0000899243-20-006452.txt : 20200302 0000899243-20-006452.hdr.sgml : 20200302 20200302153234 ACCESSION NUMBER: 0000899243-20-006452 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200227 FILED AS OF DATE: 20200302 DATE AS OF CHANGE: 20200302 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gulati Himanshu CENTRAL INDEX KEY: 0001789562 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54218 FILM NUMBER: 20676474 MAIL ADDRESS: STREET 1: 500 FIFTH AVENUE STREET 2: SUITE 2320 CITY: NEW YORK STATE: NY ZIP: 10110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Antara Capital Fund GP LLC CENTRAL INDEX KEY: 0001789581 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54218 FILM NUMBER: 20676475 BUSINESS ADDRESS: STREET 1: 500 FIFTH AVENUE STREET 2: SUITE 2320 CITY: NEW YORK STATE: NY ZIP: 10110 BUSINESS PHONE: 646-762-8580 MAIL ADDRESS: STREET 1: 500 FIFTH AVENUE STREET 2: SUITE 2320 CITY: NEW YORK STATE: NY ZIP: 10110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Antara Capital GP LLC CENTRAL INDEX KEY: 0001789582 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54218 FILM NUMBER: 20676476 BUSINESS ADDRESS: STREET 1: 500 FIFTH AVENUE STREET 2: SUITE 2320 CITY: NEW YORK STATE: NY ZIP: 10110 BUSINESS PHONE: 646-762-8580 MAIL ADDRESS: STREET 1: 500 FIFTH AVENUE STREET 2: SUITE 2320 CITY: NEW YORK STATE: NY ZIP: 10110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Antara Capital Master Fund LP CENTRAL INDEX KEY: 0001789567 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54218 FILM NUMBER: 20676477 BUSINESS ADDRESS: STREET 1: 500 FIFTH AVENUE STREET 2: SUITE 2320 CITY: NEW YORK STATE: NY ZIP: 10110 BUSINESS PHONE: 646-762-8580 MAIL ADDRESS: STREET 1: 500 FIFTH AVENUE STREET 2: SUITE 2320 CITY: NEW YORK STATE: NY ZIP: 10110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Antara Capital LP CENTRAL INDEX KEY: 0001750183 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54218 FILM NUMBER: 20676478 BUSINESS ADDRESS: STREET 1: 500 FIFTH AVENUE, SUITE 2320 CITY: NEW YORK STATE: NY ZIP: 10110 BUSINESS PHONE: 646-762-8580 MAIL ADDRESS: STREET 1: 500 FIFTH AVENUE, SUITE 2320 CITY: NEW YORK STATE: NY ZIP: 10110 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EVO Transportation & Energy Services, Inc. CENTRAL INDEX KEY: 0000728447 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-AUTO DEALERS & GASOLINE STATIONS [5500] IRS NUMBER: 371615850 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 8285 WEST LAKE PLEASANT PARKWAY CITY: PEORIA STATE: AZ ZIP: 85382 BUSINESS PHONE: 877-973-9191 MAIL ADDRESS: STREET 1: 8285 WEST LAKE PLEASANT PARKWAY CITY: PEORIA STATE: AZ ZIP: 85382 FORMER COMPANY: FORMER CONFORMED NAME: MINN SHARES INC DATE OF NAME CHANGE: 19830922 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-02-27 0 0000728447 EVO Transportation & Energy Services, Inc. EVOA 0001750183 Antara Capital LP 500 FIFTH AVENUE, SUITE 2320 NEW YORK NY 10110 0 0 1 0 0001789567 Antara Capital Master Fund LP 500 FIFTH AVENUE, SUITE 2320 NEW YORK NY 10110 0 0 1 0 0001789582 Antara Capital GP LLC 500 FIFTH AVENUE, SUITE 2320 NEW YORK NY 10110 0 0 1 0 0001789581 Antara Capital Fund GP LLC 500 FIFTH AVENUE, SUITE 2320 NEW YORK NY 10110 0 0 1 0 0001789562 Gulati Himanshu 500 FIFTH AVENUE, SUITE 2320 NEW YORK NY 10110 0 0 1 0 Warrants to Purchase Common Stock 2.50 2020-02-27 4 P 0 3650000 A 2020-02-27 2030-02-27 Common Stock 3650000 8025000 I See Footnotes This Form 4 is being filed on behalf of (i) Antara Capital Master Fund LP, a Cayman Islands exempted limited partnership ("Antara Master Fund"), (ii) Antara Capital LP, a Delaware limited partnership ("Antara Capital"), (iii) Antara Capital GP LLC, a Delaware limited liability company ("Antara GP"), (iv) Antara Capital Fund GP LLC, a Delaware limited liability company ("Antara Fund GP") and (v) Himanshu Gulati (collectively, the "Reporting Persons"). Antara Capital serves as the investment manager of Antara Master Fund. Antara Fund GP is the general partner of Antara Master Fund and Antara GP is the general partner of Antara Capital. Himanshu Gulati is the sole member of Antara Fund GP and Antara GP. (continued from footnote 1) Each of Antara Capital, Antara GP, Antara Fund GP and Himanshu Gulati may be deemed to indirectly beneficially own 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. The warrants are held directly by Antara Master Fund. The total number of derivative securities beneficially owned by the Reporting Persons consists of (i) 7,678,404 warrants held directly by Antara Master Fund and (ii) 346,596 warrants held by a managed account for which Antara Capital 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. The warrants were issued in consideration for entering to that certain Forbearance Agreement and Incremental Amendment to Financing Agreement, dated as of February 27, 2020, by and among the EVO Transportation & Energy Services, Inc. ("EVO"), Antara Master Fund, Cortland Capital Market Services LLC, as administrative agent and collateral agent, and other entities from time to time party thereto. 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. On February 27, 2020, Himanshu Gulati resigned from the board of directors of EVO and Antara Master Fund terminated that certain Director Nomination Agreement, dated September 16, 2019, between EVO and Antara Master Fund, pursuant to which Antara Master Fund had the contractual right to designate one member of the EVO board of directors. As a result, the Reporting Persons shall no longer be deemed to be directors-by-deputization. ANTARA CAPITAL MASTER FUND LP, By: Antara Capital LP, not in its individual corporate capacity, but solely as Investment Advisor and agent, By: Antara Capital GP LLC, its general partner,By: /s/ Himanshu Gulati,Name: Himanshu Gulati,Title: Managing Member 2020-03-02 ANTARA CAPITAL LP, By: Antara Capital GP LLC, its general partner, By: /s/ Himanshu Gulati, Name: Himanshu Gulati, Title: Managing Member 2020-03-02 ANTARA CAPITAL GP LLC, By: s/ Himanshu Gulati, Name: Himanshu Gulati: , Title: Managing Member 2020-03-02 ANTARA CAPITAL FUND GP LLC, By: /s/ Himanshu Gulati, Name: Himanshu Gulati, Title: Managing Member 2020-03-02 By: /s/ Himanshu Gulati, Himanshu Gulati, an individual 2020-03-02