Gen IV Investment Opportunities, LLC - 07 Aug 2026 Form 4 Insider Report for BATTALION OIL CORP (BATL)

Reporting relationship
10%+ Owner
Issuer ticker
BATL
Reported as of
07 Aug 2026
Net transaction value
$0
Source evidence Original filing metadata and source links for verification. 4 source fields
SEC form
4
Accepted by SEC
07 Aug 2026, 17:45:03 UTC
Prior SEC filing
27 Mar 2026
Source filing
View source filing
Reporting owner 1 detail
Reporting owner signature
Gen IV Investment Opportunities, LLC By: /s/ Jeff Wade Name: Jeff Wade Title: Chief Compliance Officer

Key filing fact

Gen IV Investment Opportunities, LLC filed Form 4 for BATTALION OIL CORP (BATL) on 07 Aug 2026.

Key facts

  • This page summarizes Gen IV Investment Opportunities, LLC's Form 4 filing for BATTALION OIL CORP (BATL).
  • 10 reported transactions and 24 derivative rows are listed below.
  • Accepted by SEC: 07 Aug 2026, 17:45.

Change

  • Previous filing in this sequence was filed on 27 Mar 2026.
  • Current net transaction value: $0.

Research use

  • This tells you what this filing adds before you inspect full transaction and derivative tables.
  • You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (4)

CIK 0001697367 Primary reporting owner

Gen IV Investment Opportunities, LLC

Relationship
10%+ Owner
Address
250 W 55TH STREET, 31ST FLOOR, NEW YORK
Signature
Gen IV Investment Opportunities, LLC By: /s/ Jeff Wade Name: Jeff Wade Title: Chief Compliance Officer
Signature date
07 Aug 2026
CIK 0001730248

LSP Generation IV, LLC

Relationship
10%+ Owner
Address
250 W 55TH STREET, 31ST FLOOR, NEW YORK
Signature
LSP Generation IV, LLC By: /s/ Jeff Wade Name: Jeff Wade Title: Chief Compliance Officer
Signature date
07 Aug 2026
CIK 0001728850

LSP Investment Advisors, LLC

Relationship
10%+ Owner
Address
250 W 55TH STREET, 31ST FLOOR, NEW YORK
Signature
LSP Investment Advisors, LLC By: /s/ Jeff Wade Name: Jeff Wade Title: Chief Compliance Officer and Associate General Counsel
Signature date
07 Aug 2026
CIK 0001427470

Segal Paul

Relationship
10%+ Owner
Address
250 W 55TH STREET, 31ST FLOOR, NEW YORK
Signature
By: /s/ Paul Segal Name: Paul Segal Title: President Gen IV Investment Opportunities, LLC
Signature date
07 Aug 2026

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

BATL transaction

Common Stock

Conversion of derivative security

Transaction value
Shares
+253,815
Change %
Price
$0.000000*
Shares after
253,815
Date
07 Aug 2026
Ownership
Direct
Footnotes
F1
BATL transaction

Common Stock

Conversion of derivative security

Transaction value
Shares
+253,815
Change %
Price
$0.000000*
Shares after
253,815
Date
07 Aug 2026
Ownership
Direct
Footnotes
F1
BATL transaction

Common Stock

Conversion of derivative security

Transaction value
Shares
+253,815
Change %
Price
$0.000000*
Shares after
253,815
Date
07 Aug 2026
Ownership
Direct
Footnotes
F1
BATL transaction

Common Stock

Conversion of derivative security

Transaction value
Shares
+253,815
Change %
Price
$0.000000*
Shares after
253,815
Date
07 Aug 2026
Ownership
Direct
Footnotes
F1
BATL transaction

Common Stock

Conversion of derivative security

Transaction value
Shares
+1,607,845
Change %
+633%
Price
$0.000000*
Shares after
1,861,660
Date
07 Aug 2026
Ownership
Direct
Footnotes
F1
BATL transaction

Common Stock

Conversion of derivative security

Transaction value
Shares
+1,607,845
Change %
+633%
Price
$0.000000*
Shares after
1,861,660
Date
07 Aug 2026
Ownership
Direct
Footnotes
F1
BATL transaction

Common Stock

Conversion of derivative security

Transaction value
Shares
+1,607,845
Change %
+633%
Price
$0.000000*
Shares after
1,861,660
Date
07 Aug 2026
Ownership
Direct
Footnotes
F1
BATL transaction

