Phoenix Energy One counsel reports 150 preferred shares

Phoenix Energy One, LLC reported an initial insider ownership position for General Counsel Robert Richard Kaplan Jr. in a Form 3.

Accepted by SEC EDGAR 05/28/2026 - 05:27 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Phoenix Energy One, LLC reported an initial insider ownership position for General Counsel Robert Richard Kaplan Jr. in a Form 3. The filing shows he directly holds 150 Series A Cumulative Redeemable Preferred Shares as of the reported date, with no specific purchase or sale transaction disclosed.

Insider Trade Summary

Holdings reported, no transactions

Holdings

Insider Kaplan Robert Richard Jr.

Role General Counsel

Type	Security	Shares	Price	Value
Holding	Series A Cumulative Redeemable Preferred Shares	--	--	--

Holdings: Series A Cumulative Redeemable Preferred Shares — 150 shares (Direct)

Key Figures

Preferred shares held: 150 shares

1 metrics

Preferred shares held 150 shares Series A Cumulative Redeemable Preferred Shares held directly after reported entry

Key Terms

Series A Cumulative Redeemable Preferred Shares, Form 3, direct ownership

3 terms

Series A Cumulative Redeemable Preferred Shares financial

"security_title: "Series A Cumulative Redeemable Preferred Shares""

Series A cumulative redeemable preferred shares are a class of preferred stock that pays a fixed dividend which accumulates if not paid, and can be bought back by the issuer under agreed terms. Think of them as a loan-like share that sits ahead of common stock for dividend payments and in any company wind-up, giving holders more predictable income and clearer exit options; that affects a company’s cash obligations and investors’ priority.

Form 3 regulatory

"INSIDER FILING DATA (Form 3)"

Form 3 is the initial public filing that officers, directors and large shareholders must submit to report their ownership of a company’s securities when they become insiders. It acts like an opening inventory sheet that gives investors a starting point to see who holds significant stakes and to spot later trades or potential conflicts of interest, helping assess insider confidence and transparency.

direct ownership financial

"ownership_type: "direct""

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider position did PHXE General Counsel report on this Form 3?

Phoenix Energy One’s General Counsel Robert Richard Kaplan Jr. reported direct ownership of 150 Series A Cumulative Redeemable Preferred Shares. This Form 3 simply establishes his initial disclosed holdings, without describing any recent purchase or sale activity.

Does the PHXE Form 3 show any insider buying or selling activity?

The Form 3 does not show explicit buying or selling activity. It lists a direct holding of 150 Series A Cumulative Redeemable Preferred Shares, functioning as an initial ownership report rather than a transaction-focused filing.

What type of security does the PHXE insider hold according to the Form 3?

The insider holds Series A Cumulative Redeemable Preferred Shares of Phoenix Energy One, LLC. The Form 3 specifies a direct position of 150 such preferred shares, providing transparency into this class of security owned by the company’s General Counsel.

How many PHXE preferred shares does the insider own after the reported Form 3 entry?

After the reported entry, the insider is shown holding 150 Series A Cumulative Redeemable Preferred Shares. This figure represents total shares following the reported holding and serves as a baseline for any future insider filings.

Is the PHXE insider ownership reported as direct or indirect on this Form 3?

The ownership is reported as direct on this Form 3. The filing identifies the 150 Series A Cumulative Redeemable Preferred Shares as directly held by the insider, rather than through a trust, partnership, or other indirect entity.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Understanding Insider Trading Forms →

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Kaplan Robert Richard Jr.

(Last) (First) (Middle)

C/O PHOENIX ENERGY ONE, LLC

18575 JAMBOREE ROAD, SUITE 830

(Street)

IRVINE CALIFORNIA 92612

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
05/18/2026

3. Issuer Name and Ticker or Trading Symbol
Phoenix Energy One, LLC [ PHXE.P ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	General Counsel

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Series A Cumulative Redeemable Preferred Shares	150	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

Remarks:

Exhibit 24 - Power of Attorney.

	/s/ Robert Kaplan	05/27/2026
	** 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 5 (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.
* Form 3: SEC 1473 (03-26)