Securities and Exchange Commission
Washington, D.C. 20549
Rule 13e-3 Transaction Statement under Section
13(e) of the Securities Exchange Act of 1934
(Amendment No.
1)
Carbon Energy Corporation
(Name of the Issuer)
Carbon Energy Corporation
(Names of Persons
Filing Statement)
Common Stock
(Title of Class of
Securities)
14110Q100
(CUSIP Number of
Class of Securities)
Erich Kirsch
Principal Financial and Accounting Officer
Carbon Energy Corporation
1700 Broadway, Suite 1170
Denver, CO 80290
(720) 407-7055
With a copy to:
William T. Hart
Hart & Hart, LLC
1624 N. Washington Street
Denver, CO 80203
(303) 839-0061
(Name, Address, and
Telephone Numbers of Person Authorized to Receive Notices and Communications on Behalf of the Persons Filing Statement)
This statement is filed in
connection with (check the appropriate box):
a.
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☒
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The filing of solicitation materials or an information statement subject
to Regulation 14A (§§ 240.14a-1 through 240.14b-2), Regulation 14C (§§
240.14c-1 through 240.14c-101) or Rule 13e-3(c) (§ 240.13e-3(c)) under the Securities
Exchange Act of 1934 (“the Act”).
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b.
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☐
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The filing of a registration statement under the Securities Act of 1933.
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Check the following box if the soliciting materials or information
statement referred to in checking box (a) are preliminary copies: ☐
Check the following box if the filing
is a final amendment reporting the results of the transaction ☐
Calculation
of Filing Fee
Transaction valuation $191.00
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Amount of filing fee $0.04
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Transaction value determined by multiplying
the number of shares which the Company will purchase as a result of the Reverse Stock Split by $1.00.
☐ Check the box if any part of
the fee is offset as provided by § 240.0-11(a)(2) and identify the filing with which the offsetting fee was previously
paid. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing.
Form or Registration No.:
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INTRODUCTION
Concurrently
with the filing of this Schedule 13E-3, the Company is filing a preliminary proxy statement on Schedule 14A (the “Proxy
Statement”) pursuant to Regulation 14A under the Securities Exchange Act of 1934, as amended (the “Exchange Act”).
The
Proxy Statement is expressly incorporated by reference herein in its entirety and responses to each item herein are qualified in
their entirety by the information contained in the Proxy Statement.
Item 1. Summary Term Sheet
The
information in the Proxy Statement under the caption “Summary Term Sheet” is incorporated herein by reference.
Item 2. Subject Company Information
The
information in the Proxy Statement under the caption “Information Concerning Carbon Energy Corporation” is incorporated
hereby by reference.
Item 3. Identity and Background of Filing
Person
The
information in the Proxy Statement under the caption “Information Concerning Carbon Energy Corporation” is incorporated
hereby by reference.
Item 4. Terms of the Transaction
Information in the
Proxy Statement under the caption “Proposal to Approve a Reverse Split of the Company’s Common Stock” is incorporated
herein by reference.
Item 5. Past Contacts, Transactions,
Negotiations and Agreements
None.
Item 6. Purposes of the Transaction
and Plans or Proposals
Information in the
Proxy Statement under the caption “Proposal to Approve a Reverse Split of the Company’s Common Stock” is incorporated
herein by reference.
Item 7. Purposes, Alternatives, Reasons
and Effects
Information in the
Proxy Statement under the caption “Proposal to Approve a Reverse Split of the Company’s Common Stock” is incorporated
herein by reference.
Item 8. Fairness of the Transaction
Information in the
Proxy Statement under the caption “Proposal to Approve a Reverse Split of the Company’s Common Stock” is incorporated
herein by reference.
Item 9. Reports, Opinions, Appraisals
and Negotiations
None.
Item 10. Source and Amounts of Funds
or Other Consideration
Information in the
Proxy Statement under the caption “Proposal to Approve a Reverse Split of the Company’s Common Stock” is incorporated
herein by reference.
Item 11. Interest in Securities of the
Subject Company
The
information in the Proxy Statement under the caption “Information Concerning Carbon Energy Corporation” is incorporated
hereby by reference.
Item 12. The Solicitation or Recommendation
Information in the
Proxy Statement under the caption “Proposal to Approve a Reverse Split of the Company’s Common Stock” is incorporated
herein by reference.
Item 13. Financial Statements
The
information in the Proxy Statement under the captions “Summary Financial Information” and “Incorporation of Certain
Documents by Reference” is incorporated herein by reference.
Item 14. Persons/Assets, Retained, Employed,
Compensated or Used
None.
Item 15. Additional Information
None.
Item 16. Exhibits
(a)
Amended Preliminary Proxy Statement on Schedule 14A (incorporated herein by reference to the Company’s Schedule 14A filed
with the SEC on August 17, 2020).
(b)
Not applicable.
(c)
Not applicable.
(d) Not applicable.
(f) Not applicable.
(g) Not applicable.
Signature. After due inquiry and to
the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
/s/ Patrick R.
McDonald
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(Signature)
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Patrick R. McDonald
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Chief Executive Officer
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(Name and title)
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August 17, 2020
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(Date)
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3
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