20,500
2013-03-04 2013-02-28 4 Zuehlke Scott M. HK Employee Stock Option (Right to buy) A - Award D 7.10 81,300 81,300
2013-03-04 2013-02-28 4 Zuehlke Scott M. HK Common Stock A - Award D 33,450 55,671
2013-03-04 2013-02-28 4 Kasparek Leah R. HK Employee Stock Option (Right to buy) A - Award D 7.10 87,700 87,700
2013-03-04 2013-02-28 4 Kasparek Leah R. HK Common Stock A - Award D 43,310 71,310
2013-03-04 2013-02-28 4 Tippett David W. HK Employee Stock Option (Right to buy) A - Award D 7.10 63,300 63,300
2013-03-04 2013-02-28 4 Tippett David W. HK Common Stock A - Award D 26,060 36,060
2013-03-04 2013-02-28 4 DiMichele Richard G. HK Employee Stock Options (Right to buy) A - Award D 7.10 106,900 106,900
2013-03-04 2013-02-28 4 DiMichele Richard G. HK Common Stock A - Award D 44,010 116,593
2013-03-04 2013-02-28 4 WILSON FLOYD C HK Employee Stock Option (Right to buy) A - Award D 7.10 667,400 667,400
2013-03-04 2013-02-28 4 WILSON FLOYD C HK Common Stock A - Award D 274,650 3,488,150
2013-02-14 2012-09-30 5/A MILLER DAVID B HK 8% Convertible Promissory Note J - Other D 4.50
2013-02-13 2012-09-30 5 HALRES LLC HK 8% Convertible Promissory Note J - Other D 4.50
2013-02-13 2012-09-30 5 MILLER DAVID B HK 8% Convertible Promissory Note J - Other D 4.50
2013-02-12 2012-12-19 5 SMILEY STEPHEN P By Smiley Family Trust HK Common Stock G - Gift I 5,000 21,666
2013-02-12 2012-12-19 5 SMILEY STEPHEN P HK Common Stock G - Gift D -5,000 0
2013-02-12 2012-12-21 5 HEROD STEPHEN W By Trusts HK Common Stock G - Gift I 466,666 466,666
2013-02-12 2012-12-21 5 HEROD STEPHEN W HK Common Stock G - Gift D -466,666 68,346
2013-02-12 2012-12-26 5 Elkouri David S By Trust HK Common Stock G - Gift I 2,000 17,000
2013-02-12 2012-12-26 5 Elkouri David S HK Common Stock G - Gift D -12,000 146,333
2013-02-12 2012-12-19 5 WILSON FLOYD C By Trusts HK Common Stock G - Gift I 10,500 50,499
2013-02-12 2012-12-19 5 WILSON FLOYD C By Trust HK Common Stock G - Gift I 3,500 16,833
2013-02-12 2012-12-19 5 WILSON FLOYD C HK Common Stock G - Gift D -66,500 3,213,500
2013-02-12 2012-12-28 5 BRIDWELL TUCKER S By FLP HK Common Stock G - Gift I 50,000 90,000
2013-02-12 2012-12-28 5 BRIDWELL TUCKER S HK Common Stock G - Gift D -50,000 185,000
2013-02-12 2012-12-27 5 BRIDWELL TUCKER S HK Common Stock J - Other D 200,000 235,000
2013-02-12 2012-12-27 5 BRIDWELL TUCKER S HK Common Stock J - Other I -3,200,000 0
2013-01-23 2013-01-18 4 Petro-Hunt Holdings, LLC HK 8% Automatically Convertible Preferred Stock C - Conversion D -10,374 0
2013-01-23 2013-01-18 4 Petro-Hunt Holdings, LLC HK Common Stock C - Conversion D 103,741,278 103,741,278
2013-01-11 2012-12-06 4 CANADA PENSION PLAN INVESTMENT BOARD HK Common Stock A - Award D 7,800 7,800
2012-12-17 3 CANADA PENSION PLAN INVESTMENT BOARD HK Common Stock I 41,899,441
2012-12-17 3 CANADA PENSION PLAN INVESTMENT BOARD HK Common Stock D 41,899,441