Common Stock

Conversion of derivative security

Transaction value
Shares
+1,607,845
Change %
+633%
Price
$0.000000*
Shares after
1,861,660
Date
07 Aug 2026
Ownership
Direct
Footnotes
F1
BATL transaction

Common Stock

Conversion of derivative security

Transaction value
Shares
+799,216
Change %
+43%
Price
$0.000000*
Shares after
2,660,876
Date
07 Aug 2026
Ownership
Direct
Footnotes
F1
BATL transaction

Common Stock

Conversion of derivative security

Transaction value
Shares
+799,216
Change %
+43%
Price
$0.000000*
Shares after
2,660,876
Date
07 Aug 2026
Ownership
Direct
Footnotes
F1
BATL transaction

Common Stock

Conversion of derivative security

Transaction value
Shares
+799,216
Change %
+43%
Price
$0.000000*
Shares after
2,660,876
Date
07 Aug 2026
Ownership
Direct
Footnotes
F1
BATL transaction

Common Stock

Conversion of derivative security

Transaction value
Shares
+799,216
Change %
+43%
Price
$0.000000*
Shares after
2,660,876
Date
07 Aug 2026
Ownership
Direct
Footnotes
F1
BATL transaction

Common Stock

Conversion of derivative security

Transaction value
Shares
+833,383
Change %
+31%
Price
$0.000000*
Shares after
3,494,259
Date
07 Aug 2026
Ownership
Direct
Footnotes
F1
BATL transaction

Common Stock

Conversion of derivative security

Transaction value
Shares
+833,383
Change %
+31%
Price
$0.000000*
Shares after
3,494,259
Date
07 Aug 2026
Ownership
Direct
Footnotes
F1
BATL transaction

Common Stock

Conversion of derivative security

Transaction value
Shares
+833,383
Change %
+31%
Price
$0.000000*
Shares after
3,494,259
Date
07 Aug 2026
Ownership
Direct
Footnotes
F1
BATL transaction

Common Stock

Conversion of derivative security

Transaction value
Shares
+833,383
Change %
+31%
Price
$0.000000*
Shares after
3,494,259
Date
07 Aug 2026
Ownership
Direct
Footnotes
F1

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

BATL transaction Derivative

Series A Redeemable Convertible Preferred Stock

Sale

Transaction value
Shares
-5,138
Change %
-100%
Price
Shares after
0
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
Exercise price
Footnotes
F1, F2, F3, F4, F5
BATL transaction Derivative

Series A Redeemable Convertible Preferred Stock

Sale

Transaction value
Shares
-5,138
Change %
-100%
Price
Shares after
0
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
Exercise price
Footnotes
F1, F2, F3, F4, F5
BATL transaction Derivative

Series A Redeemable Convertible Preferred Stock

Sale

Transaction value
Shares
-5,138
Change %
-100%
Price
Shares after
0
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
Exercise price
Footnotes
F1, F2, F3, F4, F5
BATL transaction Derivative

Series A Redeemable Convertible Preferred Stock

Sale

Transaction value
Shares
-5,138
Change %
-100%
Price
Shares after
0
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
Exercise price
Footnotes
F1, F2, F3, F4, F5
BATL transaction Derivative

Series A-1 Redeemable Convertible Preferred Stock

Sale

Transaction value
Shares
-6,578
Change %
-84%
Price
Shares after
1,232
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
1,609,147
Exercise price
Footnotes
F1, F2, F3, F4
BATL transaction Derivative

Series A-1 Redeemable Convertible Preferred Stock

Sale

Transaction value
Shares
-6,578
Change %
-84%
Price
Shares after
1,232
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
1,609,147
Exercise price
Footnotes
F1, F2, F3, F4
BATL transaction Derivative

Series A-1 Redeemable Convertible Preferred Stock

Sale

Transaction value
Shares
-6,578
Change %
-84%
Price
Shares after
1,232
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
1,609,147
Exercise price
Footnotes
F1, F2, F3, F4
BATL transaction Derivative

Series A-1 Redeemable Convertible Preferred Stock

Sale

Transaction value
Shares
-6,578
Change %
-84%
Price
Shares after
1,232
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
1,609,147
Exercise price
Footnotes
F1, F2, F3, F4
BATL transaction Derivative

