FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
HALLADOR PETROLEUM CO [ HPCO ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 03/24/2006 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 03/24/2006 | J(1) | 823,041 | D | $0 | 0 | I | By Robert Hardie Q-Tip Trust | ||
Common Stock | 03/04/2006 | J(1) | 182,983 | D | $0 | 0 | I | By David Hardie Sep. Prop. Trust | ||
Common Stock | 03/24/2006 | J(1) | 65,094 | D | $0 | 0 | I | By Janice Hardie Sep. Prop. Trust | ||
Common Stock | 03/24/2006 | J(1) | 67,714 | D | $0 | 0 | I | By David & Janice Hardie CPT | ||
Common Stock | 03/24/2006 | J(1) | 198,692 | D | $0 | 0 | I | By Steven Hardie Sep. Prop. Trust | ||
Common Stock | 03/24/2006 | J(1) | 22,971 | D | $0 | 0 | I | By Marilyn Hardie Sep. Prop. Trust | ||
Common Stock | 03/24/2006 | J(1) | 115,004 | D | $0 | 0 | I | By Cory Ritchie Sep. Prop. Trust | ||
Common Stock | 03/24/2006 | J(1) | 10,917 | D | $0 | 0 | I | By Cory Ritchie SPT-Grandchildren Trust | ||
Common Stock | 03/24/2006 | J(1) | 8,000 | D | $0 | 0 | I | By Ryan Ritchie | ||
Common Stock | 03/24/2006 | J(1) | 78,662 | D | $0 | 0 | I | By Cory Ritchie Future Interest Trust | ||
Common Stock | 03/24/2006 | J(1) | 33,654 | D | $0 | 0 | I | By Kirk Hardie Sep. Prop. Trust | ||
Common Stock | 03/24/2006 | J(1) | 10,917 | D | $0 | 0 | I | By Kirk Hardie SPT-Grandchildren Trust(1) | ||
Common Stock | 03/24/2006 | J(1) | 137,772 | D | $0 | 0 | I | By Kirk Hardie Future Interest Trust | ||
Common Stock | 03/24/2006 | J(1) | 10,930 | D | $0 | 0 | I | By Brad Hardie SPT-Grandchildren Trust | ||
Common Stock | 03/24/2006 | J(1) | 20,355 | D | $0 | 0 | I | By Bradford Hardie Future Interest Trust | ||
Common Stock | 03/24/2006 | J(1) | 16,382 | D | $0 | 0 | I | By Joseph Hardie Grandchildren Trust | ||
Common Stock | 03/24/2006 | J(1) | 16,194 | D | $0 | 0 | I | By Alexander Hardie Custodian | ||
Common Stock | 03/24/2006 | J(1) | 16,382 | D | $0 | 0 | I | By Alexander Hardie Grandchildren Trust | ||
Common Stock | 03/24/2006 | J(1) | 169,206 | D | $0 | 0 | I | By Alexander Hardie Present Interest Trust | ||
Common Stock | 03/24/2006 | J(1) | 75,035 | D | $0 | 0 | I | By Steven Hardie Issue Future Interest Trust | ||
Common Stock | 03/24/2006 | J(1) | 43,814 | D | $0 | 0 | I | By Three Gee Partners | ||
Common Stock | 03/24/2006 | J(1) | 56,279 | D | $0 | 0 | I | By K.R.H.I., L.P. | ||
Common Stock | 03/24/2006 | J(1) | 207,609 | D | $0 | 0 | I | By B.W.H.I., L.P. | ||
Common Stock | 03/24/2006 | J(1) | 184,913 | D | $0 | 0 | I | By J.S.H.I., L.P. | ||
Common Stock | 03/24/2006 | J(1) | 401,340 | D | $0 | 0 | I | By Hardie Descendants' Trust | ||
Common Stock | 03/24/2006 | J(1) | 298,315 | D | $0 | 0 | I | By Hallador Inc. | ||
Common Stock | 03/24/2006 | J(1) | 298,315 | A | $0 | 298,315 | I | By Hallador, Inc.(2) | ||
Common Stock | 03/24/2006 | J(1) | 2,201,742 | A | $0 | 2,201,742 | I | By Hallador Alternative Assets Fund LLC(3) | ||
Common Stock | 02/14/2006 | P | 227,272 | A | $2.2 | 2,429,014 | I | By Hallador Alternative Assets Fund LLC(3) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. The Reporting Person and his brother (the "Nominees") were authorized to manage and control the disposition of the securities pursuant to an Assignment and Nominee Agreement dated December 1, 1997, as amended March 15, 2002 ("Nominee Agreement"). As of March 24, 2006 the Nominees initiated transfers of the securities without consideration in accordance with the management and disposition provisions set forth in the Nominee Agreement for asset management purposes. The transaction is further described on Schedule 13D, as amended, filed with the Securities and Exchange Commission on behalf of the Nominees on July___, 2006. |
2. The Reporting Person is an executive officer of the holder of the securities and disclaims beneficial ownership of the securities except to the extent of his pe |
3. Hallador Investment Advisors, Inc. ("HIA") is the investment advisor to Hallador Alternative Assets Fund LLC ("HAAF"). HIA may be deemed to be the indirect beneficial owner of the securities by reason of its influence or control over HAAF's voting and disposition decisions in connection with its advisory services to HAAF. Further, Silvertip Management LLC ("Silvertip") is a Managing Member and General Partner of HAAF and may be deemed to be an indirect beneficial owner of the securities by reason of its influence on or control over HAAF's voting and disposition decisions. The Reporting Person is the Vice President of HIA and a managing member of both HAAF and Silvertip. The Reporting Person disclaims beneficial ownership of the securities except to the except to the extent of his pecuniary interest therein. |
/s/ Steven Hardie | 06/26/2006 | |
** Signature of Reporting Person | Date | |
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). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |