UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549


FORM 10-K/A

(Amendment No. 1)


(X) ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the Fiscal Year Ended March 31, 2009

 

(   ) TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

Commission File Number: 0-51414


[lei09ka001.jpg]


LUCAS ENERGY, INC.

(Exact name of registrant as specified in its charter)


Nevada

98-0417780

(State of other jurisdiction of incorporation or organization)

(I.R.S. Employer Identification No.)


Nevada                                                                                                               98-0417780

(State or other jurisdiction of                                                                             (I.R.S. Employer

    incorporation or organization)                                                                          Identification No.)

 

6800 West Loop South, #415

Bellaire, TX 77401

(Address of principal executive offices)


(713) 528-1881

(Registrant's telephone number, including area code)



Securities registered pursuant to Section 12(b) of the Act:   Common Stock: $0.001 par value


Securities registered pursuant to Section 12(g) of the Act:   None


Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.  Yeso   No x


Indicate by check mark if the registrant is not required to file reports pursuant to Section13 or Section 15(d) of the Act.  Yes o   No x


Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant



1





was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.    Yes x   No o


Indicate by check mark  if disclosure of delinquent filers pursuant to Item 405 of  Regulation  S-K  is not contained herein, and will not be contained,  to the best of the registrant's knowledge, in definitive proxy or information statements incorporated  by  reference  in Part III of this  Form 10-K or any amendment to this Form 10-K. x


Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company.  See the definitions of “large accelerated filer”, “accelerated filer”, “non-accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act (Check one):


Large accelerated filer o

     Accelerated filer o

Non-accelerated filer o

Smaller reporting company x

  

  

 

  


Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).  Yes o  No  x

 

Aggregate market value of the voting and non-voting common equity held by non-affiliates of the registrant as of September 30, 2008 (the last business day of the registrant’s most recently completed second fiscal quarter)

 

$


12,338,093

 

  

 

 

 

 

Number of shares of registrant’s common stock outstanding as of June 16, 2009

 

 

10,346,488

 

 

 



2





EXPLANATORY NOTE

 

Lucas Energy, Inc. (the “Company,” “we,” “us” or “our”) is filing this Amendment No. 1 on Form 10-K/A (this “Amendment”) to amend its Annual Report on Form 10-K for the fiscal year ended March 31, 2009, filed with the Securities and Exchange Commission (the “SEC”) on June 29, 2009.  

 

This Amendment is being filed to amend the Form 10-K at March 31, 2009 to include the information required by Items 10 through 14 of Part III of Form 10-K.  Except for the addition of the Part III information and addition of Board committee charters attached as exhibits, no other changes have been made to the Company Annual Report on Form 10-K for the fiscal year ending March 31, 2009.





3





LUCAS ENERGY, INC.

FORM 10-K/A

For the Fiscal Year Ended March 31, 2009

TABLE OF CONTENTS

 

 

 

Page

   

Part III

 

 
   

Item 10.

Directors, Executive Officers and Corporation Governance.                          

5

Item 11.

Executive Compensation.

8

Item 12.

Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters.

10

Item 13.

Certain Relationships and Related Transactions, and Director Independence.

10

Item 14.

Principal Accounting Fees and Services.

11

   

Part IV

  
   

Item 15.

Exhibits, Financial Statement Schedules.

12

   

SIGNATURES

  


 


4





PART III


ITEM 10       DIRECTORS, EXECUTIVE OFFICERS, and CORPORATE GOVERNESS


The following table sets forth the names, ages, and offices held by our directors and executive officers:

    

Name

Position

Date First Elected

Age


Fred J. Hofheinz


Chairman of Board


September 18, 2008


71

William A. Sawyer

Chief Executive Officer, Director

April 6, 2005

60

Donald L. Sytsma

Chief Financial Officer, Treasurer

April 14, 2009

51

Eric Wold

Director

May 19, 2006

36

Peter K. Grunebaum

Director

January 29, 2007

75


Information Concerning the Board of Directors and its Committees.