2012-12-07 2012-12-06 4 Hunt David S. HK Common Stock A - Award D 7,800 7,800
2012-12-07 3 Hunt David S. HK No shares are beneficially owned D 0
2012-12-07 3 Godwin Kevin HK No shares are beneficially owned D 0
2012-11-15 2012-11-13 4 BRIDWELL TUCKER S HK Common Stock P - Purchase D 5.7410 20,000 115 35,000
2012-11-13 2012-11-09 4 FULLER THOMAS R HK Common Stock P - Purchase D 5.7644 17,300 100 155,633
2012-11-13 2012-11-09 4 BRIDWELL TUCKER S HK Common Stock P - Purchase D 5.7392 10,000 57 15,000
2012-11-13 2012-11-09 4 BRIDWELL TUCKER S By FLP HK Common Stock P - Purchase I 5.7392 20,000 115 40,000
2012-11-13 2012-11-09 4 CHRISTMAS JAMES W By IRA HK Common Stock P - Purchase I 5.7258 100,000 573 100,000
2012-11-13 2012-11-09 4 Elkouri David S By Trust HK Common Stock P - Purchase I 5.5499 5,000 28 15,000
2012-11-13 2012-11-09 4 Cusack Charles E III HK Common Stock P - Purchase D 5.5700 20,000 111 303,333
2012-11-13 2012-11-09 4 Zuehlke Scott M. HK Common Stock P - Purchase D 5.6300 2,055 12 22,221
2012-11-13 2012-11-12 4 Kasparek Leah R. HK Common Stock P - Purchase D 5.3500 4,667 25 28,000
2012-11-13 2012-11-09 4 WILSON FLOYD C HK Common Stock P - Purchase D 5.7133 175,000 1,000 3,280,000
2012-11-09 2012-11-08 4 HEROD STEPHEN W HK Employee Stock Option (Right to buy) A - Award D 5.48 225,000 225,000
2012-11-09 2012-11-08 4 Mize Mark HK Employee Stock Option (Right to buy) A - Award D 5.48 200,000 200,000
2012-11-09 2012-11-08 4 Rinando Joseph S III HK Employee Stock Option (Right to buy) A - Award D 5.48 100,000 100,000
2012-11-09 2012-11-08 4 Anderson Robert John HK Employee Stock Option (Right to buy) A - Award D 5.48 75,000 75,000
2012-11-09 2012-11-08 4 Elkouri David S HK Employee Stock Option (Right to buy) A - Award D 5.48 200,000 200,000
2012-11-09 3 Cusack Charles E III HK Common Stock D 273,333
2012-11-09 2012-11-08 4 Cusack Charles E III HK Employee Stock Option (Right to buy) A - Award D 5.48 35,000 35,000
2012-11-09 2012-11-08 4 Cusack Charles E III HK Common Stock A - Award D 10,000 283,333
2012-11-09 2012-11-08 4 Zuehlke Scott M. HK Employee Stock Option (Right to buy) A - Award D 5.48 40,000 40,000
2012-11-09 2012-11-08 4 Kasparek Leah R. HK Employee Stock Option (Right to buy) A - Award D 5.48 100,000 100,000
2012-11-09 2012-11-08 4 Tippett David W. HK Employee Stock Option (Right to buy) A - Award D 5.48 40,000 40,000
2012-11-09 2012-11-08 4 DiMichele Richard G. HK Employee Stock Option (Right to buy) A - Award D 5.48 75,000 75,000
2012-11-09 2012-11-08 4 WILSON FLOYD C HK Employee Stock Option (Right to buy) A - Award D 5.48 250,000 250,000
2012-09-19 2012-09-17 4 SMILEY STEPHEN P By Glendora Partners LLC HK Common Stock J - Other I 23,333 23,333
2012-09-19 2012-09-17 4 SMILEY STEPHEN P By Smiley Family Trust HK Common Stock J - Other I 16,666 16,666
2012-09-19 2012-09-17 4 HEROD STEPHEN W HK Common Stock J - Other D 466,666 535,012
2012-09-19 2012-09-17 4 IRISH JAMES L By The James L. Irish III Trust HK Common Stock J - Other I 66,666 66,666
2012-09-19 2012-09-17 4 FULLER THOMAS R HK Common Stock J - Other D 133,333 138,333
2012-09-19 2012-09-17 4 BRIDWELL TUCKER S HK Common Stock J - Other I 3,200,000 3,200,000
2012-09-19 2012-09-17 4 BRIDWELL TUCKER S HK Common Stock J - Other I 200,000 200,000
2012-09-19 2012-09-17 4 CHRISTMAS JAMES W HK Common Stock J - Other D 466,667 571,667
2012-09-19 2012-09-18 4 MILLER DAVID B See Footnotes 5 and 6 HK Common Stock S - Sale I 7.0000 -40,250,000 -281,750 3,750,000
2012-09-19 2012-09-17 4 MILLER DAVID B See Footnotes 3 and 6 HK Common Stock J - Other I -73,333,332 2
2012-09-19 2012-06-30 4 MILLER DAVID B HK 8% Convertible Promissory Note J - Other D 4.50
2012-09-19 2012-03-31 4 MILLER DAVID B HK 8% Convertible Promissory Note J - Other D 4.50
2012-09-19 2012-09-17 4 Mize Mark HK Common Stock J - Other D 333,333 358,333
2012-09-19 2012-09-17 4 Anderson Robert John HK Common Stock J - Other D 13,333 277,731
2012-09-19 2012-09-17 4 Elkouri David S HK Common Stock J - Other D 133,333 158,333
2012-09-19 2012-09-18 4 EnCap Energy Capital Fund VIII, L.P. HK Common Stock S - Sale D 7.0000 -40,250,000 -281,750 3,750,000
2012-09-19 2012-09-17 4 HALRES LLC HK Common Stock J - Other D -73,333,332 2
2012-09-19 2012-06-30 4 HALRES LLC HK 8% Convertible Promissory Note J - Other D 4.50
2012-09-19 2012-03-31 4 HALRES LLC HK 8% Convertible Promissory Note J - Other D 4.50
2012-09-19 2012-09-17 4 Zuehlke Scott M. HK Common Stock J - Other D 6,666 20,166
2012-09-19 2012-09-17 4 Brown Jason E. By LongBow Energy LLC HK Common Stock J - Other I 100,000 100,000
2012-09-19 2012-09-17 4 Wright Jon C. HK Common Stock J - Other D 13,333 26,917
2012-09-19 2012-09-17 4 Kasparek Leah R. HK Commom Stock J - Other D 13,333 23,333
2012-09-19 2012-09-17 4 Brook Mary Ellen HK Common Stock J - Other D 26,666 36,666
2012-09-19 2012-09-17 4 DiMichele Richard G. HK Common Stock J - Other D 53,333 72,583
2012-09-19 2012-09-17 4 WILSON FLOYD C HK Common Stock J - Other D 3,079,999 3,114,999
2012-09-13 2012-09-13 4 CHRISTMAS JAMES W HK Common Stock P - Purchase D 7.2400 100,000 724 105,000
2012-08-13 2012-08-10 4 Zuehlke Scott M. By Spousal IRA HK Common Stock P - Purchase I 7.4900 1,550 12 1,550
2012-08-13 2012-08-10 4 Zuehlke Scott M. By IRA HK Common Stock P - Purchase I 7.4900 620 5 620
2012-08-13 2012-08-10 4 Zuehlke Scott M. HK Common Stock P - Purchase D 7.4900 3,500 26 13,500
2012-08-06 2012-08-03 4 HEROD STEPHEN W HK Common Stock P - Purchase D 6.8900 43,346 299 68,346
2012-08-06 2012-08-06 4 BRIDWELL TUCKER S By FLP HK Common Stock P - Purchase I 7.3531 20,000 147 20,000
2012-08-06 2012-08-03 4 Rinando Joseph S III HK Common Stock P - Purchase D 6.7737 10,000 68 21,000
2012-08-06 2012-08-02 4 Anderson Robert John HK Employee Stock Option (Right to buy) A - Award D 6.92 75,000 75,000
