SEC Form 4 · accession 0001144204-18-030388
EVOLUTION PETROLEUM CORP · EPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Period of report
May 18, 2018
Accepted (ET)
May 22, 2018 · 9:37 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,F2,F3,F15,F4 | May 18, 2018 | S | 11,289 | $9.3195 | D | 1,237,696 | I | See Footnotes |
| Common StockF1,F2,F5,F15,F6 | May 18, 2018 | S | 6,198 | $9.3195 | D | 798,179 | I | See Footnotes |
| Common StockF1,F2,F7,F15,F8 | May 18, 2018 | S | 2,213 | $9.3195 | D | 131,148 | I | See Footnotes |
| Common StockF1,F2,F9,F15,F10 | May 18, 2018 | S | 885 | $9.3195 | D | 188,239 | I | See Footnotes |
| Common StockF1,F2,F11,F15,F12 | May 18, 2018 | S | 1,550 | $9.3195 | D | 156,814 | I | See Footnotes |
| Common StockF1,F2,F3,F16,F4 | May 21, 2018 | S | 23,500 | $9.4875 | D | 1,214,196 | I | See Footnotes |
| Common StockF1,F2,F5,F16,F6 | May 21, 2018 | S | 14,000 | $9.4875 | D | 784,179 | I | See Footnotes |
| Common StockF1,F2,F7,F16,F8 | May 21, 2018 | S | 5,000 | $9.4875 | D | 126,148 | I | See Footnotes |
| Common StockF1,F2,F13,F16,F14 | May 21, 2018 | S | 2,000 | $9.4875 | D | 81,603 | I | See Footnotes |
| Common StockF1,F2,F9,F16,F10 | May 21, 2018 | S | 2,000 | $9.4875 | D | 186,239 | I | See Footnotes |
| Common StockF1,F2,F11,F16,F12 | May 21, 2018 | S | 3,500 | $9.4875 | D | 153,314 | I | See Footnotes |
| Common StockF1,F2,F3,F17,F4 | May 22, 2018 | S | 11,750 | $9.524 | D | 1,202,446 | I | See Footnotes |
| Common StockF1,F2,F5,F17,F6 | May 22, 2018 | S | 7,000 | $9.524 | D | 777,179 | I | See Footnotes |
| Common StockF1,F2,F7,F17,F8 | May 22, 2018 | S | 2,500 | $9.524 | D | 123,648 | I | See Footnotes |
| Common StockF1,F2,F13,F17,F14 | May 22, 2018 | S | 1,000 | $9.524 | D | 80,603 | I | See Footnotes |
| Common StockF1,F2,F9,F17,F10 | May 22, 2018 | S | 1,000 | $9.524 | D | 185,239 | I | See Footnotes |
| Common StockF1,F2,F11,F17,F12 | May 22, 2018 | S | 1,750 | $9.524 | D | 151,564 | 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"), LVPU, LP, a Delaware limited partnership ("LVPU"), and Panakeia Energy Fund, LP, a Delaware limited partnership ("Panakeia"), and (ii) 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, LVPU, and Panakeia, the "Partnerships"). JVL Advisors is 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.
- F10Represents shares of common stock held by Asklepios.
- F11Represents Panakeia's sale of shares of common stock.
- F12Represents shares of common stock held by Panakeia.
- F13Represents LVPU's sale of shares of common stock.
- F14Represents shares of common stock held by LVPU.
- F15Represents a weighted average sale price for the shares of common stock - the high price was $9.35 and the low price was $9.30. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F16Represents a weighted average sale price for the shares of common stock - the high price was $9.75 and the low price was $9.20. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F17Represents a weighted average sale price for the shares of common stock - the high price was $9.80 and the low price was $9.30. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F2Because 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.
- F3Represents Luxiver's sale of shares of common stock.
- F4Represents shares of common stock held by Luxiver.
- F5Represents Hephaestus' sale of shares of common stock.
- F6Represents shares of common stock held by Hephaestus.
- F7Represents Children's Fund's sale of shares of common stock.
- F8Represents shares of common stock held by Children's Fund.
- F9Represents Asklepios' sale of shares of common stock.