Billy L. Peck Jr. - 22 Nov 2022 Form 4 Insider Report for EVO Transportation & Energy Services, Inc.

Role
EVP, Business Development
Signature
/s/ Billy L. (Trey) Peck, Jr.
Issuer symbol
EVOA on OTC
Transactions as of
22 Nov 2022
Net transactions value
+$502
Form type
4
Filing time
29 Aug 2023, 16:42:06 UTC
Previous filing
14 Dec 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction EVOA Common Stock Options Exercise $502 +5,022,987 +1005% $0.000100* 5,522,987 22 Nov 2022 Direct

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 Restricted Stock Units Award $0 +998,545 $0.000000 998,545 28 Aug 2023 Common Stock 998,545 Direct F3, F4
transaction EVOA Restricted Stock Units Award $0 +1,954,451 $0.000000 1,954,451 28 Aug 2023 Common Stock 1,954,451 Direct F1, F3
transaction EVOA Warrant (right to buy) Award $0 +995,172 $0.000000 995,172 28 Aug 2023 Common Stock 995,172 $0.6300 Direct F5, F6
transaction EVOA Warrant (right to buy) Conversion of derivative security $0 +5,022,987 $0.000000 5,022,987 08 Sep 2022 Common Stock 5,022,987 $0.000100 Direct F7
transaction EVOA Warrant (right to buy) Conversion of derivative security $0 +2,511,494 $0.000000 2,511,494 08 Sep 2022 Common Stock 2,511,494 Direct F7
transaction EVOA Warrant (right to buy) Options Exercise $0 -5,022,987 -100% $0.000000* 0 22 Nov 2022 Common Stock 5,022,987 $0.000100 Direct F1
holding EVOA Warrant (right to buy) 333,333 22 Nov 2022 Common Stock 333,333 $3.00 Direct
holding EVOA Warrant (right to buy) 333,333 22 Nov 2022 Common Stock 333,333 $5.00 Direct
holding EVOA Warrant (right to buy) 333,333 22 Nov 2022 Common Stock 333,333 $7.00 Direct
holding EVOA Stock Option (right to buy) 20,000 22 Nov 2022 Common Stock 20,000 $2.50 Direct F1
holding EVOA Stock Option (right to buy) 20,000 22 Nov 2022 Common Stock 20,000 $1.50 Direct F1
holding EVOA Stock Option (right to buy) 500,000 22 Nov 2022 Common Stock 500,000 $1.50 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Fully vested.
F2 125,000 options vest on 11/2/21 and the remainder vesting in equal installments on the next three anniversaries of the grant date.
F3 Each restricted stock unit represents the right to receive, at settlement, one share of common stock of the Issuer, its cash equivalent or a combination thereof, in the discretion of the Issuer.
F4 332,849 restricted stock units vest on 12/31/23, and 332,848 restricted stock units vest on each of 12/31/24 and 12/31/25.
F5 Fully exercisable.
F6 This warrant will expire upon the earlier of (a) 5:00 p.m., New York City time, on 09/08/2027 and (b) the consummation of a change of control.
F7 In connection with the terms of an Exchange Agreement dated 9/8/2022 (as fully described in the Form 8-K filed with the SEC on 9/14/22), warrants were issued to the Reporting Person.