HALC / Halcon Resources Corporation NEW - Insider Trading and Ownership Report - SEC Form 3, 4, 5

Halcon 资源公司 新
US ˙ OTC
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内部人士股份195,835,998 shares
内部人士情绪分数

“内部人士情绪分数”用于查找被公司内部人士购入的公司。

它是一个复杂的多因素量化模型的结果，该模型能够辨识具有最高内部人士累积持有水平的公司。该评分模型结合了内部人士在过去90天内买入的净数量、总买入股份占流通股比例，以及内部人士拥有的总股份的指标。该分数的范围从0到100，数值越高表示相对于同行业而言具有更高程度的内部人士持股水平，50为平均值。

更新频率：每日

参阅“内部人士首选”，该清单呈现被内部人士购入最多的公司。

查阅“高排名股票”
高管情绪分数

“高管情绪分数”用于查找被公司管理层购入的公司。

根据定义，公司高管是公司内部人士，但与其他内部人士（10%的股东和董事会成员）不同，公司高管每天在公司工作，而且他们使用自己的资金进行交易。（10%的股东和董事会成员通常是基金经理，管理着其他人的资金。）因此，公司高管进行的内幕交易更为重要，应该被适当地重视和关注。

如同“内部人士情绪分数”，“高管情绪分数”也是一个复杂的多因素量化模型的计算结果，该模型能够辨识具有最高高管累积持有水平的公司。

更新频率：每日

参阅“内部人士首选”，该清单呈现被内部人士购入最多的公司。

查阅“高排名股票”
关键内部人士指标

此表格显示了公司在各种内部人士指标上的排名。百分位数排名显示了这家公司在美国市场与其他公司相比的表现。排名越高表明公司所处状况越好。

举例来说，一般认为内部人士的买入是一个积极的指标，因此具有更多内部人士买入的公司将排名高于那些内部人士买入较少（甚至有内部人士卖出）的公司。

内部人士买入净数（排名）

N/A

内部人士买入净数是过去90天内买入的内部人士总数减去卖出的内部人士总数。以百分位排名显示（范围从0到100%）。

内部人士买入占流通股比例（排名）

N/A

内部人士买入占流通股比例是内部人士在过去90天内买入的股份总数减去卖出的股份总数，除以总流通股数并乘以100。

内幕交易图表

以下图表显示了Halcon Resources Corporation NEW内部人士交易。内部人士包括公司的高管、董事或重要投资者。一般而言，基于内幕、非公开信息进行交易是非法的。这并不意味着他们在自己的公司进行任何交易都是非法的。但是，他们必须通过Form 4向美国证券交易委员会（SEC）报告所有交易。

内部人员名单及盈利指标

这张表格显示已知的内部人士名单，从向美国证券交易委员会（SEC）披露的申报文件中自动生成。除了姓名、当前职位和董事、高管或10%所有人的任命外，我们还提供了最新披露的持股信息。此外，我们尽可能提供内部人士的历史交易表现。历史交易表现是内部人士实际进行的公开市场买入交易表现的加权平均值。有关此计算方式的更多信息，请查看YouTube网络研讨会。

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内部人士 平均收益（%） 持股
数量		 分拆
调整

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跟踪内部人士买入记录 - 短期收益分析

在这一部分，我们分析了在 HALC / Halcon Resources Corporation NEW 中进行的每笔非计划的公开市场内部人士买入的盈利情况。这种分析有助于了解内部人士是否持续产生异常的回报，以及是否值得跟踪。该分析基于每笔交易后一年的情况， 结果仅为理论值。 .

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最高利润的
天数		 达到最高利润时的
价格		 最高
利润($)		 最高回报率（%）
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

经调整价格 已按拆股调整。 经调整股数 已按拆股调整。

HALC / Halcon Resources Corporation NEW Insider Trades
追踪内部人士卖出记录 - 短期亏损分析

在这一部分，我们分析了在 HALC / Halcon Resources Corporation NEW 中进行的每笔非计划的公开市场内部人士卖出所达成的短期亏损规避。如果存在持续的亏损规避模式，可能表明未来的内部人士卖出交易预示着价格的下跌。该分析基于每笔交易后一年的情况， 结果仅为理论值。 .

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最低利润的
天数		 达到最低利润时的
价格		 避免的
最高损失金额($)		 避免的
最高损失率($)
2021-12-07 Kasparek Leah R. 2 10.0200 2 10.0200 20 211 7.7800 -4 -22.20
2021-06-03 Germann Scott 2,438 12.5000 2,438 12.5000 30,475
2021-06-03 Germann Scott 1,801 12.5400 1,801 12.5400 22,585
2021-06-01 Germann Scott 553 13.1100 553 13.1100 7,250
2020-12-30 Kasparek Leah R. 43 7.9300 43 7.9300 341
2019-12-13 Elkouri David S 250 13.0000 250 13.0000 3,250
2019-08-23 ARES MANAGEMENT LLC 1,080,862 0.1000 1,080,862 0.1000 108,086
2019-08-22 ARES MANAGEMENT LLC 57,800 0.1000 57,800 0.1000 5,780
2019-08-21 ARES MANAGEMENT LLC 350,000 0.1000 350,000 0.1000 35,000

经调整价格 已按拆股调整。 经调整股数 已按拆股调整。

HALC / Halcon Resources Corporation NEW Insider Trades
交易历史记录

点击链接图标即可查看完整的交易历史记录。作为 10b5-1 自动交易计划的一部分进行报告的交易，将在标记为 10b-5 的列中显示 X。

备案
日期		 交易
日期		 表格 内部人士 股票代码 证券种类 代码 10b5-1 直接 执行
价格		 单位
价格		 股数
变化		 价值
变化 (1K)		 剩余
期权		 剩余
股份
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 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 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 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 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 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 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 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 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 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 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 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 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 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 HK Common Stock D 190
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 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 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
2016-09-19 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 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 By Spouse HK Common Stock J - Other I 4,292 4,292
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 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 By Adult Relative HK Common Stock I 26,901
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 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 8% Convertible Promissory Note H - Other I 4.50 0
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 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 8% Convertible Promissory Note P - Purchase D 2.44 36,666,667
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 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 D 41,899,441
2012-12-17 3 CANADA PENSION PLAN INVESTMENT BOARD HK Common Stock I 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 D 1,449,399
2007-12-10 3 Jefferies High Yield Holdings, LLC RAME Common Stock I 12,348,636
P
非衍生或衍生证券的公开市场或私下买入
S
非衍生或衍生证券的公开市场或私下卖出
A
公司向内部人员授予、奖励或以其他方式获取证券（例如股票期权）
C
衍生工具转换
D
将证券卖出或转让回公司
F
使用从公司收到的证券的一部分来支付行使价或税务负担。
G
内部人士赠送或接收他人赠送公司股票
K
股权掉期和类似的避险交易
M
行使或转换从公司获得的衍生证券（例如期权）
V
内部人士通过Form 4自愿报告的一笔交易
J
其他（附有交易描述的脚注）
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