0001437749-23-020450.txt : 20230721 0001437749-23-020450.hdr.sgml : 20230721 20230721162545 ACCESSION NUMBER: 0001437749-23-020450 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230719 FILED AS OF DATE: 20230721 DATE AS OF CHANGE: 20230721 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: THOLEN STEVEN W CENTRAL INDEX KEY: 0001044285 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39464 FILM NUMBER: 231102788 MAIL ADDRESS: STREET 1: 1177 ENCLAVE PARKWAY STREET 2: SUITE 300 CITY: HOUSTON STATE: TX ZIP: 77077 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HighPeak Energy, Inc. CENTRAL INDEX KEY: 0001792849 STANDARD INDUSTRIAL CLASSIFICATION: DRILLING OIL & GAS WELLS [1381] IRS NUMBER: 843533602 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 421 W. 3RD STREET STREET 2: SUITE 1000 CITY: FORT WORTH STATE: TX ZIP: 76102 BUSINESS PHONE: (817) 850-9200 MAIL ADDRESS: STREET 1: 421 W. 3RD STREET STREET 2: SUITE 1000 CITY: FORT WORTH STATE: TX ZIP: 76102 4 1 rdgdoc.xml FORM 4 X0508 4 2023-07-19 0001792849 HighPeak Energy, Inc. HPK 0001044285 THOLEN STEVEN W 421 W. 3RD STREET, SUITE 1000 FORT WORTH TX 76102 1 Chief Financial Officer 0 Common Stock, par value $0.0001 per share 2023-07-19 4 P 0 9500 10.50 A 33755 D Common Stock, par value $0.0001 per share 10009 I See Footnote (2) Employee Stock Option (right to buy) 10.50 2023-07-21 4 A 0 70000 0 A 2026-10-31 Common Stock, par value $0.0001 per share 70000 70000 D Represents shares of HighPeak Energy, Inc. (the "Issuer") common stock, par value $0.0001 per share ("Common Stock") purchased by the Reporting Person from Roth Capital Partners, LLC (the "Underwriter") in an underwritten public offering conducted by the Issuer pursuant to an Underwriting Agreement between the Issuer and the Underwriter. Shares held by Reporting Person's family limited partnership. The stock option was designed to comply with the requirements of Section 409A of the Internal Revenue Code of 1986, as amended, and the guidance thereunder, and is exercisable only during the 90 day period following the earlier to occur of the Reporting Person's separation from service due to death or disability, the occurrence of a change in control of the Issuer, or August 1, 2026. /s/ Steven W. Tholen 2023-07-21