Statement of Changes in Beneficial Ownership (4)
March 09 2021 - 2:23PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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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1. Name and Address of Reporting Person
*
DesAutels David |
2. Issuer Name and Ticker or Trading Symbol
VAALCO ENERGY INC /DE/
[
EGY
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Executive VP, Corp. Dev. |
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(Last)
(First)
(Middle)
9800 RICHMOND AVENUE, SUITE 700 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/5/2021 |
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(Street)
HOUSTON, TX 77042
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 3/5/2021 | | M(1) | | 84407 | A | $0.86 | 250056 | D | |
| Common Stock | 3/5/2021 | | M(1) | | 84407 | A | $0.86 | 334463 | D | |
| Common Stock | 3/5/2021 | | M(1) | | 20910 | A | $2.33 | 355373 | D | |
| Common Stock | 3/5/2021 | | M(1) | | 20910 | A | $2.33 | 376283 | D | |
| Common Stock | 3/5/2021 | | D(1) | | 84407 | D | $3.30 | 291876 | D | |
| Common Stock | 3/5/2021 | | D(1) | | 84407 | D | $3.30 | 207469 | D | |
| Common Stock | 3/5/2021 | | D(1) | | 20910 | D | $3.30 | 186559 | D | |
| Common Stock | 3/5/2021 | | D(1) | | 20910 | D | $3.30 | 165649 | D | |
| Common Stock | 3/5/2021 | | M | | 26146 | A | $0.93 | 191795 | D | |
| Common Stock | 3/5/2021 | | M | | 26146 | A | $0.93 | 217941 | D | |
| Common Stock | 3/5/2021 | | M | | 10455 | A | $2.33 | 228396 | D | |
| Common Stock | 3/5/2021 | | M | | 10455 | A | $2.33 | 238851 | D | |
| Common Stock | 3/5/2021 | | F(2) | | 40142 | D | $3.30 | 198709 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 Appreciation Right | $0.86 | 1/5/2021 | | M | | | 84407 | 2/28/2020 | 2/28/2023 | Common Stock | 84407 | $0.00 | 84407 | D | |
| Stock Appreciation Right | $0.86 | 1/5/2021 | | M | | | 84407 | 2/28/2021 | 2/28/2023 | Common Stock | 84407 | $0.00 | 0 | D | |
| Stock Appreciation Right | $2.33 | 1/5/2021 | | M | | | 20910 | 2/28/2020 | 2/28/2024 | Common Stock | 20910 | $0.00 | 41820 | D | |
| Stock Appreciation Right | $2.33 | 1/5/2021 | | M | | | 20910 | 2/28/2021 | 2/28/2024 | Common Stock | 20910 | $0.00 | 20910 | D | |
| Employee Stock Option (right to buy) | $0.93 | 1/5/2021 | | M | | | 26146 | 11/2/2019 | 11/2/2022 | Common Stock | 26146 | $0.00 | 26146 | D | |
| Employee Stock Option (right to buy) | $0.93 | 1/5/2021 | | M | | | 26146 | 11/2/2020 | 11/2/2022 | Common Stock | 26146 | $0.00 | 0 | D | |
| Employee Stock Option (right to buy) | $2.33 | 1/5/2021 | | M | | | 10455 | 2/28/2020 | 2/28/2024 | Common Stock | 10455 | $0.00 | 20910 | D | |
| Employee Stock Option (right to buy) | $2.33 | 1/5/2021 | | M | | | 10455 | 2/28/2021 | 2/28/2024 | Common Stock | 10455 | $0.00 | 10455 | D | |
| Explanation of Responses: |
| (1) | Represents exercise of cash-settled SARs, which is treated as the simultaneous purchase of the number of shares for which SARs are exercised and the sale of the same number of shares. No shares were purchased or sold. |
| (2) | Represents shares withheld to pay option exercise price and to satisfy tax withholding obligations upon the exercise of stock options. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
DesAutels David
9800 RICHMOND AVENUE, SUITE 700
HOUSTON, TX 77042 |
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| Executive VP, Corp. Dev. |
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Signatures
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| /s/ David DesAutels by Michael G. Silver as Attorney-in-Fact | | 3/9/2021 |
| **Signature of Reporting Person | Date |
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