2012-08-06 2012-08-02 4 Anderson Robert John HK Common Stock A - Award D 25,000 264,398
2012-08-06 2012-08-02 4 Vlasic Michael Andrew HK Common Stock A - Award D 7,300 69,011
2012-08-06 2012-08-03 4 Elkouri David S By IRA HK Common Stock P - Purchase I 6.8059 15,000 102 45,000
2012-08-06 2012-08-03 4 Elkouri David S By IRA HK Common Stock P - Purchase I 6.8073 15,000 102 30,000
2012-08-06 2012-08-02 4 Tippett David W. HK Employee Stock Option ( Right to buy) A - Award D 6.92 25,000 25,000
2012-08-06 2012-08-02 4 Tippett David W. HK Common Stock A - Award D 10,000 10,000
2012-08-06 2012-08-02 4 Wright Jon C. HK Employee Stock Option (Right to buy) A - Award D 6.92 35,000 35,000
2012-08-06 2012-08-02 4 Wright Jon C. HK Common Stock A - Award D 10,000 13,584
2012-08-06 2012-08-02 4 DiMichele Richard G. HK Employee Stock Option (Right to buy) A - Award D 6.92 50,000 50,000
2012-08-06 2012-08-02 4 DiMichele Richard G. HK Common Stock A - Award D 10,000 19,250
2012-08-06 2012-08-02 4 Stubbs James M. HK Employee Stock Option (Right to buy) A - Award D 6.92 35,000 35,000
2012-08-06 2012-08-02 4 Stubbs James M. HK Common Stock A - Award D 10,000 10,000
2012-08-06 3 DiMichele Richard G. HK Common Stock D 9,250
2012-08-03 3/A Vlasic Michael Andrew HK No securities are beneficially owned D 0
2012-08-03 3 Anderson Robert John HK Common Stock D 834
2012-08-03 2012-08-01 4 Anderson Robert John HK Common Stock A - Award D 238,564 239,398
2012-08-03 3 Vlasic Michael Andrew HK No securities are beneficially owned D 0
2012-08-03 2012-08-01 4 Vlasic Michael Andrew By GRAT HK Common Stock A - Award I 556,927 556,927
2012-08-03 2012-08-01 4 Vlasic Michael Andrew By VILLCo Energy, L.L.C. HK Common Stock A - Award I 5,770,677 5,770,677
2012-08-03 2012-08-01 4 Vlasic Michael Andrew HK Common Stock A - Award D 61,711 61,711
2012-06-11 2012-06-07 4 BRIDWELL TUCKER S HK Common Stock A - Award D 5,000 5,000
2012-06-11 2012-06-07 4 CHRISTMAS JAMES W HK Common Stock A - Award D 5,000 5,000
2012-06-11 2012-06-07 4 FULLER THOMAS R HK Common Stock A - Award D 5,000 5,000
2012-06-11 2012-06-07 4 MILLER DAVID B HK Common Stock A - Award D 5,000.0000 5,000 25,000 5,000
2012-06-11 2012-06-07 4 SMILEY STEPHEN P HK Common Stock A - Award D 5,000 5,000
2012-06-11 2012-06-07 4 IRISH JAMES L HK Common Stock A - Award D 5,000 5,000
2012-06-11 2012-06-07 4 HEROD STEPHEN W HK Employee Stock Option (Right to buy) A - Award D 10.13 100,000 100,000
2012-06-11 2012-06-07 4 HEROD STEPHEN W HK Common Stock A - Award D 25,000 25,000
2012-06-11 2012-06-07 4 Mize Mark HK Employee Stock Option (Right to buy) A - Award D 10.13 100,000 100,000
2012-06-11 2012-06-07 4 Mize Mark HK Common Stock A - Award D 25,000 25,000
2012-06-11 2012-06-07 4 Rinando Joseph S III HK Employee Stock Option (Right to buy) A - Award D 10.13 50,000 50,000
2012-06-11 2012-06-07 4 Rinando Joseph S III HK Common Stock A - Award D 10,000 11,000
2012-06-11 2012-06-07 4 Elkouri David S HK Employee Stock Option (Right to buy) A - Award D 10.13 75,000 75,000
2012-06-11 2012-06-07 4 Elkouri David S HK Common Stock A - Award D 25,000 25,000
2012-06-11 2012-06-07 4 Welsh Mark A. IV HK Common Stock A - Award D 5,000 5,000
2012-06-11 2012-06-07 4 Markham E. Murphy IV HK Common Stock A - Award D 5,000 5,000
2012-06-11 2012-06-07 4 Zuehlke Scott M. HK Employee Stock Option (Right to buy) A - Award D 10.13 27,500 27,500
2012-06-11 2012-06-07 4 Zuehlke Scott M. HK Common Stock A - Award D 10,000 10,000
2012-06-11 2012-06-07 4 Brown Jason E. HK Employee Stock Option (Right to buy) A - Award D 10.13 50,000 50,000
2012-06-11 2012-06-07 4 Brown Jason E. HK Common Stock A - Award D 10,000 10,000
2012-06-11 2012-06-07 4 Kasparek Leah R. HK Employee Stock Option (Right to buy) A - Award D 10.13 35,000 35,000
2012-06-11 2012-06-07 4 Kasparek Leah R. HK Common Stock A - Award D 10,000 10,000
2012-06-11 2012-06-07 4 Brook Mary Ellen HK Employee Stock Option (Right to buy) A - Award D 10.13 35,000 35,000
2012-06-11 2012-06-07 4 Brook Mary Ellen HK Common Stock A - Award D 10,000 10,000
2012-06-11 2012-06-07 4 WILSON FLOYD C HK Employee Stock Option (Right to buy) A - Award D 10.13 125,000 125,000
2012-06-11 2012-06-07 4 WILSON FLOYD C HK Common Stock A - Award D 35,000 35,000
2012-06-08 3 Elkouri David S By IRA HK Common Stock I 15,000
2012-06-08 3 Tippett David W. HK No shares are beneficially owned D 0
2012-06-08 3 Wright Jon C. HK Common Stock D 3,584
2012-06-08 3 Brook Mary Ellen HK No shares are beneficially owned D 0
2012-05-25 3 HEROD STEPHEN W HK No securities are beneficially owned D 0
2012-05-25 3 Rinando Joseph S III HK Common Stock D 1,000
2012-05-25 3 Zuehlke Scott M. HK No securities are beneficially owned D 0
2012-05-25 3 Kasparek Leah R. HK No shares are beneficially owned D 0
2012-05-25 3 Brown Jason E. HK No shares are beneficially owned D 0
2012-02-10 2012-02-08 4 MILLER DAVID B by Halcon Resources LLC HK Warrants (right to buy) A - Award I 1.50 110,000,000 110,000,000
2012-02-10 2012-02-08 4 MILLER DAVID B by Halcon Resources LLC HK 8% Convertible Promissory Note A - Award I 1.50
2012-02-10 2012-02-08 4 MILLER DAVID B by Halcon Resources LLC HK Common Stock A - Award I 1.2500 220,000,000 275,000 220,000,000
2012-02-10 2012-02-08 4 HALRES LLC HK Warrants (right to buy) A - Award D 1.50 110,000,000 110,000,000
2012-02-10 2012-02-08 4 HALRES LLC HK 8% Convertible Promissory Note A - Award D 1.50
2012-02-10 2012-02-08 4 HALRES LLC HK Common Stock A - Award D 1.2500 220,000,000 275,000 220,000,000
2012-01-04 2012-01-02 4 Austin George L RAM Stock Appreciation Rights M - Exercise D 1.73 -25,000 75,000
2012-01-04 2012-01-02 4 Austin George L RAM Common Stock D - Sale to Issuer D 3.1300 -25,000 -78 377,432
2012-01-04 2012-01-02 4 Austin George L RAM Common Stock M - Exercise D 1.7300 25,000 43 402,432