Series A-1 Redeemable Convertible Preferred Stock

Conversion of derivative security

Transaction value
Shares
-1,232
Change %
-100%
Price
$0.000000*
Shares after
0
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
253,815
Exercise price
Footnotes
F1, F2, F3, F4, F5
BATL transaction Derivative

Series A-1 Redeemable Convertible Preferred Stock

Conversion of derivative security

Transaction value
Shares
-1,232
Change %
-100%
Price
$0.000000*
Shares after
0
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
253,815
Exercise price
Footnotes
F1, F2, F3, F4, F5
BATL transaction Derivative

Series A-1 Redeemable Convertible Preferred Stock

Conversion of derivative security

Transaction value
Shares
-1,232
Change %
-100%
Price
$0.000000*
Shares after
0
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
253,815
Exercise price
Footnotes
F1, F2, F3, F4, F5
BATL transaction Derivative

Series A-1 Redeemable Convertible Preferred Stock

Conversion of derivative security

Transaction value
Shares
-1,232
Change %
-100%
Price
$0.000000*
Shares after
0
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
253,815
Exercise price
Footnotes
F1, F2, F3, F4, F5
BATL transaction Derivative

Series A-2 Redeemable Convertible Preferred Stock

Conversion of derivative security

Transaction value
Shares
-6,630
Change %
-100%
Price
$0.000000*
Shares after
0
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
1,607,845
Exercise price
Footnotes
F1, F2, F3, F4, F6
BATL transaction Derivative

Series A-2 Redeemable Convertible Preferred Stock

Conversion of derivative security

Transaction value
Shares
-6,630
Change %
-100%
Price
$0.000000*
Shares after
0
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
1,607,845
Exercise price
Footnotes
F1, F2, F3, F4, F6
BATL transaction Derivative

Series A-2 Redeemable Convertible Preferred Stock

Conversion of derivative security

Transaction value
Shares
-6,630
Change %
-100%
Price
$0.000000*
Shares after
0
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
1,607,845
Exercise price
Footnotes
F1, F2, F3, F4, F6
BATL transaction Derivative

Series A-2 Redeemable Convertible Preferred Stock

Conversion of derivative security

Transaction value
Shares
-6,630
Change %
-100%
Price
$0.000000*
Shares after
0
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
1,607,845
Exercise price
Footnotes
F1, F2, F3, F4, F6
BATL transaction Derivative

Series A-3 Redeemable Convertible Preferred Stock

Conversion of derivative security

Transaction value
Shares
-3,789
Change %
-100%
Price
$0.000000*
Shares after
0
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
799,216
Exercise price
Footnotes
F1, F2, F3, F4, F7
BATL transaction Derivative

Series A-3 Redeemable Convertible Preferred Stock

Conversion of derivative security

Transaction value
Shares
-3,789
Change %
-100%
Price
$0.000000*
Shares after
0
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
799,216
Exercise price
Footnotes
F1, F2, F3, F4, F7
BATL transaction Derivative

Series A-3 Redeemable Convertible Preferred Stock

Conversion of derivative security

Transaction value
Shares
-3,789
Change %
-100%
Price
$0.000000*
Shares after
0
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
799,216
Exercise price
Footnotes
F1, F2, F3, F4, F7
BATL transaction Derivative

Series A-3 Redeemable Convertible Preferred Stock

Conversion of derivative security

Transaction value
Shares
-3,789
Change %
-100%
Price
$0.000000*
Shares after
0
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
799,216
Exercise price
Footnotes
F1, F2, F3, F4, F7
BATL transaction Derivative

Series A-4 Redeemable Convertible Preferred Stock

Conversion of derivative security

Transaction value
Shares
-3,789
Change %
-100%
Price
$0.000000*
Shares after
0
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
833,383
Exercise price
Footnotes
F1, F2, F3, F4, F8
BATL transaction Derivative

Series A-4 Redeemable Convertible Preferred Stock

Conversion of derivative security

Transaction value
Shares
-3,789
Change %
-100%
Price
$0.000000*
Shares after
0
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
833,383
Exercise price
Footnotes
F1, F2, F3, F4, F8
BATL transaction Derivative

Series A-4 Redeemable Convertible Preferred Stock

Conversion of derivative security

Transaction value
Shares
-3,789
Change %
-100%
Price
$0.000000*
Shares after
0
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
833,383
Exercise price
Footnotes
F1, F2, F3, F4, F8
BATL transaction Derivative

