SEC Form 4 · accession 0001213900-17-003735
Carbon Energy Corp · CRBO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter A Leidel
Director
Period of report
Mar 20, 2017
Accepted (ET)
Apr 13, 2017 · 7:30 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 20, 2017 | A | 4,000 | $0.00 | A | 24,000 | D | |
| COMMON STOCKF2,F3,F4 | holding | — | — | — | 896,915 | I | See footnote | |
| COMMON STOCKF2,F5,F4 | holding | — | — | — | 896,915 | I | See footnote | |
| COMMON STOCKF2,F6,F4 | holding | — | — | — | 1,111,111 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted stock grant.
- F2On March 15, 2017, Carbon Natural Gas Company (the "Issuer") effected a one for twenty reverse stock split of the Issuer's issued and outstanding common stock, as reported on the Current Report on Form 8-K filed by the Issuer with the SEC on March 16, 2017.
- 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 this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities 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 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.