SEC Form 4 · accession 0001006655-16-000124
EVOLUTION PETROLEUM CORP · EPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert S Herlin
Officer — Executive Chairman · Director
Period of report
Sep 1, 2016
Accepted (ET)
Sep 6, 2016 · 5:48 pm EDT
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 | Sep 1, 2016 | M | 8,621 | $5.67 | A | 1,700,002 | D | |
| Common StockF2 | Sep 1, 2016 | F | 16,358 | $5.67 | D | 1,683,644 | 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 GrantF1 | $0.00 | Sep 1, 2016 | M | 8,621 | D | — | Dec 4, 2019 | Common Stock | 8,621 | 8,621 | D |
Explanation of responses
- F1Contingent Restricted Stock award granted on December 4, 2015 that vested upon attainment of a specific performance goal.
- F2Shares surrendered to the Company to pay income tax withholding obligations.