All directors hold office until the next annual meeting of stockholders and until their successors have been duly elected and qualified.  There are no agreements with respect to the election of directors.  We have not compensated our directors for service on the Board of Directors or any committee thereof, but directors are reimbursed for expenses incurred for attendance at meetings of the Board and any committee thereof.  Executive officers are appointed annually by the Board and each executive officer serves at the discretion of the Board. The Executive Committee of the Board of Directors, to the extent permitted under Nevada  law,  exercises  all of the  power  and  authority  of the  Board in the management of the business and affairs of Lucas Energy  between  meetings of the Board.


The Board of Directors is comprised of a majority of the directors who are independent, and the Board has determined that Mr. Hofheinz, Mr. Grunebaum, and Mr. Wold do not have a material relationship with Company that would interfere with the exercise of independent judgment in carrying out their responsibilities of a director.  The Board has established an Audit and Ethics Committee, a Nominating Committee and a Compensation Committee that are solely comprised of the aforementioned independent directors.     


The business experience of each of the persons listed above during the past five years is as follows:


FRED J. HOFHEINZ, CHAIRMAN OF BOARD, Chair of Nominating Committee


Mr. Hofheinz, the former Mayor of the City of Houston (1974-1978), began his business career with his late father, Roy Hofheinz, Sr., who built the Houston Astrodome and who was the initial owner of the Houston Astros baseball team.  Mr. Hofheinz played a key role in the family real estate development projects surrounding the Astrodome, including an amusement park – Astroworld and four hotels.  He was the senior officer of Ringling Brothers Barnum and Bailey Circus, which was owned by the Hofheinz family.   In 1971, Mr. Hofheinz co-founded a closed circuit television company, Top Rank, which is now the leading professional boxing promotion firm in the nation.  He has served as President of the Texas Municipal League and served on the boards of numerous other state and national organizations for municipal government elected officials.  In addition to his law practice, Mr. Hofheinz also owned several direct interests in oil and gas companies.  He has also dealt extensively with business interests, primarily oil and gas related, in the People’s Republic of China and in the Ukraine.


For the past five years Mr. Hofheinz has been an investor and a practicing attorney with the firm of Williams, Birnberg & Anderson in Houston, Texas, and the city that he served as mayor from 1974 to 1978.  While he has numerous investments in real estate, his principal investment interest is in oil and gas.  He has been actively engaged in successful exploration and production ventures, both domestic and international.  He holds a PhD in economics, from the University of Texas and takes an active interest in Houston’s civic and charitable affairs.  He was admitted to the Texas bar in 1964, having received his preparatory education at the University of Texas, (B.A., M.A., Ph.D., 1960-1964); and his Legal education at the University of Houston, (J.D., 1964).



WILLIAM A. SAWYER, CHIEF OPERATING OFFICER, DIRECTOR


Mr. Sawyer's appointment to his positions with the Company was effective on June 13, 2006. Mr. Sawyer is a proven hands-on energy executive with over 30 years of diversified experience in the energy industry with



5





firms such as; ARCO, Houston Oil & Minerals, Superior Oil (Mobil), and ERCO. Mr. Sawyer founded the petroleum consulting firm of Exploitation Engineers, Inc. The firm has served the oil and gas industry for more than eighteen years. From the period from 1999 to 2004, Mr. Sawyer worked for Exploitation Engineers. His clients have included private investors, independent oil companies, banking institutions, major energy and chemical companies, and the US government. The firm has evaluated and managed large projects such as a private trust, which included interests in several hundred producing and non-producing oil and gas properties. This background as a consultant has given Mr. Sawyer the superior technical and business skills necessary to evaluate mineral interests and to prepare fair market value appraisals of both minerals interests and sub-surface storage interests. Mr. Sawyer has been an expert witness in federal court, state court, and before several state agencies in Texas and Oklahoma. Mr. Sawyer has testified as to the fair market value of mineral interests and sub-surface storage interests on several occasions.


