- Statement of Changes in Beneficial Ownership (4)
03 Février 2012 - 5:45PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
HH-HACII GP, LLC
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2. Issuer Name
and
Ticker or Trading Symbol
Hicks Acquisition CO II, Inc.
[
HKAC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
100 CRESCENT COURT, SUITE 1200
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/1/2012
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(Street)
DALLAS, TX 75201
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $0.0001 per share
(4)
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2/1/2012
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S
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8571
(1)
(2)
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D
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$0.0047
(4)
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1688573
(1)
(2)
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D
(3)
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Common Stock, par value $0.0001 per share (Earnout Shares)
(5)
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2/1/2012
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S
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2143
(1)
(2)
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D
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$0.0047
(5)
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422142
(1)
(2)
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D
(3)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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The filing of this Form 4 shall not be construed as an admission that either Thomas O. Hicks (the "Principal"), who is the sole member of HH-HACII GP, LLC, or HH-HACII GP, LLC, which is the general partner of HH-HACII, L.P., is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, the beneficial owner of any of the Common Stock (as defined in Footnote 4) or Earnout Shares (as defined in Footnote 5) owned by HH-HACII, L.P.
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(
2)
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Pursuant to Rule 16a-1, each of the Principal and HH-HACII GP, LLC disclaims any beneficial ownership of these securities except to the extent of their respective pecuniary interests.
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(
3)
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HH-HACII GP, LLC, which is the general partner of HH-HACII, L.P., controls the voting and disposition of securities held by HH-HACII, L.P. The Principal reports the securities held indirectly by HH-HACII GP, LLC because, as the sole member of HH-HACII GP, LLC, the Principal controls the disposition and voting of these securities.
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(
4)
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HH-HACII, L.P. sold 8,571 shares of common stock, par value 0.0001 per share ("Common Stock"), of Hicks Acquisition Company II, Inc. (the "Issuer") to James C. Musselman in a private transaction.
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(
5)
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HH-HACII, L.P. sold 2,143 shares of common stock, par value 0.0001 per share, of the Issuer, subject to forfeiture by James C. Musselman in the event that the last sales price of the Issuer's common stock does not equal or exceed $12.00 per share (as adjusted for stock splits, stock dividends, reorganizations, recapitalizations and the like) for any 20 trading days within any 30-trading day period within 24 months following the closing of the Issuer's initial business combination as described in the Issuer's registration statement on Form S-1, as amended (File Number 333-167809) filed with the Securities and Exchange Commission on October 8, 2010) ("Earnout Shares") to James C. Musselman in a private transaction
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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HH-HACII GP, LLC
100 CRESCENT COURT
SUITE 1200
DALLAS, TX 75201
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X
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X
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HH-HACII, L.P.
100 CRESCENT COURT
SUITE 1200
DALLAS, TX 75201
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X
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X
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HICKS THOMAS O
100 CRESCENT COURT
SUITE 1200
DALLAS, TX 75201
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X
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X
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Signatures
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/s/ Thomas O. Hicks, sole member of HH-HACII GP, LLC, general partner of HH-HACII, L.P.
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2/1/2012
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**
Signature of Reporting Person
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Date
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/s/ Thomas O. Hicks, sole member of HH-HACII GP, LLC
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2/1/2012
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**
Signature of Reporting Person
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Date
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/s/ Thomas O. Hicks
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2/1/2012
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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