ROAN RESOURCES, INC. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 52 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-04-29: Reporting owner Ellis Mark E; Form 4; Security Units representing limited liability company interests; Transaction Holding.
- 2016-04-26: Reporting owner SWOVELAND JEFFREY C; Form 4; Security Units representing limited liability company interests; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2016-04-26: Reporting owner MCCOY JOSEPH P; Form 4; Security Units representing limited liability company interests; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2016-04-26: Reporting owner Hadden Stephen J; Form 4; Security Units representing limited liability company interests; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-04-29 holding as of filing | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Direct | Holding | 475,434 owned after | no price filed | 2016-04-29 | |
| 2016-04-26 | SWOVELAND JEFFREY C Director | 4 | Units representing limited liability company interests Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −34,933 21,615 owned after | $0.00 | 2016-04-29 | |
| 2016-04-26 | MCCOY JOSEPH P Director | 4 | Units representing limited liability company interests Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −27,441 18,615 owned after | $0.00 | 2016-04-29 | |
| 2016-04-26 | Hadden Stephen J Director | 4 | Units representing limited liability company interests Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,782 11,669 owned after | $0.00 | 2016-04-29 | |
| 2016-04-26 | Walker Arden Jr Officer (EVP and COO) | 4 | Units representing limited liability company interests Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −269,039 153,620 owned after | $0.00 | 2016-04-29 | |
| 2016-04-26 | Rottino David B. Officer (EVP and CFO) | 4 | Units representing limited liability company interests Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −178,283 160,515 owned after | $0.00 | 2016-04-29 | |
| 2016-04-26 | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Indirect · by Ellis Family Investments LP | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −475,974 0 owned after | $0.00 | 2016-04-29 | |
| 2016-04-26 | McNeil Jamin Officer (SVP - Houston Div Ops) | 4 | Units representing limited liability company interests Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −64,870 80,078 owned after | $0.00 | 2016-04-29 | |
| 2016-04-26 | Emmons Thomas E Officer (SVP - Corporate Services) | 4 | Units representing limited liability company interests Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −49,083 57,578 owned after | $0.00 | 2016-04-29 | |
| 2016-04-26 | DUNLAP DAVID D Director | 4 | Units representing limited liability company interests Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,396 11,669 owned after | $0.00 | 2016-04-29 | |
| 2016-04-26 | DUNLAP DAVID D Director | 4 | Units representing LLC Interests of LINE Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,396 11,669 owned after | $0.00 | 2016-04-28 | |
| 2016-04-26 | Wells Candice J Officer (SVP - Gen Counsel & Corp Sec) | 4 | Units representing limited liability company interests Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −23,522 31,311 owned after | $0.00 | 2016-04-28 | |
| 2016-04-20 | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | −108,280 475,240 owned after | $0.00 | 2016-04-22 | |
| 2016-04-20 | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +108,280 699,293 owned after | $0.00 | 2016-04-22 | |
| 2016-04-20 | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Indirect · (m) | G Bona fide gift | −223,319 475,974 owned after | $0.00 | 2016-04-22 | |
| 2016-04-20 | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Indirect · (m) | G Bona fide gift | −25,000 0 owned after | $0.00 | 2016-04-22 | |
| 2016-04-20 | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Indirect · (m) | G Bona fide gift | −25,000 0 owned after | $0.00 | 2016-04-22 | |
| 2016-04-20 | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Indirect · (m) | G Bona fide gift | −25,000 0 owned after | $0.00 | 2016-04-22 | |
| 2016-02-01 holding as of filing | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Indirect · by self as Investment Trustee for JLE Family Trust | Holding | 25,000 owned after | no price filed | 2016-02-01 | |
| 2016-02-01 holding as of filing | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Indirect · by self as Investment Trustee for SME Family Trust | Holding | 25,000 owned after | no price filed | 2016-02-01 | |
| 2016-02-01 holding as of filing | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Indirect · by self as Investment Trustee for PJE Family Trust | Holding | 25,000 owned after | no price filed | 2016-02-01 | |
| 2016-01-28 | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Direct · (m) | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −35,933 750,630 owned after | $1.14 | 2016-02-01 | |
| 2016-01-28 | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | −167,110 583,520 owned after | $0.00 | 2016-02-01 | |
| 2016-01-28 | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +167,110 591,013 owned after | $0.00 | 2016-02-01 | |
| 2016-01-28 | Rottino David B. Officer (EVP and CFO) | 4 | Units representing limited liability company interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −12,439 338,798 owned after | $1.14 | 2016-02-01 | |
| 2016-01-28 | McNeil Jamin Officer (SVP - Houston Div Ops) | 4 | Units representing limited liability company interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −4,700 144,948 owned after | $1.14 | 2016-02-01 | |