DONALD L. SYTSMA - CHIEF FINANCIAL OFFICER, TREASURER


Mr. Sytsma has over 25 years experience in the energy industry in the upstream, midstream and downstream energy sector.  Mr. Sytsma received his bachelor of science in accounting from Indiana University in May 1979 with highest distinction. Mr. Sytsma is a former Executive Committee Member of the North America Energy Standards Board and Co-Chaired multiple industry subcommittees, developing standards for the U.S. energy markets. Mr. Sytsma is a certified public accountant.  Mr. Sytsma is a certified public accountant in the State of Texas. Mr. Sytsma was a director, Treasurer and Chief Financial Officer of Gulf Western Petroleum (formerly Wharton Resources). Since April 2003, Mr. Sytsma has been president of DLS Energy Associates, LLC, an independent consulting company. From November 2003 to June 2005, Mr. Sytsma was Chief Financial Officer of Altus Explorations, and from November 2003 through February 2006, Mr. Sytsma was a director of Altus. From May 2001 to April 2003, Mr. Sytsma was Vice-President of R.J. Rudden Associates.


ERIC WOLD, CFA – DIRECTOR, Chairman of Audit and Ethics Committee


Eric Wold is the Director of Equity Research at Merriman Curhan Ford, where he is responsible for managing the firm’s Research Department as well as covering the Media & Entertainment and Branded Consumer sectors. He joined the firm in March 2002. For 2006, Mr. Wold was ranked #1 in the nation by the Forbes/StarMine survey and #4 by The Wall Street Journals Best on the Street survey for the Restaurant industry. For 2004, Mr. Wold was ranked #2 in the nation by both The Wall Street Journals’ Best on the Street and the Forbes/StarMine surveys for the Restaurant industry.   Prior to joining Merriman Curhan Ford, Mr. Wold served as Director of Corporate Finance with NightFire Software, a privately-held telecommunications software company based in Oakland, California. In this capacity, he oversaw the company's corporate finance activities, including a Series D equity financing and multiple debt restructurings. From 1997 through 2000, Mr. Wold served as Vice President and Senior Research Analyst at First Security Van Kasper, where he was responsible for the Restaurant and Branded Consumer sectors. Prior to Van Kasper, Mr. Wold began his career on the buy-side with Research Analyst positions with both Polynous Capital Management (a hedge fund that he co- founded in 1996) and GT Global Financial Services. Mr. Wold received his Chartered Financial Analyst (CFA) designation in 1997 and a BS in Finance from the University of California at Berkeley.


PETER K. GRUNEBAUM – DIRECTOR, Chairman of Compensation Committee


Mr. Grunebaum is an independent investment banker with over 40 years of experience in the energy sector with a specialty in Exploration & Production. Previously he was the Managing Director of Fortrend International, an investment firm headquartered in New York, New York, a position he held from 1989 until the end of 2003. From 2003 to present, Mr. Grunebaum has been an independent investment banker. Mr. Grunebaum is a graduate of Lehigh University, and in addition to being a board member of Lucas, he is also on the Board of Prepaid Legal Services, Inc. [NYSE:PPD] and Stonemor Partners LP. [NASDAQ: STON].  



There are no family relationships among our directors and executive officers.  No director or executive officer has been a director or executive officer of any business which has filed a bankruptcy petition or had a bankruptcy petition filed against it.  







6





Information about Board Committees

 

The Chairman of the Audit and Ethics Committee is Mr. Eric Wold, and committee members are Mr. Grunebaum and Mr. Hofheinz.   Mr. Wold is a financial expert as defined in Regulation S-X, Item 407 (d) 5 (ii) through his experience as a Chartered Financial Analyst in assessing the performance of companies and in evaluating complex financial statements of companies. The Audit Committee has a written charter which is filed herewith in Exhibit 14.3.  


The Chairman of the Nominating Committee is Mr. Fred Hofheinz, and committee members are Mr. Wold and Mr. Grunebaum.  The Nominating Committee has a written charter which is filed herewith in Exhibit 14.4.


The Chairman of the Compensation Committee is Mr. Peter Grunebaum, and committee members are Mr. Hofheinz and Mr. Wold.  The Compensation Committee has a written charter which is filed herewith in Exhibit 14.5.



