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BATL Battalion Oil Corporation

6.66
-0.05 (-0.75%)
08 Nov 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Battalion Oil Corporation AMEX:BATL AMEX Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  -0.05 -0.75% 6.66 6.77 6.66 6.73 12,146 21:15:00

Statement of Changes in Beneficial Ownership (4)

24/08/2021 10:01pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Andrews Richard Kevin
2. Issuer Name and Ticker or Trading Symbol

BATTALION OIL CORP [ BATL ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
EVP, CFO and Treasurer
(Last)          (First)          (Middle)

1000 LOUISIANA ST, SUITE 6600
3. Date of Earliest Transaction (MM/DD/YYYY)

8/21/2021
(Street)

HOUSTON, TX 77002
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 8/21/2021  M  6641 A$0.00 6641 D  
Common Stock 8/21/2021  F  1617 (1)D$11.75 5024 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Unit  (2)8/21/2021  M     6641   (2) (2)Common Stock 6641 $0.00 19923 D  

Explanation of Responses:
(1) Shares withheld for taxes owed upon vesting of RSUs.
(2) The Reporting Person received an award of restricted stock units ("RSUs") granted on August 21, 2020. Each RSU represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in four equal annual installments beginning August 21, 2021.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Andrews Richard Kevin
1000 LOUISIANA ST
SUITE 6600
HOUSTON, TX 77002


EVP, CFO and Treasurer

Signatures
Walter R. Mayer, Attorney-in-fact8/24/2021
**Signature of Reporting PersonDate

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