Series A-4 Redeemable Convertible Preferred Stock

Conversion of derivative security

Transaction value
Shares
-3,789
Change %
-100%
Price
$0.000000*
Shares after
0
Date
07 Aug 2026
Ownership
Direct
Underlying class
Common Stock
Underlying amount
833,383
Exercise price
Footnotes
F1, F2, F3, F4, F8
* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 8 footnotes

Footnote F1

This Form 4 is jointly filed by Gen IV Investment Opportunities, LLC ("Gen IV"), a Delaware limited liability company, LSP Generation IV, LLC ("LSP Gen IV"), a Delaware limited liability company, LSP Investment Advisors, LLC ("LSP Advisors"), a Delaware limited liability company, and Paul Segal, President of Gen IV. LSP Gen IV, as the managing member of Gen IV, has the power to direct the affairs of Gen IV, including voting and disposing of the shares. LSP Advisors, as the investment manager of Gen IV, also has the power to direct the voting and disposition of the shares held by Gen IV. Mr. Segal as President of Gen IV, also has the power to direct the voting and disposition of the shares Held by Gen IV. For Section 16 purposes, LSP Gen IV, LSP Advisors, and Mr. Segal, disclaim beneficial ownership over the shares reported herein, except to the extent of their pecuniary interest therein.

Footnote F2

On August 7, 2026, Gen IV and the Company entered into the Preferred Stock Repurchase and Conversion Agreement to effect (i) the Company's repurchase of 5,138 shares of Series A Redeemable Convertible Preferred Stock and 6,578.11 shares of Series A-1 Redeemable Convertible Preferred Stock, par value $0.0001 per share ("Series A-1 Preferred Shares") from Gen IV for an aggregate purchase price of $19,000,000; and (ii) the conversion of 1,231.89 shares of Series A-1 Preferred Shares, 6,630 shares of Series A-2 Redeemable Convertible Preferred Stock, par value $0.0001 per share ("Series A-2 Preferred Shares"), 3,789 shares of Series A-3 Redeemable Convertible Preferred Stock, par value $0.0001 per share ("Series A-3 Preferred Shares"), and 3,789 shares of Series A-4 Redeemable Convertible Preferred Stock, par value $0.0001 per share ("Series A-4 Preferred Shares") into an aggregate of 3,494,259 shares of common stock, par value $0.0001 per share ("Common Stock") of the Company.

Footnote F3

No additional consideration was paid in connection with such conversion.

Footnote F4

None of the Series A Preferred Shares, Series A-1 Preferred Shares, Series A-2 Preferred Shares, Series A-3 Preferred Shares or Series A-4 Preferred Shares has an expiration date.

Footnote F5

The shares of Series A-1 Preferred Shares were convertible at any time into shares of Common Stock, subject to the terms and conditions of the Certificate of Designations for the Series A-1 Preferred Shares (the "Series A-1 Certificate of Designation"). The Conversion Ratio for each Series A-1 Preferred Share was calculated as the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-1 Certificate of Designations) and (ii) the conversion price of $7.63.

Footnote F6

The shares of Series A-2 Preferred Shares were convertible at any time after April 13, 2024 into shares of Common Stock, subject to the terms and conditions of the Certificate of Designations for the Series A-2 Preferred Shares (the "Series A-2 Certificate of Designations"). The Conversion Ratio for each Series A-2 Preferred Share was calculated as the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-2 Certificate of Designations) and (ii) the conversion price of $6.21.

Footnote F7

The shares of Series A-3 Preferred Shares were convertible at any time after July 24, 2025 into shares of Common Stock, subject to the terms and conditions of the Certificate of Designations for the Series A-3 Preferred Shares (the "Series A-3 Certificate of Designations"). The Conversion Ratio for each Series A-3 Preferred Share was calculated as the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-3 Certificate of Designations) and (ii) the conversion price of $6.83.

Footnote F8

The shares of Series A-4 Preferred Shares were convertible at any time after September 10, 2024 into shares of Common Stock, subject to the terms and conditions of the Certificate of Designations for the Series A-4 Preferred Shares (the "Series A-4 Certificate of Designations"). The Conversion Ratio for each Series A-4 Preferred Share was calculated as the quotient of (i) the then-applicable liquidation preference (as determined in accordance with the Series A-4 Certificate of Designations) and (ii) the conversion price of $6.42.

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