COMPLIANCE WITH SECTION 16(a) OF THE EXCHANGE ACT


Section 16(a) of the Exchange Act requires our directors and officers, and the persons who beneficially own more than ten percent of our common stock, to file reports of ownership and changes in ownership with the SEC. Copies of all filed reports are required to be furnished to us pursuant to Rule 16a-3 promulgated under the Exchange Act. Based solely on the reports received by us and on the representations of the reporting persons, we believe that these persons have complied with all applicable filing requirements during the fiscal year ended March 31, 2009.



CODE OF ETHICS


The Company adopted a code of ethics (“Code”) that applies to all of its directors, officers, employees, consultants, contractors and agents of the Company.   The Code of Ethics has been reviewed and approved by the Board of Directors.  The Company’s Code of Ethics is filed herewith as Exhibit 14.1.  Original copies of the Code of Ethics are available, free of charge, by submitting a written request to the Company at 6800 West Loop South, Suite 415, Bellaire Texas 77401.



WHISTLEBLOWER PROTECTION POLICY


The Company adopted a Whistleblower Protection Policy (“Policy”) that applies to all of its directors, officers, employees, consultants, contractors and agents of the Company. The Whistleblower Policy has been reviewed and approved by the Board of Directors. The Company’s Whistleblower Policy is filed herewith as Exhibit 14.2. Original copies of the Whistleblower Policy are available, free of charge, by submitting a written request to the Company at 6800 West Loop South, Suite 415, Bellaire Texas 77401.




7





ITEM 11.     EXECUTIVE COMPENSATION


The following table sets for compensation information with respect to our chief executive officer, our highly compensated executive officers at the end of our fiscal year, and individuals for whom disclosure would have been provided herein but for the fact they were not serving as an executive officer of the Company at the end of our fiscal year.    

 

Executive Compensation – Summary Compensation Table

Name and

Principal Position

Fiscal Year

Salary

($)

Bonus

($)

Stock Awards ($)

Option Awards

($)

All Other Compensation

($)

Total

($)

        

William A. Sawyer (1)

2009

150,000

-

-

-

2,000

152,000

President and

2008

150,000

-

18,750

-

96,250

265,000

Chief Executive Officer

       
        

James J. Cerna, Jr. (2)

2009

153,125

-

-

-

2,000

155,125

Chairman, President and

2008

175,000

-

-

-

111,875

286,875

Chief Executive Officer

       
        

Donald L. Sytsma (3)

2009

-

-

-

-

-

-

Chief Financial Officer

2008

-

-

-

-

-

-

        

William A. Sikora (4)

2009

63,736

-

8,846

267,083

9,200

348,865

President and   

2008

-

-

-

-

-

-

Chief Executive Officer

       
        

Malek A. Bohsali (5)

2009

37,250

-

25,000

-

2,000

64,250

Chief Financial Officer

2008

20,000

-

18,750

-

2,500

41,250

        



(1) Mr. Sawyer co-founded the Company and was originally appointed to a position with the Company on June 13, 2006.  Mr. Sawyer has served as a Director of the Company and as its chief operating officer, until his appointment to president and chief executive officer on January 22, 2009.  On March 20, 2007, the Company entered into an employment agreement with Mr. Sawyer (filed as exhibit 10.6 to the Company's Annual Report on Form 10-KSB for the year ended March 31, 2007).  Mr. Sawyer’s agreement is for a period of 3 years and provides for payment of $150,000 annually in exchange for services to the Company.  The agreement also provides for certain payments in the event termination of employment.

