What changed in this filing

/stocks — the workspaceLOADING

Item 9A. Controls and Procedures

2021-09-14 compared with 2020-09-10 · 45 added, 49 removed, 81 unchanged (54% of the section changed)

22 unchanged sentences

Other Information

On August 11, 2021, Mr.

Roderick Schultz and the Board agreed to terms of his retirement as the Chief Accounting Officer and Senior Vice President of the Company effective August 2, 2021.

In connection with Mr.

Schultz's retirement, the Board has appointed Mr.

Ryan Stash as the Principal Accounting Officer of the Company to replace Mr.

Schultz effective September 9, 2021.

Directors, Executive Officers, and Corporate Governance

12 unchanged sentences

Our consolidated financial statements are included in Part II, Item 8 of this report:

Reports of Independent Registered Public Accounting Firm

Report of Independent Registered Public Accounting Firm

Consolidated Balance Sheets

10 unchanged sentences

Evolution Petroleum Corporation

September 10, 2020

September 14, 2021 By:

President and Chief Executive Officer

1 unchanged sentence

In accordance with the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.

September 10, 2020

/s/ ROBERT S.

Chairman of the Board

September 10, 2020

President and Chief Executive Officer

Date Signature Title

September 14, 2021 /s/ ROBERT S.

Herlin Chairman of the Board

September 14, 2021 /s/ JASON E.

Brown President and Chief Executive Officer

(Principal Executive Officer)

September 10, 2020

/s/ DAVID JOE

Senior Vice President, Chief Financial Officer and Treasurer (Principal Financial Officer)

September 10, 2020

/s/ RODERICK SCHULTZ

Roderick Schultz

Vice President, Chief Accounting Officer (Principal Accounting Officer)

September 10, 2020

/s/ EDWARD J.

Lead Director

September 10, 2020

/s/ WILLIAM DOZIER

William Dozier

September 10, 2020

/s/ MARRAN H.

September 14, 2021 /s/ RYAN STASH

Ryan Stash Senior Vice President, Chief Financial Officer and Treasurer (Principal Financial Officer and Principal Accounting Officer)

September 14, 2021 /s/ EDWARD J.

DiPaolo Lead Director

September 14, 2021 /s/ WILLIAM DOZIER

William Dozier Director

September 14, 2021 /s/ KELLY W.

Loyd Director

September 14, 2021 /s/ MARJORIE A.

Hargrave Director

EXHIBIT INDEX

MASTER EXHIBIT INDEX

NUMBER DESCRIPTION

3.1 Articles of Incorporation (previously filed as an exhibit to Form 8-K on February 7, 2002)

4 unchanged sentences

4.1 Specimen form of the Company's Common Stock Certificate (previously filed as an exhibit to Form S-3 on June 19, 2013)

2004 Stock Plan (previously filed as an exhibit to the Company's Definitive Information Statement on Schedule 14C on August 9, 2004)

Amended and Restated 2004 Stock Plan, adopted December 4, 2007 (previously filed as Annex A to the Company's Definitive Information Statement on Schedule 14A on October 29, 2007)

Amendment to Amended and Restated 2004 Stock Plan, adopted December 5, 2011 (previously filed as Annex A to the Company's Definitive Information Statement on Schedule 14A on October 28, 2011)

Form of Stock Option Agreement for the Natural Gas Systems 2004 Stock Plan (previously filed as an exhibit to Form 8-K on April 8, 2005)

Form of Restricted Stock Agreement (previously filed as an exhibit to Form SC TO-I on May 15, 2009)

Form of Contingent Performance Stock Grant under the Amended and Restated 2004 Stock Plan (previously filed as an exhibit to Form 10-Q on November 7, 2014 )

4.2 2016 Equity Incentive Plan (previously filed as an exhibit to the Company's Form 10-Q on February 8, 2017)

4 unchanged sentences

4.7 Form of Performance Share Unit Award Agreement under 2016 Equity Incentive Plan as Revised on July 9, 2019 (previously filed as an exhibit to Form 10-K on September 13, 2019)

Purchase and Sale Agreement I, by and between NGS Sub Corp.

and Denbury Onshore, LLC, dated May 8, 2006 (previously filed as an exhibit to Form 8-K on June 16, 2006)

Purchase and Sale Agreement II, by and between NGS Sub Corp.

and Denbury Onshore, LLC, dated May 8, 2006 (previously filed as an exhibit to Form 8-K on June 16, 2006)

Unit Operating Agreement, by and between NGS Sub Corp.

and Denbury Onshore, LLC, dated May 8, 2006 (previously filed as an exhibit to Form 8-K on June 16, 2006)

Conveyance, Assignment and Bill of Sale Agreement, by and between NGS Sub Corp.

and Denbury Onshore, LLC, dated May 8, 2006 (previously filed as an exhibit to Form 8-K on June 16, 2006)

Settlement Agreement, dated June 24, 2016, by and among Denbury Onshore, LLC, Denbury Resources Inc., NGS Sub Corp., Tertiaire Resources Company, and the Company (previously filed as an exhibit to Form 10-K on September 9, 2016)

10.1 Settlement Agreement, dated June 24, 2016, by and among Denbury Onshore, LLC, Denbury Inc., NGS Sub Corp., Tertiaire Resources Company, and the Company (previously filed as an exhibit to Form 10-K on September 9, 2016)

