Filing Details
- Accession Number:
- 0001104659-13-087308
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-26 19:41:10
- Reporting Period:
- 2013-11-22
- Filing Date:
- 2013-11-26
- Accepted Time:
- 2013-11-26 19:41:10
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1006655 | Evolution Petroleum Corp | EPM | Crude Petroleum & Natural Gas (1311) | 411781991 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1293397 | S Robert Herlin | 2500 City West Blvd., Suite 1300 Houston TX 77042 | President/Ceo | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-11-22 | 150,000 | $1.41 | 1,370,640 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-22 | 17,422 | $12.14 | 1,353,218 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2013-11-22 | 250,000 | $1.41 | 1,603,218 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-22 | 29,036 | $12.14 | 1,574,182 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2013-11-22 | 287,500 | $1.80 | 1,861,682 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-22 | 42,628 | $12.14 | 1,819,054 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2013-11-22 | 222,321 | $1.80 | 2,041,375 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-22 | 32,964 | $12.14 | 2,008,411 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2013-11-22 | 158,676 | $2.19 | 2,167,087 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-22 | 28,624 | $12.14 | 2,138,463 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2013-11-22 | 103,358 | $4.02 | 2,241,821 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-22 | 34,226 | $12.14 | 2,207,595 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2013-11-22 | 986,956 | $12.20 | 1,220,639 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-11-25 | 277,679 | $1.80 | 1,498,318 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-11-25 | 91,324 | $2.19 | 1,589,642 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-11-25 | 23,852 | $4.02 | 1,613,494 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant (right to buy) | Disposition | 2013-11-22 | 150,000 | $0.00 | 150,000 | $1.41 |
| Common Stock | Revocable Warrant (right to buy) | Disposition | 2013-11-22 | 250,000 | $0.00 | 250,000 | $1.41 |
| Common Stock | Revocable Warrant (right to buy) | Disposition | 2013-11-22 | 287,500 | $0.00 | 287,500 | $1.80 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-22 | 222,321 | $0.00 | 222,321 | $1.80 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-22 | 158,676 | $0.00 | 158,676 | $2.19 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-22 | 103,358 | $0.00 | 103,358 | $4.02 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-25 | 277,679 | $0.00 | 277,679 | $1.80 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-25 | 91,324 | $0.00 | 91,324 | $2.19 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-25 | 23,852 | $0.00 | 23,852 | $4.02 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2006-02-15 | 2016-02-15 | No | 4 | M | Direct |
| 0 | 2010-02-15 | 2016-02-15 | No | 4 | M | Direct |
| 0 | 2006-10-04 | 2015-04-04 | No | 4 | M | Direct |
| 277,679 | 2005-04-04 | 2015-04-04 | No | 4 | M | Direct |
| 91,324 | 2007-09-07 | 2017-09-07 | No | 4 | M | Direct |
| 23,852 | 2008-08-19 | 2015-08-19 | No | 4 | M | Direct |
| 0 | 2005-04-04 | 2015-04-04 | No | 4 | M | Direct |
| 0 | 2007-09-07 | 2017-09-07 | No | 4 | M | Direct |
| 0 | 2008-08-19 | 2015-08-19 | No | 4 | M | Direct |
Footnotes
- Includes sales to satisfy payment of tax obligations and certain exercise price payments.
- Options are fully vested. Options vest 1/8 first six months after grant date and quarterly thereafter.
Billionaire Hedge Funds
