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EVOLUTION PETROLEUM CORP — Director's Dealing 2021
Aug 4, 2021
33826_dirs_2021-08-04_24b9a562-8c00-4cd5-bde2-0ea73a9e5495.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: 2016-09-01
Reporting Person: Schultz Roderick A. (Vice President and C.A.O.)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-09-01 | Common Stock | A | 16843 | — | Acquired | 53852 | Direct |
| 2016-09-01 | Common Stock | M | 2593 | — | Acquired | 56445 | Direct |
| 2016-09-01 | Common Stock | F | 4434 | $5.67 | Disposed | 52011 | Direct |
| 2016-11-03 | Common Stock | F | 1268 | $7.25 | Disposed | 50743 | Direct |
| 2016-12-04 | Common Stock | F | 545 | $9.30 | Disposed | 50198 | Direct |
| 2017-08-10 | Common Stock | M | 1511 | — | Acquired | 51709 | Direct |
| 2017-08-10 | Common Stock | F | 641 | $8.05 | Disposed | 51068 | Direct |
| 2017-08-28 | Common Stock | F | 309 | $7.25 | Disposed | 50759 | Direct |
| 2017-09-01 | Common Stock | F | 577 | $6.95 | Disposed | 50182 | Direct |
| 2017-11-06 | Common Stock | M | 2593 | — | Acquired | 52775 | Direct |
| 2017-11-06 | Common Stock | F | 3264 | $7.20 | Disposed | 49511 | Direct |
| 2017-11-06 | Common Stock | A | 5041 | — | Acquired | 54552 | Direct |
| 2018-03-12 | Common Stock | S | 4000 | $8.30 | Disposed | 50552 | Direct |
| 2018-04-25 | Common Stock | S | 4000 | $8.50 | Disposed | 46552 | Direct |
| 2018-04-26 | Common Stock | S | 3000 | $9 | Disposed | 43552 | Direct |
| 2018-06-01 | Common Stock | S | 3000 | $9.90 | Disposed | 40552 | Direct |
| 2018-07-02 | Common Stock | S | 3000 | $10.60 | Disposed | 37552 | Direct |
| 2018-07-06 | Common Stock | S | 3000 | $11.40 | Disposed | 34552 | Direct |
| 2017-12-04 | Common Stock | F | 544 | $7.10 | Disposed | 34008 | Direct |
| 2018-08-28 | Common Stock | F | 183 | $9.65 | Disposed | 33825 | Direct |
| 2018-09-01 | Common Stock | F | 329 | $10.05 | Disposed | 33496 | Direct |
| 2018-09-05 | Common Stock | M | 2807 | — | Acquired | 36303 | Direct |
| 2018-09-05 | Common Stock | A | 12425 | — | Acquired | 48728 | Direct |
| 2018-09-05 | Common Stock | F | 1975 | $9.90 | Disposed | 46753 | Direct |
| 2018-12-04 | Common Stock | F | 316 | $9.02 | Disposed | 46437 | Direct |
| 2018-12-31 | Common Stock | F | 1227 | $6.97 | Disposed | 45210 | Direct |
| 2019-09-01 | Common Stock | F | 342 | $5.92 | Disposed | 44868 | Direct |
| 2019-09-05 | Common Stock | F | 353 | $5.88 | Disposed | 44515 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-09-01 | Contingent Performance Stock Grant | $0.0 | A | 5614 | Acquired | 2020-09-01 | Common Stock (5614.0) | Direct |
| 2016-09-01 | Contingent Performance Stock Grant | $0.0 | M | 2593 | Disposed | 2019-12-04 | Common Stock (2593.0) | Direct |
| 2017-08-10 | Contingent Performance Stock Grant | $0.0 | M | 1511 | Disposed | 2018-08-28 | Common Stock (1511.0) | Direct |
| 2017-11-06 | Contingent Performance Stock Grant | $0.0 | M | 2593 | Disposed | 2019-12-04 | Common Stock (2593.0) | Direct |
| 2018-09-05 | Contingent Performance Stock Grant | $0.0 | M | 2807 | Disposed | 2020-09-01 | Common Stock (2807.0) | Direct |
Footnotes
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.