10.2 Form of Indemnification Agreement for Officers and Directors, as adopted on September 20, 2006 (previously filed as an exhibit to Form 8-K on September 22, 2006)

10.3 Credit Agreement dated April 11, 2016 between Evolution Petroleum Corporation and MidFirst Bank (previously filed as an exhibit to Form 8-K on April 15, 2016)

First Amendment to Credit Agreement dated April 11, 2016, between Evolution Petroleum Corporation and Midfirst Bank effective October 18, 2016 (previously filed as an exhibit to Form 10-Q on November 9, 2016)

Second Amendment to Credit Agreement dated April 11, 2016, between Evolution Petroleum Corporation and Midfirst Bank effective February 1, 2018 (previously filed as an exhibit to Form 10-Q on February 8, 2018)

Third Amendment to Credit Agreement dated April 11, 2016, between Evolution Petroleum Corporation and Midfirst Bank effective May 25, 2018 (previously filed on September 10, 2018 as an exhibit to Form 10-K)

Fourth Amendment to Credit Agreement dated April 11, 2016, between Evolution Petroleum Corporation and Midfirst Bank effective December 31, 2018 (previously filed on February 8, 2019 as an exhibit to Form 10-Q)

10.4 First Amendment to Credit Agreement dated April 11, 2016, between Evolution Petroleum Corporation and Mid F irst Bank effective October 18, 2016 (previously filed as an exhibit to Form 10-Q on November 9, 2016)

10.5 Second Amendment to Credit Agreement dated April 11, 2016, between Evolution Petroleum Corporation and Mid F irst Bank effective February 1, 2018 (previously filed as an exhibit to Form 10-Q on February 8, 2018)

10.6 Third Amendment to Credit Agreement dated April 11, 2016, between Evolution Petroleum Corporation and Mid F irst Bank effective May 25, 2018 (previously filed on September 10, 2018 as an exhibit to Form 10-K)

10.7 Fourth Amendment to Credit Agreement dated April 11, 2016, between Evolution Petroleum Corporation and Mid F irst Bank effective December 31, 2018 (previously filed on February 8, 2019 as an exhibit to Form 10-Q)

10.8 Fifth Amendment to Credit Agreement dated April 11, 2016, between Evolution Petroleum Corporation and MidFirst Bank effective November 2, 2020 (previously filed on November 9, 2020 as an exhibit to Form 10-Q)

10.9 Sixth Amendment to Credit Agreement dated April 11, 2016, between Evolution Petroleum Corporation and MidFirst Bank effective December 28, 2020 (previously filed as an exhibit on Form 8-K filed on January 11, 2021)

10.10 Seventh Amendment to Credit Agreement dated August 5, 2021, between Evolution Petroleum Corporation and MidFirst Bank effective June 30, 2021

10.11 Employment Offer Letter to Jason E.

Brown dated July 8, 2019 (previously filed as an exhibit to Form 10-K on September 13, 2019)

Code of Business Conduct and Ethics (previously filed as an exhibit to Form 8-K on May 4, 2006)

10.12 Employment Offer Letter to Ryan Stash dated October 9, 2020 (filed herein)

10.13 Purchase and Sale Agreement, dated March 29, 2021, between Evolution Petroleum Corporation and TG Barnett Resources LLP (incorporated by reference to Exhibit 10.1 to Evolution Petroleum Corporation’s Current Report on Form 8-K filed on May 11, 2021)

10.14 First Amendment to the Purchase and Sale Agreement, dated March 29, 2021, effective April 20, 2021 (incorporated by reference to Exhibit 10.2 to Evolution Petroleum Corporation’s Current Report on Form 8-K filed on May 11, 2021)

NUMBER DESCRIPTION

10.15 Second Amendment to the Purchase and Sale Agreement, dated March 29, 2021, effective May 4, 2021 (incorporated by reference to Exhibit 10.3 to Evolution Petroleum Corporation’s Current Report on Form 8-K filed on May 11, 2021)

10.16 Third Amendment to the Purchase and Sale Agreement, dated March 29, 2021, effective May 6, 2021 (incorporated by reference to Exhibit 10.4 to Evolution Petroleum Corporation’s Current Report on Form 8-K filed on May 11, 2021)

14.1 Code of Business Conduct and Ethics ( filed here with )

21.1 List of Subsidiaries of Evolution Petroleum Corporation (filed herein)

8 unchanged sentences

99.1 The summary of DeGolyer and MacNaughton's Report as of June 30, 2021, on oil and gas reserves (SEC Case) dated August 2, 2021 and certificate of qualification (filed herein)

XBRL Instance Document

XBRL Taxonomy Extension Schema Document

XBRL Taxonomy Extension Calculation Linkbase Document

XBRL Taxonomy Extension Definition Linkbase Document

XBRL Taxonomy Extension Label Linkbase Document

XBRL Taxonomy Extension Presentation Linkbase Document

101.INS XBRL Instance Document

101.SCH XBRL Taxonomy Extension Schema Document

101.CAL XBRL Taxonomy Extension Calculation Linkbase Document

101.DEF XBRL Taxonomy Extension Definition Linkbase Document

101.LAB XBRL Taxonomy Extension Label Linkbase Document

101.PRE XBRL Taxonomy Extension Presentation Linkbase Document

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-K

Item 9A. Controls and Procedures