SEC Form 4/A · accession 0001006655-18-000047
EVOLUTION PETROLEUM CORP · EPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
David Joe
Officer — SVP & CFO
Period of report
Sep 5, 2018
Accepted (ET)
Sep 17, 2018 · 6:25 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 5, 2018 | M | 7,348 | $9.90 | A | 271,354 | D | |
| Common StockF2 | Sep 5, 2018 | F | 5,368 | $9.90 | D | 265,986 | D | |
| Common StockF3 | Sep 5, 2018 | A | 26,768 | $0.00 | A | 292,754 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF1 | $0.00 | Sep 5, 2018 | M | 7,348 | D | — | Sep 1, 2020 | Common Stock | 7,348 | 7,349 | D |
Explanation of responses
- F1Contingent Restricted Stock award granted on September 1, 2016 that vested upon attainment of a specific performance goal.
- F2Form 4 amended to correctly reflect 5,368 shares surrendered to the Company to pay income tax withholding obligations.
- F3Award of Restricted Stock pursuant to Company's 2016 Equity Incentive Plan, subject to vesting terms and performance goals.