SEC Form 4 · accession 0001144204-18-010116
EVOLUTION PETROLEUM CORP · EPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Feb 16, 2018
Accepted (ET)
Feb 21, 2018 · 9:52 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,F16,F5 | Feb 16, 2018 | S | 916 | $8.20 | D | 1,309,194 | I | See Footnotes |
| Common StockF1,F2,F3,F6,F16,F7 | Feb 16, 2018 | S | 507 | $8.20 | D | 837,627 | I | See Footnotes |
| Common StockF1,F2,F3,F8,F16,F9 | Feb 16, 2018 | S | 179 | $8.20 | D | 145,012 | I | See Footnotes |
| Common StockF1,F2,F3,F10,F16,F11 | Feb 16, 2018 | S | 79 | $8.20 | D | 194,369 | I | See Footnotes |
| Common StockF1,F2,F3,F12,F16,F13 | Feb 16, 2018 | S | 119 | $8.20 | D | 166,159 | I | See Footnotes |
| Common StockF1,F2,F3,F14,F17,F15 | Feb 21, 2018 | S | 15,000 | $7.9343 | D | 1,165,879 | 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 Asklepios Energy Fund, LP, a Texas limited partnership ("Asklepios"), Hephaestus Energy Fund, LP, a Delaware limited partnership ("Hephaestus"), Children's Energy Fund, LP, a Delaware limited partnership ("Children's Fund"), and Panakeia Energy Fund, LP, a Delaware limited partnership ("Panakeia"), 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 Asklepios' sale of shares of common stock.
- F11Represents shares of common stock held by Asklepios.
- F12Represents Panakeia's sale of shares of common stock.
- F13Represents shares of common stock held by Panakeia.
- F14Represents Belridge's sale of shares of common stock.
- F15Represents shares of common stock held by Belridge.
- F16Represents an average sale price for the shares of common stock - the high price was $8.20 and the low price was $7.90.
- F17Represents an average sale price for the shares of common stock - the high price was $8.00 and the low price was $7.90.
- F2Lovoi is a managing member of Lobo Baya, LLC, which is the ultimate controlling entity of Luxiver, LP, a Delaware limited partnership ("Luxiver", and collectively with Asklepios, Hephaestus, Children's Fund, Panakeia, and Belridge, the "Partnerships"). 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.
- F3Because of their control over, and investment management relationship with, the Partnerships, JVL Advisors and Lovoi may be deemed to have voting and dispositive power over the securities owned by the Partnerships; 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 in excess of their respective pecuniary interest in such securities.
- F4Represents Luxiver's sale of shares of common stock.
- F5Represents shares of common stock held by Luxiver.
- F6Represents Hephaestus' sale of shares of common stock.
- F7Represents shares of common stock held by Hephaestus.
- F8Represents Children's Fund's sale of shares of common stock.
- F9Represents shares of common stock held by Children's Fund.