| 2016-01-28 | Emmons Thomas E Officer (SVP - Corporate Services) | 4 | Units representing limited liability company interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −4,700 106,682 owned after | $1.14 | 2016-02-01 | |
| 2016-01-28 | MCCOY JOSEPH P Director | 4 | Units representing limited liability company interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −1,673 46,056 owned after | $1.14 | 2016-02-01 | |
| 2016-01-28 | Hadden Stephen J Director | 4 | Units representing limited liability company interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −1,673 22,451 owned after | $1.14 | 2016-02-01 | |
| 2016-01-28 | SWOVELAND JEFFREY C Director | 4 | Units representing limited liability company interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −1,673 54,548 owned after | $1.14 | 2016-02-01 | |
| 2016-01-28 | Wells Candice J Officer (SVP - Gen Counsel & Corp Sec) | 4 | Units representing limited liability company interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −3,658 54,833 owned after | $1.14 | 2016-02-01 | |
| 2016-01-28 holding as of filing | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Indirect · by Ellis Family Investments LP | Holding | 423,903 owned after | no price filed | 2016-01-28 | |
| 2016-01-28 holding as of filing | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Indirect · by self as Investment Trustee for JLE Family Trust | Holding | 25,000 owned after | no price filed | 2016-01-28 | |
| 2016-01-28 holding as of filing | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Indirect · by self as Investment Trustee for SME Family Trust | Holding | 25,000 owned after | no price filed | 2016-01-28 | |
| 2016-01-28 holding as of filing | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Indirect · by self as Investment Trustee for PJE Family Trust | Holding | 25,000 owned after | no price filed | 2016-01-28 | |
| 2016-01-26 | Wells Candice J Officer (SVP - Gen Counsel & Corp Sec) | 4 | Units representing limited liability company interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −1,298 58,491 owned after | $1.15 | 2016-01-28 | |
| 2016-01-26 | Rottino David B. Officer (EVP and CFO) | 4 | Units representing limited liability company interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −4,064 351,237 owned after | $1.15 | 2016-01-28 | |
| 2016-01-26 | McNeil Jamin Officer (SVP - Houston Div Ops) | 4 | Units representing limited liability company interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −2,303 149,648 owned after | $1.15 | 2016-01-28 | |
| 2016-01-26 | SWOVELAND JEFFREY C Director | 4 | Units representing limited liability company interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −1,135 56,221 owned after | $1.15 | 2016-01-28 | |
| 2016-01-26 | MCCOY JOSEPH P Director | 4 | Units representing limited liability company interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −1,135 47,729 owned after | $1.15 | 2016-01-28 | |
| 2016-01-26 | Hadden Stephen J Director | 4 | Units representing limited liability company interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −616 24,124 owned after | $1.15 | 2016-01-28 | |
| 2016-01-26 | Emmons Thomas E Officer (SVP - Corporate Services) | 4 | Units representing limited liability company interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −2,303 111,382 owned after | $1.15 | 2016-01-28 | |
| 2016-01-26 | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −13,206 786,563 owned after | $1.15 | 2016-01-28 | |
| 2016-01-25 holding as of filing | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Indirect · by Ellis Family Investments LP | Holding | 423,903 owned after | no price filed | 2016-01-25 | |
| 2016-01-25 holding as of filing | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Indirect · by self as Investment Trustee for JLE Family Trust | Holding | 25,000 owned after | no price filed | 2016-01-25 | |
| 2016-01-25 holding as of filing | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Indirect · by self as Investment Trustee for SME Family Trust | Holding | 25,000 owned after | no price filed | 2016-01-25 | |
| 2016-01-25 holding as of filing | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Indirect · by self as Investment Trustee for PJE Family Trust | Holding | 25,000 owned after | no price filed | 2016-01-25 | |
| 2016-01-21 | McNeil Jamin Officer (SVP - Houston Div Ops) | 4 | Units representing limited liability company interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −2,039 151,925 owned after | $0.96 | 2016-01-25 | |
| 2016-01-21 | Ellis Mark E Director, Officer (President and CEO) | 4 | Units representing limited liability company interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −19,132 799,769 owned after | $0.96 | 2016-01-25 | |
| 2016-01-21 | Rottino David B. Officer (EVP and CFO) | 4 | Units representing limited liability company interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −4,415 355,253 owned after | $0.96 | 2016-01-25 | |
| 2016-01-21 | Wells Candice J Officer (VP - Gen Counsel & Corp Sec) | 4 | Units representing limited liability company interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −1,016 59,789 owned after | $0.96 | 2016-01-25 | |
| 2016-01-21 | Emmons Thomas E Officer (SVP - Corporate Services) | 4 | Units representing limited liability company interests Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −1,723 113,664 owned after | $0.96 | 2016-01-25 |