SEC Form 4 · accession 0001144204-18-009413
EVOLUTION PETROLEUM CORP · EPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Dec 7, 2017
Accepted (ET)
Feb 15, 2018 · 9:33 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 | Dec 7, 2017 | S | 13,793 | $6.79 | D | 1,329,174 | I | See Footnotes |
| Common StockF1,F2,F3,F4 | Dec 18, 2017 | S | 5,960 | $6.90 | D | 1,323,214 | 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") and (ii) a managing member of Lobo Baya, LLC, which is the ultimate controlling entity of Luxiver, LP, a Delaware limited partnership ("Luxiver"). JVL Advisors is a party to an investment management agreement with Luxiver that gives JVL Advisors voting and dispositive power over the securities owned by Luxiver; thus, JVL Advisors may be deemed an ultimate controlling entity of Luxiver.
- F2Because of their control over, and investment management relationship with, Luxiver, JVL Advisors and Lovoi may be deemed to have voting and dispositive power over the securities owned by Luxiver; 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 Luxiver in excess of their respective pecuniary interest in such securities.
- F3Represents Luxiver's sale of shares of common stock.
- F4Represents shares of common stock held by Luxiver.