SEC Form 4 · accession 0001144204-17-010962
EVOLUTION PETROLEUM CORP · EPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Feb 17, 2017
Accepted (ET)
Feb 24, 2017 · 4:05 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,F3,F4 | Feb 17, 2017 | S | 10,000 | $9.04 | D | 1,190,879 | I | See Footnotes |
| Common StockF1,F2,F5,F6 | Feb 17, 2017 | S | 2,765 | $9.023 | D | 196,935 | I | See Footnotes |
| Common StockF1,F2,F7,F8 | Feb 17, 2017 | S | 18,232 | $9.023 | D | 796,268 | I | See Footnotes |
| Common StockF1,F2,F9,F10 | Feb 17, 2017 | S | 4,954 | $9.023 | D | 170,046 | I | See Footnotes |
| Common StockF1,F2,F3,F4 | Feb 21, 2017 | S | 10,000 | $9.04 | D | 1,180,879 | I | See Footnotes |
| Common StockF1,F2,F5,F6 | Feb 21, 2017 | S | 1,296 | $9.1761 | D | 195,639 | I | See Footnotes |
| Common StockF1,F2,F7,F8 | Feb 21, 2017 | S | 7,717 | $9.1761 | D | 788,551 | I | See Footnotes |
| Common StockF1,F2,F9,F10 | Feb 21, 2017 | S | 2,024 | $9.1761 | D | 168,022 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1John V. Lovoi ("Lovoi") is (i) 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"), Asklepios Energy Fund, LP, a Texas limited partnership ("Asklepios"), and Panakeia Energy Fund, LP, a Delaware limited partnership ("Panakeia", and with Navitas and Asklepios, 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").
- F10Represents shares of common stock held by Panakeia.
- F2Because 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.
- F3Represents Belridge's sale of shares of common stock.
- F4Represents shares of common stock held by Belridge.
- F5Represents Asklepios' sale of shares of common stock.
- F6Represents shares of common stock held by Asklepios.
- F7Represents Navitas' sale of shares of common stock.
- F8Represents shares of common stock held by Navitas.
- F9Represents Panakeia's sale of shares of common stock.