Statement of Changes in Beneficial Ownership (4)
December 18 2020 - 4:26PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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1. Name and Address of Reporting Person
*
Martin Lawrence D |
2. Issuer Name and Ticker or Trading Symbol
HALLADOR ENERGY CO
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HNRG
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CFO |
(Last)
(First)
(Middle)
1183 CANVASBACK DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/16/2020 |
(Street)
TERRE HAUTE, IN 47802
(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)
_X
_ Form filed by One Reporting Person
___ 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 $.01 | 12/16/2020 | | M | | 37500 (1)(2) | A | $1.07 | 344895 | D | |
Common Stock, par value $.01 | 12/16/2020 | | F | | 16718 (3) | D | $1.07 | 328177 | D | |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 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 of Derivative Security: 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 |
Restricted Stock Units | (1)(2) | 12/16/2020 | | M | | | 37500 | (1)(2) | (1)(2) | Common Stock, par value $.01 | 37500 (1)(2) | (1)(2) | 37500 | D | |
Explanation of Responses: |
(1) | Represents Restricted Stock Units that vested on December 16, 2020. Each Restricted Stock Unit represents one share of Hallador Common Stock, par value $.01. Vested shares will be delivered to the reporting person pursuant to the terms of the Amended and Restated 2008 RSU Plan. |
(2) | Each Restricted Stock Unit represents a contingent right to receive one share of Hallador Energy Common Stock. Vested shares will be delivered to the reporting person pursuant to the terms of the Amended and Restated 2008 RSU Plan. |
(3) | Represents vested shares of common stock withheld by the Issuer to satisfy applicable payroll tax withholding. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Martin Lawrence D 1183 CANVASBACK DRIVE TERRE HAUTE, IN 47802 | X |
| CFO |
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Signatures
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LAWRENCE D. MARTIN | | 12/18/2020 |
**Signature of Reporting Person | Date |
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