Accession Number: | 0001872155-21-000005 |
Date: | 2016-09-01 |
Issuer: | EVOLUTION PETROLEUM CORP (EPM) |
Original Submission Date: |
SCHULTZ RODERICK A.
1155 DAIRY ASHFORD
SUIT 425
HOUSTON, TX 77079
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
ID | footnote |
---|---|
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. |