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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 | ||||||||
Founder's Warrants (right to buy) | $ 7.5 | 09/25/2009 | D | 46,000 | (3) | (3) | Common Stock, par value $0.0001 per share | 46,000 | (3) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CUNNINGHAM WILLIAM H DR P.O. BOX E AUSTIN, TX 78713 |
X |
/s/ Joseph B. Armes, on behalf of William H. Cunningham as Attorney-in-Fact. | 09/25/2009 | |
**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) | Cancelled 36,675 shares of Common Stock of Hicks Acquisition Company I, Inc. (the "Issuer") in connection with the transaction (the "Acquisition") contemplated by that certain Purchase and IPO Reorganization Agreement (the "Purchase Agreement"), dated as of August 2, 2009, as amended on September 9, 2009 by a certain letter agreement, by and among the Issuer, Resolute Energy Corporation ("Resolute Energy"), Resolute Subsidiary Corporation, Resolute Aneth, LLC, Resolute Holdings, LLC, Resolute Holdings Sub, LLC, and HH-HACI, L.P. |
(2) | Disposed of 32,325 shares of Issuer Common Stock in exchange for 23,000 shares of Resolute Energy Common Stock, par value $0.0001 per share, and 9,325 shares of Resolute Energy Common Stock subject to forfeiture unless at any time prior to five years from the closing of the Acquisition, either (a) the closing sale price of the Resolute Energy Common Stock exceeds $15.00 per share for 20 trading days in any 30 trading day period beginning 90 days after the closing of the Acquisition, or (b) a change in control event occurs in which Resolute Energy Common Stock is valued at greater than $15.00 per share, all in connection with the Acquisition contemplated by the Purchase Agreement. |
(3) | Disposed of 46,000 Founder's Warrants of the Issuer in exchange for 46,000 warrants to purchase 46,000 shares of Resolute Energy Common Stock at an exercise price of $13.00 per share, which will expire within five years after the closing of the Acquisition, in connection with the Acquisition contemplated by the Purchase Agreement. |