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EVOLUTION PETROLEUM CORP — Director's Dealing 2013
Nov 27, 2013
33826_dirs_2013-11-26_8c95c247-e02f-4eab-8ffc-76c59df6cee4.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: EVOLUTION PETROLEUM CORP (EPM)
CIK: 0001006655
Period of Report: 2013-11-22
Reporting Person: McDonald Sterling (VP/CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-11-22 | COMMON STOCK | M | 113195 | $1.80 | Acquired | 524934 | Direct |
| 2013-11-22 | COMMON STOCK | F | 16783 | $12.14 | Disposed | 508151 | Direct |
| 2013-11-22 | COMMON STOCK | M | 100000 | $1.41 | Acquired | 608151 | Direct |
| 2013-11-22 | COMMON STOCK | F | 11614 | $12.14 | Disposed | 596537 | Direct |
| 2013-11-22 | COMMON STOCK | M | 50000 | $1.41 | Acquired | 646537 | Direct |
| 2013-11-22 | COMMON STOCK | F | 5807 | $12.14 | Disposed | 640730 | Direct |
| 2013-11-22 | COMMON STOCK | M | 125555 | $1.41 | Acquired | 766285 | Direct |
| 2013-11-22 | COMMON STOCK | F | 14583 | $12.14 | Disposed | 751702 | Direct |
| 2013-11-22 | COMMON STOCK | M | 84375 | $2.19 | Acquired | 836077 | Direct |
| 2013-11-22 | COMMON STOCK | F | 15221 | $12.14 | Disposed | 820856 | Direct |
| 2013-11-22 | COMMON STOCK | M | 43840 | $4.02 | Acquired | 864696 | Direct |
| 2013-11-22 | COMMON STOCK | F | 14517 | $12.14 | Disposed | 850179 | Direct |
| 2013-11-22 | COMMON STOCK | S | 438439 | $12.20 | Disposed | 411740 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-11-22 | STOCK OPTION (RIGHT TO BUY) | $1.80 | M | 113195 | Disposed | 2015-04-04 | Common Stock (113195) | Direct |
| 2013-11-22 | WARRANT (RIGHT TO BUY) | $1.41 | M | 100000 | Disposed | 2016-02-15 | Common Stock (100000) | Direct |
| 2013-11-22 | REVOCABLE WARRANT (RIGHT TO BUY) | $1.41 | M | 50000 | Disposed | 2016-02-15 | Common Stock (50000) | Direct |
| 2013-11-22 | STOCK OPTION (RIGHT TO BUY) | $1.41 | M | 125555 | Disposed | 2016-02-15 | Common Stock (125555) | Direct |
| 2013-11-22 | STOCK OPTION (RIGHT TO BUY) | $2.19 | M | 84375 | Disposed | 2017-09-07 | Common Stock (84375) | Direct |
| 2013-11-22 | STOCK OPTION (RIGHT TO BUY) | $4.02 | M | 43840 | Disposed | 2015-08-14 | Common Stock (43840) | Direct |
Footnotes
F1: Includes sales to satisfy payment of tax obligations.
F2: Options are fully vested. Options vest 1/8 first six months after grant date and quarterly thereafter.
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