-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HCJJ7Qyk7S9WbZtDTTbq9xXrNzTuqSqiq1ZJzDjLLG1zzHm4vpyYNyFEXOjZOyXJ U/FOp8bk3cGi6kBqo8tXSw== 0001001277-02-000198.txt : 20020416 0001001277-02-000198.hdr.sgml : 20020416 ACCESSION NUMBER: 0001001277-02-000198 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020410 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HALLADOR PETROLEUM CO CENTRAL INDEX KEY: 0000788965 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 841014610 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14731 FILM NUMBER: 02606268 BUSINESS ADDRESS: STREET 1: 1660 LINCOLN ST STE 2700 CITY: DENVER STATE: CO ZIP: 80264 BUSINESS PHONE: 3038395505 MAIL ADDRESS: STREET 1: 1660 LINCOLN STREET STREET 2: SUITE 2700 CITY: DENVER STATE: CO ZIP: 80264 FORMER COMPANY: FORMER CONFORMED NAME: KIMBARK INC DATE OF NAME CHANGE: 19860624 FORMER COMPANY: FORMER CONFORMED NAME: KIMBARK OIL & GAS CO /CO/ DATE OF NAME CHANGE: 19900102 COMPANY DATA: COMPANY CONFORMED NAME: HARDIE STEVEN CENTRAL INDEX KEY: 0001167757 DIRECTOR FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: P O BOX 15299 CITY: SACRAMENTO STATE: CA ZIP: 95851 BUSINESS PHONE: 9169200191 5 1 form5forshardie1201no2.txt FOR STEVE HARDIE FOR 12/01 FORM 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP | | Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | | Form 3 Holdings Reported | | Form 4 Transactions Reported 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(f) of the Investment Company Act of 1940 - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person*/ 2. Issuer Name and Ticker / 6. Relationship of Reporting Person(s) to Issuer / or Trading Symbol / (Check all applicable) / / / Hallador Petroleum Company / X Director X 10% Owner / ("HPCO.OB") / ___ Officer ___ Other / / (give title below) (specify below) Hardie Steven / / / / - ----------------------------------------/----------------------------------------/-------------------------------------------------- (Last) (First) (Middle) / 3. I.R.S. / 4. Statement for / 7. Individual or Joint/Group Filing / Identification / (Month/Year) / (Check Applicable Line) / Number of / / 740 University Avenue, Suite 110 / Reporting Person,/ 12/01 / X Form filed by One Reporting Person - ----------------------------------------/ if an entity /------------------/ (Street) / / 5. If Amendment, / ___ Form filed by more than One / / Date of / Reporting Person / / Original / Sacramento CA 95825 / / (Month/Year) / - --------------------------------------- / / / (City) (State) (Zip) / / / - ------------------------------------------------------------------------------------------------------------------------------------
TABLE I - NONDERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title /2.Trans- /3.Transaction / 4. Securities Acquired (A) / 5. Amount of /6. Ownership / 7. Nature of of / action / Code / or Disposed of (D) / Securities / Form: / Indirect Security / Date / (Instr. 8) / (Instr. 3, 4 and 5) / Beneficially / Direct (D) / Beneficial (Inst.3) /(Mo/Day/Yr) / /-----------------------------/ Owned at End / or / Ownership / / / /(A) / / of Issuer's / Indirect(I) / (Instr.4) / / / / or / / Fiscal Year / (Instr.4) / / / / Amount /(D) / Price / (Inst. 3 and 4) / / ==================================================================================================================================== Common Stock J(1) 823,041 A N/A I By Robert Hardie Q- Tip Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 85,938 A N/A I By Douglas Hardie Sep. Prop. Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 70,919 A N/A I By Janet Hardie Sep. Prop. Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 26,692 A N/A I By Douglas & Janet Hardie CPT(1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 182,983 A N/A I By David Hardie Sep. Prop.Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 65,094 A N/A I By Janice Hardie Sep. Prop. Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 67,714 A N/A I By David & Janice Hardie CPT (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 247,789 A N/A I By Steven Hardie Sep. Prop.Trust (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 22,971 A N/A I By Marilyn Hardie Sep. Prop.Trust (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 124,174 A N/A I By Robin Hardie Sep. Prop.Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 32,764 A N/A I By Robin Hardie SPT - Grandchildren Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 91,008 A N/A I By Robin Hardie Future Interest Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 139,805 A N/A I By Cory Ritchie Sep. Prop.Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 10,917 A N/A I By Cory Ritchie SPT - Grandchildren Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 8,000 A N/A I By Ryan Ritchie (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 78,662 A N/A I By Cory Ritchie Future Interest Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 33,654 A N/A I By Kirk Hardie Sep. Prop.Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 10,917 A N/A I By Kirk Hardie SPT - Grandchildren Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 137,772 A N/A I By Kirk Hardie Future Interest Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 10,930 A N/A I By Brad Hardie SPT - Grandchildren Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 20,355 A N/A I By Bradford Hardie Future Interest Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 16,382 A N/A I By Joseph Hardie - Grandchildren Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 16,194 A N/A I By Alexander Hardie Custodian (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 16,382 A N/A I By Alexander Hardie - Grandchildren Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 169,206 A N/A I By Alexander Hardie Present Interest Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 75,035 A N/A I By Steven Hardie Issue Future Interest Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 43,813 A N/A I By Three-Gee Partners (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 56,279 A N/A By K.R.H.I., L.P. (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 207,609 A N/A I B.W.H.I., L.P. (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 184,913 A N/A I J.S.H.I., L.P. (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 412,476 A N/A I Hardie Descendants Trust - 25% to DHI (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 2,558 A N/A I Douglas Hardie Descendants' Trust (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock J(1) 298,313 A N/A 3,791,259 I Hallador, Inc. (1) ==================================================================================================================================== Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. *If the form is filed by more than one reporting person, see Instruction 4(b)(v). (1) Pursuant to the Amended and Restated Assignment and Nominee Agreement dated March 15, 2002, a copy of which is attached as an exhibit to the Schedule 13D filed by the reporting person. (2) The reporting person disclaims beneficial ownership.
2 FORM 5 (continued) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g., puts, calls, warrants, options, convertible securities) - ------------------------------------------------------------------------------------------------------------------------------------ 1. / 2. /3. /4. /5. /6. /7. /8. /9. /10. / 11. Title of / Con- / Trans- / Trans- / Number of / Date / Title and / Price / Number / Owner- / Nature Derivative / version / action / action / Derivative / Exercisable / Amount of / of / of / ship / of Security / or / Date / Code / Securities / and / Underlying / Deriv- / Deriv- / form of/ Indirect (Instr. 3) / exercise/ (Mo. /(Inst.8)/ Acquired / Expiration / Securities / ative / ative / Deriv- / Beneficial / Price of/ Day / / (A) or / Date / (Instr. 3,4) / Secu- / Secu- / ative / Ownership / of / Year) / / Disposed /(Month/Day/Year) / / rity / rities / Secu- / (Instr. 4) / Deriv- / / / of (D) / / /(Inst.5)/ Benefi-/ rity: / / ative / / /(Inst.3,4,5)/ / / / cially / Direct / / Secu- / / /------------/-----------------/---------------/ / Owned / (D) / / rity / / / (A) / (D) / Date / Expir-/ Title /Amount / / at End /Indirect/ / / / / / / Exer- / ation / /or No. / / of Year/ (I) / / / / / / / cisable/ Date / /of / /(Inst.4)/(Inst.4)/ / / / / / / / / /shares / / / / ==================================================================================================================================== - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ==================================================================================================================================== Explanation of Responses: /S/ STEVEN HARDIE 3/19/02 -------------------------------- ---------- Steven Hardie Date **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure.
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