SEC Form 4/A · accession 0001144204-16-085569
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.
Period of report
Feb 19, 2016
Accepted (ET)
Mar 2, 2016 · 4:28 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,F2,F12,F13,F14 | Feb 19, 2016 | S | 160,541 | $4.2518 | D | 814,500 | I | See Footnotes |
| Common StockF1,F2,F3,F4 | holding | — | — | — | 279,860 | I | See Footnotes | |
| Common StockF1,F2,F3,F5 | holding | — | — | — | 1,342,967 | I | See Footnotes | |
| Common StockF1,F2,F3,F6 | holding | — | — | — | 175,000 | I | See Footnotes | |
| Common StockF1,F2,F3,F7 | holding | — | — | — | 844,261 | I | See Footnotes | |
| Common StockF1,F2,F3,F8 | holding | — | — | — | 147,456 | I | See Footnotes | |
| Common StockF1,F2,F3,F9 | holding | — | — | — | 84,963 | I | See Footnotes | |
| Common StockF1,F2,F3,F10 | holding | — | — | — | 199,700 | I | See Footnotes | |
| Common StockF1,F2,F3,F11 | holding | — | — | — | 1,300,879 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1John V. Lovoi ("Lovoi") is the sole member and manager of JVL Advisors, LLC ("JVL Advisors"), which is the ultimate controlling entity of Navitas Fund, LP, a Texas limited partnership ("Navitas"), JVL Partners, LP, a Texas limited partnership ("JVL Partners"), TJS Energy Fund, LP, a Delaware limited partnership ("TJS"), Hephaestus Energy Fund, LP, a Delaware limited partnership ("Hephaestus"), Asklepios Energy Fund, LP, a Texas limited partnership ("Asklepios"), Panakeia Energy Fund, LP, a Delaware limited partnership ("Panakeia"), Children's Energy Fund, LP, a Delaware limited partnership ("Children's"), and LVPU, LP, a Delaware limited partnership ("LVPU").
- F10Represents shares of common stock held by Asklepios following the sales of shares of common stock held by TJS and Navitas on February 19, 2016.
- F11Represents shares of common stock held by Belridge following the sales of shares of common stock held by TJS and Navitas on February 19, 2016.
- F12Represents Navitas' sale of shares of common stock. This Amendment to Form 4 reflects that the 80,271 shares of common stock previously reported to be sold by Belridge were sold by Navitas.
- F13Represents an average sale price for the shares of common stock - the high price was $4.30 and the low price was $4.25.
- F14Represents shares of common stock held by Navitas.
- F2Lovoi is (i) a managing member of Lobo Baya, LLC, which is the ultimate controlling entity of Luxiver, LP, a Delaware limited partnership ("Luxiver", and collectively with Navitas, JVL Partners, TJS, Hephaestus, Asklepios, Panakeia, Children's and LVPU, the "Partnerships"), and (ii) a managing member of Peninsula-JVL Capital Advisors, LLC, which is the general partner of Belridge Energy Advisors, LP, a Delaware limited partnership ("Belridge").
- F3Because of their control over the Partnerships and Belridge, JVL Advisors and Lovoi may be deemed to have voting and dispositive power over the securities owned by the Partnerships and Belridge; thus, each may also be deemed to be the beneficial owner of these securities. JVL Advisors and Lovoi disclaim any beneficial ownership of the reported securities beneficially owned by the Partnerships and Belridge, as applicable, in excess of their respective pecuniary interest in such securities.
- F4Represents shares of common stock held by JVL Partners following the sales of shares of common stock held by TJS and Navitas on February 19, 2016.
- F5Represents shares of common stock held by Luxiver following the sales of shares of common stock held by TJS and Navitas on February 19, 2016.
- F6Represents shares of common stock held by Panakeia following the sales of shares of common stock held by TJS and Navitas on February 19, 2016.
- F7Represents shares of common stock held by Hephaestus following the sales of shares of common stock held by TJS and Navitas on February 19, 2016.
- F8Represents shares of common stock held by Children's following the sales of shares of common stock held by TJS and Navitas on February 19, 2016.
- F9Represents shares of common stock held by LVPU following the sales of shares of common stock held by TJS and Navitas on February 19, 2016.