Schultz Roderick A.'s Form 4 filing
Evolution Petroleum Corp (EPM) · filed Aug 4, 2021
- Accession no.
- 0001872155-21-000005
- Filed
- Aug 4, 2021
- Trade date
- Sep 1, 2016-Sep 5, 2019
- Filing delay
- 1,798 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 28 non-derivative transactions and 5 derivative transactions. Open-market sales total $189.9K. It was filed 1798 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Schultz Roderick A.CIK 0001872155 | Officer (Vice President and C.A.O.) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 1, 2016 | Common Stock | AGrant or awardAcquired | +16,843 | $0.00 | $0 | 53,852 | Direct | |
| Sep 1, 2016 | Common Stock | MOption exerciseAcquired | +2,593 | $0.00 | $0 | 56,445 | Direct | |
| Sep 1, 2016 | Common Stock | FTax withholdingDisposed | −4,434 | $5.67 | −$25,140.78 | 52,011 | Direct | |
| Nov 3, 2016 | Common Stock | FTax withholdingDisposed | −1,268 | $7.25 | −$9,193 | 50,743 | Direct | |
| Dec 4, 2016 | Common Stock | FTax withholdingDisposed | −545 | $9.30 | −$5,068.5 | 50,198 | Direct | |
| Aug 10, 2017 | Common Stock | MOption exerciseAcquired | +1,511 | $0.00 | $0 | 51,709 | Direct | |
| Aug 10, 2017 | Common Stock | FTax withholdingDisposed | −641 | $8.05 | −$5,160.05 | 51,068 | Direct | |
| Aug 28, 2017 | Common Stock | FTax withholdingDisposed | −309 | $7.25 | −$2,240.25 | 50,759 | Direct | |
| Sep 1, 2017 | Common Stock | FTax withholdingDisposed | −577 | $6.95 | −$4,010.15 | 50,182 | Direct | |
| Nov 6, 2017 | Common Stock | MOption exerciseAcquired | +2,593 | $0.00 | $0 | 52,775 | Direct | |
| Nov 6, 2017 | Common Stock | FTax withholdingDisposed | −3,264 | $7.20 | −$23,500.8 | 49,511 | Direct | |
| Nov 6, 2017 | Common Stock | AGrant or awardAcquired | +5,041 | $0.00 | $0 | 54,552 | Direct | |
| Mar 12, 2018 | Common Stock | SSaleDisposed | −4,000 | $8.30 | −$33,200 | 50,552 | Direct | |
| Apr 25, 2018 | Common Stock | SSaleDisposed | −4,000 | $8.50 | −$34,000 | 46,552 | Direct | |
| Apr 26, 2018 | Common Stock | SSaleDisposed | −3,000 | $9.00 | −$27,000 | 43,552 | Direct | |
| Jun 1, 2018 | Common Stock | SSaleDisposed | −3,000 | $9.90 | −$29,700 | 40,552 | Direct | |
| Jul 2, 2018 | Common Stock | SSaleDisposed | −3,000 | $10.60 | −$31,800 | 37,552 | Direct | |
| Jul 6, 2018 | Common Stock | SSaleDisposed | −3,000 | $11.40 | −$34,200 | 34,552 | Direct | |
| Dec 4, 2017 | Common Stock | FTax withholdingDisposed | −544 | $7.10 | −$3,862.4 | 34,008 | Direct | |
| Aug 28, 2018 | Common Stock | FTax withholdingDisposed | −183 | $9.65 | −$1,765.95 | 33,825 | Direct | |
| Sep 1, 2018 | Common Stock | FTax withholdingDisposed | −329 | $10.05 | −$3,306.45 | 33,496 | Direct | |
| Sep 5, 2018 | Common Stock | MOption exerciseAcquired | +2,807 | $0.00 | $0 | 36,303 | Direct | |
| Sep 5, 2018 | Common Stock | AGrant or awardAcquired | +12,425 | $0.00 | $0 | 48,728 | Direct | |
| Sep 5, 2018 | Common Stock | FTax withholdingDisposed | −1,975 | $9.90 | −$19,552.5 | 46,753 | Direct | |
| Dec 4, 2018 | Common Stock | FTax withholdingDisposed | −316 | $9.02 | −$2,850.32 | 46,437 | Direct | |
| Dec 31, 2018 | Common Stock | FTax withholdingDisposed | −1,227 | $6.97 | −$8,552.19 | 45,210 | Direct | |
| Sep 1, 2019 | Common Stock | FTax withholdingDisposed | −342 | $5.92 | −$2,024.64 | 44,868 | Direct | |
| Sep 5, 2019 | Common Stock | FTax withholdingDisposed | −353 | $5.88 | −$2,075.64 | 44,515 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 1, 2016 | Common Stock | AGrant or awardAcquired | +5,614 | $5.67 | +$31,831.38 | 13,822 | Direct | |
| Sep 1, 2016 | Common Stock | MOption exerciseDisposed | −2,593 | $0.00 | $0 | 11,229 | Direct | |
| Aug 10, 2017 | Common Stock | MOption exerciseDisposed | −1,511 | $0.00 | $0 | 9,718 | Direct | |
| Nov 6, 2017 | Common Stock | MOption exerciseDisposed | −2,593 | $0.00 | $0 | 7,125 | Direct | |
| Sep 5, 2018 | Common Stock | MOption exerciseDisposed | −2,807 | $0.00 | $0 | 2,807 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.
Remarks
On this filing date, an additional Form 4 was filed containing remaining transactions to be reported.