SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol HALLADOR ENERGY CO [ HNRG ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 11/25/2015 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 11/25/2015 | S | 86,755 | D | $6.74 | 0(1) | I | By Hallador Special Holdings, LLC | ||
Common Stock | 03/28/2016 | W | 139,089 | A | $0.00 | 138,339(2) | D | |||
Common Stock | 04/29/2016 | J | 1,422,101 | D | $4.67 | 0(3) | I | By Hallador Alternative Assets Fund, LLC | ||
Common Stock | 04/29/2016 | J | 1,422,101 | A | $4.67 | 1,422,101(3) | I | By NextG Partners, LLC |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. NextG Partners, LLC, ("NextG") an entity of which the reporting person owns 38% of the membership interests, sold its membership interests in Hallador Special Holdings, LLC back to Hallador Special Holdings, LLC on November 25, 2015; therefore, the reporting person no longer indirectly beneficially owned HNRG shares held by Hallador Special Holdings effective November 25, 2015. |
2. Since the reporting person's last Form 4 filing on April 4, 2014, 138,339 shares of HNRG's stock were distributed to the reporting person from the Robert Hardie QTIP Trust on March 28, 2016, prior to the dissolution of that Trust on March 31, 2016. The reporting person had been a 25% beneficiary of that Trust, and had claimed indirect beneficial ownership of the HNRG shares held by that Trust. |
3. he reporting person was a manager of Hallador Management, LLC, the manager of Hallador Alternative Assets Fund, LLC ("HAAF"). The reporting person was also a member of HAAF. The reporting person previously reported beneficial ownership of all shares held by HAAF. The shares indicated in this transaction represent the reporting person's pro-rata interest in HAAF. On April 29, 2016, HAAF transferred these shares to NextG. Following this transaction, the reporting person no longer indirectly beneficially owned these shares through HAAF, and instead indirectly beneficially owned these shares through NextG. |
/s/ Steven Hardie | 06/30/2017 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |