Antara Capital LP - Dec 31, 2020 Form 4/A - Amendment Insider Report for EVO Transportation & Energy Services, Inc. (EVOA)

Role: 10%+ Owner
Signature: ANTARA CAPITAL LP, By: Antara Capital GP LLC, its general partner, By: /s/ Himanshu Gulati, Name: Himanshu Gulati, Title: Managing Member
Stock symbol: EVOA
Transactions as of: Dec 31, 2020
Transactions value $: $0
Form type: 4/A - Amendment
Date filed: 2/17/2022, 04:33 PM
Date Of Original Report: Jan 25, 2021
Next filing: Feb 6, 2023

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	EVOA	Common Stock	Other		+1.07M			1.07M	Jan 3, 2021	See Footnotes	F1, F2, F3, F4, F7
transaction	EVOA	Common Stock	Other		+71.8K	+6.73%		1.14M	Jan 3, 2021	See Footnotes	F1, F2, F3, F4, F7

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	EVOA	Warrants to Purchase Common Stock	Other		+908K	+10.19%		9.81M	Dec 31, 2020	Common Stock	908K	$0.01	See Footnotes	F3, F4, F5, F6, F7
transaction	EVOA	Warrants to Purchase Common Stock	Other		+61.1K	+0.62%		9.88M	Dec 31, 2020	Common Stock	61.1K	$0.01	See Footnotes	F3, F4, F5, F6, F7

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	These shares of Common Stock of EVO Transportation & Energy Services, Inc. ("EVO") were issued pursuant to the terms of the Second Amendment to Forbearance Agreement and Omnibus Amendment to Loan Documents, dated as of October 20, 2020 (the "Omnibus Amendment"), by and among EVO, each subsidiary of EVO, various lenders under the loan documents and Cortland Capital Market Services LLC, as administrative agent and collateral agent in settlement of defaults under loan documents.
F2	The total number of shares of Common Stock beneficially owned by the Reporting Persons (defined below) after the transactions described in this Form 4 consists of (i) 1,066,732 shares held directly by Antara Master Fund (as defined below) and (ii) 71,773 shares held by a managed account for which Antara Capital (defined below) serves as investment manager (the "Managed Fund"). The Reporting Persons disclaim beneficial ownership of warrants held by the Managed Fund except to the extent of the Reporting Persons' pecuniary interest therein.
F3	This Form 4 is being filed on behalf of (i) Antara Capital LP, a Delaware limited partnership ("Antara Capital"), (ii) Antara Capital GP LLC, a Delaware limited liability company ("Antara GP"), and (iii) Himanshu Gulati (collectively, the "Reporting Persons") related to the shares and warrants held by Antara Capital Master Fund LP, a Cayman Islands exempted limited partnership ("Antara Master Fund") and the Managed Fund. Antara Capital serves as the investment manager of Antara Master Fund and as an investment manager of the Managed Fund. Antara GP is the general partner of Antara Capital. Himanshu Gulati is the sole member of Antara GP and the entity that serves as the general partner of the Master Fund.
F4	(continued from footnote 1) Each of Antara Capital, Antara GP and Himanshu Gulati may be deemed to indirectly beneficially own the Common Stock held directly by the Antara Master Fund and each disclaims beneficial ownership of all such Common Stock except to the extent of any indirect pecuniary interest therein.
F5	The warrants were issued pursuant to the terms of the Omnibus Amendment in settlement of defaults under loan documents.
F6	The total number of derivative securities beneficially owned by the Reporting Persons after the transactions described in this Form 4 consists of (i) 9,466,655 warrants held directly by Antara Master Fund and (ii) 409,003 warrants held by the Managed Fund. The Reporting Persons disclaim beneficial ownership of warrants held by the Managed Fund except to the extent of the Reporting Persons' pecuniary interest therein.
F7	This report shall not be deemed an admission that the Reporting Persons, or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.