Form 4 for EP EMPIRE PETROLEUM CORP
Accepted 2023-01-06 00:00:00 ET · period of report 2023-01-04 · accession 0001072613-23-000014 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-01-06 | 2023-01-04 | EP | Pritchard Thomas W. | CEO, Dir | X - OptEx | $1.33 | +344.4K | 633.4K | +119% | +$457.1K |
| DM | 2023-01-06 | 2023-01-04 | EP | Pritchard Thomas W. | CEO, Dir | M - OptEx | $0.00 | -390.0K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-01-04 | X | A | 312,918 | $1.32 | 601,968 | D | — | — | |
| 2 | Common | Common Stock | 2023-01-04 | X | A | 31,472 | $1.40 | 633,440 | D | — | — | |
| 3 | Derivative | Employee Stock Option (Right to Buy) | 2023-01-04 | M | D | 35,900 | $0.00 | 464,100 | D | $1.40 · 2020-12-31 to 2029-04-02 | 35,900 Common Stock | (F1) As adjusted to give effect to Empire's 1-for-4 reverse common stock split which became effective on March 7, 2022 ("Reverse Stock Split"). |
| 4 | Derivative | Common Stock Optioin (Right to Buy) | 2023-01-04 | M | D | 354,100 | $0.00 | 0 | D | $1.32 · 2019-04-03 to 2029-04-02 | 354,100 Common Stock | (F1) As adjusted to give effect to Empire's 1-for-4 reverse common stock split which became effective on March 7, 2022 ("Reverse Stock Split"). (F2) The option vested in three installments as follows: 312,500 on April 3, 2019; 156,250 on April 3, 2020; and 156,250 on April 3, 2021 (as adjusted for the Reverse Stock Split). |