2012-01-04 2012-01-01 4 Austin George L RAM Common Stock F - Taxes D 3.1300 -25,540 -80 377,432
2012-01-04 2012-01-02 4 SMILEY DRAKE N RAM Stock Appreciation Rights M - Exercise D 1.73 -25,000 75,000
2012-01-04 2012-01-02 4 SMILEY DRAKE N RAM Common Stock D - Sale to Issuer D 3.1300 -25,000 -78 476,743
2012-01-04 2012-01-02 4 SMILEY DRAKE N RAM Common Stock M - Exercise D 1.7300 25,000 43 501,743
2012-01-04 2012-01-01 4 SMILEY DRAKE N RAM Common Stock F - Taxes D 3.1300 -28,817 -90 476,743
2012-01-04 2012-01-01 4 RAMPEY LARRY G RAM Common Stock F - Taxes D 3.1300 -21,289 -67 388,546
2012-01-04 2012-01-02 4 LEE LARRY E RAM Stock Appreciation Rights M - Exercise D 1.73 -50,000 150,000
2012-01-04 2012-01-02 4 LEE LARRY E RAM Common Stock D - Sale to Issuer D 3.1300 -50,000 -156 317,013
2012-01-04 2012-01-02 4 LEE LARRY E RAM Common Stock M - Exercise D 1.7300 50,000 86 367,013
2010-12-22 2010-12-20 4 FS PRIVATE INVESTMENTS III LLC RAME Common Stock J - Other D 85,456 85,456
2010-12-22 2010-12-20 4 FS PRIVATE INVESTMENTS III LLC RAME Common Stock J - Other I 169,536 169,536
2010-12-22 2010-12-20 4 FS PRIVATE INVESTMENTS III LLC RAME Common Stock J - Other D -160,703 0
2010-12-22 2010-12-20 4 FS PRIVATE INVESTMENTS III LLC RAME Common Stock J - Other D 160,703 160,703
2010-12-22 2010-12-20 4 FS PRIVATE INVESTMENTS III LLC RAME Common Stock J - Other I -167,470 0
2010-12-22 2010-12-20 4 FS PRIVATE INVESTMENTS III LLC RAME Common Stock J - Other I -1,278,078 0
2010-12-22 2010-12-20 4 FS PRIVATE INVESTMENTS III LLC RAME Common Stock J - Other I -388,677 0
2008-05-14 2008-05-12 4 FS PRIVATE INVESTMENTS III LLC RAME Warrants to Purchase Common Stock X - Other I 5.00 -41,560 0
2008-05-14 2008-05-12 4 FS PRIVATE INVESTMENTS III LLC RAME Warrants to Purchase Common Stock X - Other I 5.00 -317,174 41,560
2008-05-14 2008-05-12 4 FS PRIVATE INVESTMENTS III LLC RAME Warrants to Purchase Common Stock X - Other I 5.00 -96,456 358,734
2008-05-14 2008-05-12 4 FS PRIVATE INVESTMENTS III LLC RAME Common Stock X - Other I 5.0000 41,560 208 1,834,225
2008-05-14 2008-05-12 4 FS PRIVATE INVESTMENTS III LLC RAME Common Stock X - Other I 5.0000 317,174 1,586 1,792,665
2008-05-14 2008-05-12 4 FS PRIVATE INVESTMENTS III LLC RAME Common Stock X - Other I 5.0000 96,456 482 1,475,491
2007-12-11 3 ING BARINGS US LEVERAGED EQUITY PLAN LLC RAME Common Stock I 1,379,035
2007-12-10 3 Jefferies High Yield Holdings, LLC RAME Common Stock I 12,348,636
2007-12-10 3 Jefferies High Yield Holdings, LLC RAME Common Stock D 1,449,399
P
공개 시장에서 또는 사적으로 비파생증권 또는 파생증권 매입
S
공개 시장에서 또는 사적으로 비파생증권 또는 파생증권 매각
A
자사로부터 유가증권(옵션 등)을 보조, 지급 또는 기타 취득
C
파생상품 전환
D
자사에게 유가증권을 매각 또는 양도
F
기업으로부터 인도 받은 유가증권의 일부를 사용한 행사 가격 또는 조세 채무의 지급
G
내부자에 의한 또는 내부자에게 증권 증여
K
지분스왑 및 유사 위험 회피거래
M
자사로부터 인도 받은 파생증권(옵션 등)의 행사 또는 전환
V
보고서 양식 4에 자진 신고된 거래
J
기타 (거래 내용을 설명하는 각주와 동반)
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