Form Type: 4

SEC EDGAR Link
Accession Number:0001872155-21-000005
Date:2016-09-01
Issuer: EVOLUTION PETROLEUM CORP (EPM)
Original Submission Date:

Reporting Person:

SCHULTZ RODERICK A.
1155 DAIRY ASHFORD
SUIT 425 HOUSTON, TX 77079

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2016-09-01 A 16,843 a $0.00 53,852 direct
COMMON STOCK 2016-09-01 M 2,593 a $0.00 56,445 direct
COMMON STOCK 2016-09-01 F 4,434 d $5.67 52,011 direct
COMMON STOCK 2016-11-03 F 1,268 d $7.25 50,743 direct
COMMON STOCK 2016-12-04 F 545 d $9.30 50,198 direct
COMMON STOCK 2017-08-10 M 1,511 a $0.00 51,709 direct
COMMON STOCK 2017-08-10 F 641 d $8.05 51,068 direct
COMMON STOCK 2017-08-28 F 309 d $7.25 50,759 direct
COMMON STOCK 2017-09-01 F 577 d $6.95 50,182 direct
COMMON STOCK 2017-11-06 M 2,593 a $0.00 52,775 direct
COMMON STOCK 2017-11-06 F 3,264 d $7.20 49,511 direct
COMMON STOCK 2017-11-06 A 5,041 a $0.00 54,552 direct
COMMON STOCK 2018-03-12 S 4,000 d $8.30 50,552 direct
COMMON STOCK 2018-04-25 S 4,000 d $8.50 46,552 direct
COMMON STOCK 2018-04-26 S 3,000 d $9.00 43,552 direct
COMMON STOCK 2018-06-01 S 3,000 d $9.90 40,552 direct
COMMON STOCK 2018-07-02 S 3,000 d $10.60 37,552 direct
COMMON STOCK 2018-07-06 S 3,000 d $11.40 34,552 direct
COMMON STOCK 2017-12-04 F 544 d $7.10 34,008 direct
COMMON STOCK 2018-08-28 F 183 d $9.65 33,825 direct
COMMON STOCK 2018-09-01 F 329 d $10.05 33,496 direct
COMMON STOCK 2018-09-05 M 2,807 a $0.00 36,303 direct
COMMON STOCK 2018-09-05 A 12,425 a $0.00 48,728 direct
COMMON STOCK 2018-09-05 F 1,975 d $9.90 46,753 direct
COMMON STOCK 2018-12-04 F 316 d $9.02 46,437 direct
COMMON STOCK 2018-12-31 F 1,227 d $6.97 45,210 direct
COMMON STOCK 2019-09-01 F 342 d $5.92 44,868 direct
COMMON STOCK 2019-09-05 F 353 d $5.88 44,515 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
CONTINGENT PERFORMANCE STOCK GRANT 0.0 2016-09-01 deemed execution date A 5,614 (a) 2020-09-01 common stock 5,614 $0.00 13,822 direct
CONTINGENT PERFORMANCE STOCK GRANT 0.0 2016-09-01 deemed execution date M 2,593 (d) 2019-12-04 common stock 2,593 $0.00 11,229 direct
CONTINGENT PERFORMANCE STOCK GRANT 0.0 2017-08-10 deemed execution date M 1,511 (d) 2018-08-28 common stock 1,511 $0.00 9,718 direct
CONTINGENT PERFORMANCE STOCK GRANT 0.0 2017-11-06 deemed execution date M 2,593 (d) 2019-12-04 common stock 2,593 $0.00 7,125 direct
CONTINGENT PERFORMANCE STOCK GRANT 0.0 2018-09-05 deemed execution date M 2,807 (d) 2020-09-01 common stock 2,807 $0.00 2,807 direct
Footnotes
IDfootnote
f1 award of restricted stock subject to vesting conditions specified in grant agreement.
f2 issuance of evolution petroleum common stock upon the vesting of a contingent restricted stock award.
f3 pursuant to a 10b5-1 trading plan.
f4 award of contingent restricted stock subject to grant agreement's vesting conditions.
f5 contingent restricted stock award vests (becomes exercisable) when the grant agreement's vesting conditions are met.
f6 vesting of contingent restricted stock award as grant agreement's performance condition was satisfied.
f7 total includes expiration of contingent restricted stock awards prior to this transaction.
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