SEC Form 4 · accession 0001006655-15-000059
EVOLUTION PETROLEUM CORP · EPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Joe
Officer — VP, Chief Admn Officer
Period of report
Dec 3, 2015
Accepted (ET)
Dec 7, 2015 · 5:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001006655
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 3, 2015 | A | 51,125 | $6.09 | A | 354,247 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Contingent Performance Stock GrantF2 | $0.00 | Dec 3, 2015 | A | 12,042 | A | — | Dec 3, 2019 | Common Stock | 12,042 | 17,808 | D |
Explanation of responses
- F1The Company granted these shares of restricted stock pursuant to the Company's Amended and Restated 2004 Stock Plan, subject to specific performance goals and other vesting criteria.
- F2The Company granted these securities pursuant to the Company's Amended and Restated 2004 Stock Plan. They are subject to the attainment of performance goals and other vesting criteria. Such shares of stock will not be issued until these performance goals and other vesting criteria have been achieved.