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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrants (right to buy) (1) | $ 13 | 05/21/2012 | P(1) | 5,000 (1) | (1) | (1) | Common Stock, par value $0.0001 per share | 5,000 | $ 0.54 (1) (2) | 5,000 | D | ||||
Warrants (right to buy) (1) | $ 13 | 05/21/2012 | P(1) | 263 (1) | (1) | (1) | Common Stock, par value $0.0001 per share | 263 | $ 0.545 (1) | 5,263 | D | ||||
Warrants (right to buy) (1) | $ 13 | 05/21/2012 | P(1) | 38,500 (1) | (1) | (1) | Common Stock, par value $0.0001 per share | 38,500 | $ 0.58 (1) (3) | 43,763 | D | ||||
Warrants (right to buy) (1) | $ 13 | 05/21/2012 | P(1) | 40,237 (1) | (1) | (1) | Common Stock, par value $0.0001 per share | 40,237 | $ 0.6 (1) (4) | 84,000 | D | ||||
Founder's Warrants (right to buy) (5) | $ 13 | (5) | (5) | Common Stock, par value $0.0001 per share | 68,999 | 68,999 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hicks Thomas O Jr 100 CRESCENT COURT SUITE 1200 DALLAS, TX 75201 |
X |
/s/ Thomas O. Hicks, Jr. | 05/23/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The Reporting Person acquired public warrants ("Warrants") of Resolute Energy Corporation (the "Issuer"). Each Warrant entitles the holder to purchase one share of Common Stock of the Issuer (the "Common Stock") at a price of $13.00/share, subject to adjustment, at any time until September 25, 2014. However, Warrants will be exercisable only if a registration statement relating to the Common Stock issuable upon exercise of the warrants is effective and current. |
(2) | These Warrants were bought in multiple transactions, each at the price of $0.54 per Warrant. |
(3) | These Warrants were bought in multiple transactions, each at the price of $0.58 per Warrant. |
(4) | These Warrants were bought in multiple transactions, each at the price of $0.60 per Warrant. |
(5) | The Reporting Person current holds Founder's Warrants of the Issuer. Each Founder's Warrant entitles the holder to purchase one share of Common Stock at a price of $13.00/share, subject to adjustment, at any time until September 25, 2014. However, Founder's Warrants will be exercisable only if a registration statement relating to the Common Stock issuable upon exercise of the warrants is effective and current. Founder's Warrants will not be redeemable by the Issuer so long as they are held by Thomas O. Hicks, William H. Cunningham, William A. Montgomery, Brian Mulroney, William F. Quinn, Resolute Holdings Sub, LLC, or their permitted transferees. Founder's Warrants may be exercised at the option of the holder on a cashless basis. |