FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
EVO Transportation & Energy Services, Inc. [ EVOA ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 02/07/2019 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 02/07/2019 | A | 10,000(1) | A | $0 | 10,000 | D | |||
Common Stock | 02/27/2020 | P | 60,000 | A | $2.5 | 70,000 | D | |||
Common Stock | 03/24/2020 | J | 60,000(2) | D | $2.5 | 10,000 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $2.5 | (3) | 08/13/2028 | Common Stock | 100,000 | 100,000 | D | ||||||||
Stock Option (right to buy) | $2.5 | 05/07/2020 | A | 20,000 | (3) | 05/07/2030 | Common Stock | 20,000 | $0 | 20,000 | D | ||||
Common Stock Warrant (right to buy) | $2.5 | (3) | 07/20/2028 | Common Stock | 40,000 | 40,000 | D | ||||||||
Series B Preferred Stock | $3 | 03/24/2020 | J | 50,000(2) | (5) | (5) | Common Stock | 50,000 | $0 | 50,000 | D | ||||
Common Stock Warrant (right to buy) | $1.5 | 02/01/2021 | A | 750,000 | (3) | 02/01/2031 | Common Stock | 750,000 | $0 | 750,000 | D | ||||
Convertible Promissory Note | $2.5 | 03/30/2021 | J | $100,000(6) | 07/20/2019 | 07/31/2020 | Common Stock | $100,000(4) | $0 | $0(4) | D | ||||
Common Stock Warrant (right to buy) | $0.01 | 03/30/2021 | J | 41,703 | (3) | 07/20/2028 | Common Stock | 41,703 | $0 | 41,703 | D |
Explanation of Responses: |
1. Represents stock received at the election of the Reporting Person, in lieu of cash payment, as a retainer for service as a director of the Company. |
2. On March 24, 2020, the Company entered into a stock redemption agreement with the Reporting Person pursuant to which the Company redeemed 60,000 shares of its common stock, par value $0.0001 per share, held by Reporting Person and agreed to issue 50,000 shares of its Series B Preferred Stock, par value $0.0001 per share to Reporting Person, in exchange therefor. |
3. Fully exercisable. |
4. Note amount does not reflect accrued interest and is convertible into shares of common stock at $2.50 per share. |
5. Each share of Series B Preferred Stock is convertible at any time at the election of the Reporting Person into an equal number of shares of common stock and does not have an expiration date. |
6. The Reporting Person exchanged the $100,000 secured convertible promissory note for $16,689 in cash and a warrant to purchase 41,703 shares of common stock. |
Remarks: |
/s/ R. Scott Wheeler | 09/03/2021 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |