UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Founders Warrants (right to buy) (3) | Â (3) | Â (3) | Common Stock, par value $0.0001 per share | 3,606,094 (1) | $ 13 | D (2) | Â |
Sponsor's Warrants (right to buy) (4) | Â (4) | Â (4) | Common Stock, par value $0.0001 per share | 4,666,667 (1) | $ 13 | D (2) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TOH Holdings, LP 100 CRESCENT COURT, SUITE 1200 DALLAS, TX 75201 |
 |  X |  |  |
TOH Holdings GenPar, LLC 100 CRESCENT COURT, SUITE 1200 DALLAS, TX 75201 |
 |  X |  |  |
/s/ Thomas O. Hicks, manager of TOH Holdings GenPar, LLC, general partner of TOH Holdings, LP | 01/09/2013 | |
**Signature of Reporting Person | Date | |
/s/ Thomas O. Hicks, manager of TOH Holdings GenPar, LLC | 01/09/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | The filing of this Form 3 shall not be construed as an admission that TOH Holdings GenPar, LLC ("TOH LLC"), the general partner of TOH Holdings, LP ("TOH LP"), 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 warrants exercisable to purchase shares of common stock, par value $0.0001 per share (the "Common Stock"), of Resolute Energy Corporation (the "Issuer"), owned by TOH LP. Pursuant to Rule 16a-1, TOH LLC disclaims beneficial ownership except to the extent of its pecuniary interests. |
(2) | TOH LLC controls the voting and disposition of securities held by TOH LP, of which TOH LLC is the general partner. TOH LLC has a pecuniary interest in securities held by TOH LP because TOH LLC holds a general partnership interest in TOH LP. |
(3) | TOH LP owns 3,606,094 Founder's Warrants, acquired in connection with a privately negotiated transaction, where Mr. Hicks, individually and as the sole member of a company, contributed 3,606,094 of the Founder's Warrants to TOH LP in exchange for equity interests in TOH LP. Each Founder's Warrant entitles the holder to purchase one share of Common Stock of the Issuer at a price of $13.00 per share, subject to adjustment, at any time until September 25, 2014. However, Founder's Warrants will be exercisable only if a registration statement relating to the Common Stock issuable upon exercise of the warrants is effective and current. |
(4) | TOH LP owns 4,666,667 Sponsor's Warrants, acquired in connection with a privately negotiated transaction, where Mr. Hicks contributed 4,666,667 of the Sponsor's Warrants to TOH LP in exchange for equity interests in TOH LP. Each Sponsor's Warrant entitles the holder to purchase one share of Common Stock of the Issuer at a price of $13.00 per share, subject to adjustment, at any time until September 25, 2014. However, Sponsor's Warrants will be exercisable only if a registration statement relating to the Common Stock issuable upon exercise of the warrants is effective and current. |