Initial Statement of Beneficial Ownership (3)
May 09 2017 - 6:12AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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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
*
Wilks Brothers, LLC
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2. Date of Event Requiring Statement (MM/DD/YYYY)
5/5/2017
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3. Issuer Name
and
Ticker or Trading Symbol
CARBO CERAMICS INC [CRR]
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(Last)
(First)
(Middle)
17010 IH 20
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
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X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
CISCO, TX 76437
(City)
(State)
(Zip)
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5. 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
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X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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1571750
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D
(1)
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Common Stock
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1250143
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D
(2)
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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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Warrant
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(3)
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12/31/2022
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Common Stock
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271414
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$14.91
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D
(1)
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Explanation of Responses:
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(1)
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These shares are owned directly by Wilks Brothers, LLC.
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(2)
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These shares are owned directly by Dan H. Wilks and Staci Wilks.
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(3)
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On March 2, 2017, in connection with entry into a credit agreement, the Issuer issued a Warrant (the "Warrant") to Wilks Brothers, LLC. Subject to the terms of the Warrant, the Warrant entitles the holder thereof to purchase up to 523,022 shares of the Common Stock, at an exercise price of $14.91 per share, payable in cash. Until receipt of stockholder approval, the holder of the Warrant shall not be entitled to exercise the Warrant to the extent that the number of shares of Common Stock to be purchased upon such exercise, plus the number of shares of Common Stock purchased on any prior exercise of the Warrant, exceeds 271,414 shares of Common Stock.
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Remarks:
This Form 3 is also being filed by (i) Dan H. Wilks, in his capacity as a managing member of Wilks Brothers, LLC (ii) Farris Wilks, in his capacity as a managing member of Wilks Brothers, LLC and (iii) Staci Wilks. Dan H. Wilks and Staci Wilks are husband and wife and Dan H. Wilks and Farris Wilks are brothers. Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 3 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 3.
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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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Wilks Brothers, LLC
17010 IH 20
CISCO, TX 76437
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X
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Wilks Dan H.
17010 IH 20
CISCO, TX 76437
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X
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Wilks Staci
17010 IH 20
CISCO, TX 76437
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X
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Wilks Farris
17010 IH 20
CISCO, TX 76437
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X
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Signatures
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Dan H. Wilks, By: /s/ Morgan D Neff, Morgan D Neff, as Attorney-in-Fact
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5/8/2017
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**
Signature of Reporting Person
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Date
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Staci Wilks, By: /s/ Morgan D Neff, Morgan D Neff, as Attorney-in-Fact
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5/8/2017
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**
Signature of Reporting Person
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Date
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Farris Wilks, By: /s/ Morgan D Neff, Morgan D Neff, as Attorney-in-Fact
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5/8/2017
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**
Signature of Reporting Person
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Date
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WILKS BROTHERS, LLC, By: /s/ Morgan D Neff, Name: Morgan D Neff, Title: Attorney-in-Fact
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5/8/2017
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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 5(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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