SEC Form 4 · accession 0001213900-16-011731
Carbon Energy Corp · CRBO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bryan H Lawrence
Director
Period of report
Mar 16, 2016
Accepted (ET)
Mar 18, 2016 · 6:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000086264
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCKF2 | Mar 16, 2016 | A | 80,000 | $0.00 | A | 400,000 | D | |
| COMMON STOCKF3,F4 | holding | — | — | — | 17,938,309 | I | See footnote | |
| COMMON STOCKF5,F4 | holding | — | — | — | 17,938,309 | I | See footnote | |
| COMMON STOCKF6,F4 | holding | — | — | — | 22,222,222 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted stock grant.
- F2Includes 400,000 shares received by the reporting person as director compensation that the reporting person holds for the benefit of Yorktown Energy Partners V, L.P., Yorktown Energy Partners VI, L.P. and Yorktown Energy Partners IX, L.P., and of which the reporting person disclaims any beneficial ownership for, except to the extent of his pecuniary interest therein.
- F3These securities are directly owned by Yorktown Energy Partners V, L.P. The reporting person is a member and a manager of the general partner of Yorktown Energy Partners V, L.P.
- F4The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for Section 16 or for any other purpose.
- F5These securities are directly owned by Yorktown Energy Partners VI, L.P. The reporting person is a member and a manager of the general partner of the general partner of Yorktown Energy Partners VI, L.P.
- F6These securities are directly owned by Yorktown Energy Partners IX, L.P. The reporting person is a member and a manager of the general partner of the general partner of Yorktown Energy Partners IX, L.P.