  

(2) Mr. Cerna co-founded the Company and was originally appointed a Director and chief executive officer of the Company on May 19, 2006, and he was appointed as president on June 12, 2006.  On September 2, 2008, Mr. Cerna transferred his duties as president and chief executive officer to Mr. Sikora and continued his role as Chairman of the Board of Directors.  On May 5, 2009 Mr. Cerna’s resigned as Chairman and as a member of the Board. On March 20, 2007, the Company entered into employment agreement with Mr. Cerna (filed as exhibits 10.5 to the Company's Annual Report on Form 10-KSB for the year ended March 31, 2007).  Mr. Cerna's agreement is for a period of 3 years and provides for payment of $175,000 annually in exchange for services to the Company.  The agreement also provides for certain payments in the event termination of employment.  In connection with Company initiatives to scale back costs in response to low oil prices during our 4th fiscal quarter, Mr. Cerna agreed to suspend payment of his compensation under his employment agreement.  Mr. Cerna and the Company are in active discussions as to the settling up of amounts provided for in his referenced employment agreement.      

 

(3) Mr. Sytsma was appointed Chief Financial Officer and Treasurer of the Company on April 14, 2009, and he serves as the principal accounting and financial officer for the Company.   Mr. Sytsma’s current compensation arrangement with the Company provides for a salary of $9,000 per month for services as required by the Company, plus 2,000 shares of Company common stock per month agreed to as a material inducement to entering into Mr. Sytsma’s employment with the Company.    


(4) Mr. Sikora was appointed President and Chief Executive Officer of the Company on September 2, 2008, pursuant to an employment agreement dated thereof and incorporated by reference to the Form 8-K dated September 2, 2008 that was filed with the Securities and Exchange on September 4, 2008.  Mr. Sikora was elected a Director on November 18, 2008.  Pursuant to the employment agreement, Mr. Sikora’s initial year base salary was set at $125,000; he was granted non-qualified stock options to purchase 200,000 shares of the Company common stock at $2.60 per share that vested over two years; and he was to receive 19,230 shares of Company common stock.   On January 22, 2009, Mr. Sikora’s services with the Company ended and in accordance with the referenced employment agreement the options became fully vested.  At the time the options were issued to Mr. Sikora they were valued at $267,083 using the Black-Sholes Option Pricing Model and the entire fair value of the options



8





were recognized by the Company upon the termination of services.  Additionally the Company issued 19,230 shares of restricted common stock to Mr. Sikora that were valued at $8,846 at the time of issuance by the Company.   


(5) Mr. Bohsali served as Chief Financial Officer of the Company from April 10, 2007 through April 14, 2009, and is corporate secretary of the Company.



Other resources utilized in the operations of the Company's as interests are typically contractors or sub-contractors of vendors and service providers that are not owned directly or indirectly by the Company or any officer, director or shareholder owning greater than five percent (5%) of our outstanding shares, nor are they members of the referenced individual’s immediate family.  Such sub-contracting engagement and per job payments are commonplace in the Company's business.  The Company expects to continue to utilize and pay such service providers and third party contractors necessary to operate its day-to-day field operations.  



Outstanding Equity Awards at 2009 Fiscal Year End – Option Awards

 


Name

Number of securities underlying unexercised options (#) exercisable

Number of securities underlying unexercised options (#) unexercisable

Equity incentive plan awards: Number of securities underlying unexercised unearned options (#)

Option exercise price ($)

Option expiration date

      

William A. Sikora

200,000

--

--

$             2.60

9/2/2011




Director Compensation


Name

Fees earned or paid in cash ($)

Stock awards ($)

Option awards ($)

Non-equity incentive plan compensation ($)

Nonqualified deferred compensation earnings ($)

All other compensation

Total ($)

        

Peter K. Grunebaum

$         2,000

$       11,250

--

--

--

--

$    13,250

Fred Hofheinz

$         2,000

$       11,250

--

--

--

--

$    13,250

Rick Schmid

$         2,000

$       11,250

--

--

--

--

$    13,250

Eric Wold

$         2,000

$       11,250

--

--

--

--

$    13,250



Compensation for serving as a director for an individual that is a named executive officer is reflected in the above table on Executive Compensation.   



9





ITEM 12.     SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCK


The following table sets forth information, to the best of our knowledge as of March 31, 2009, with respect to each person known by us to own beneficially more than 5% of our outstanding common stock, and each director and officer, and all directors and officers as a group.  


Security Ownership of Certain Beneficial Owners.



Title of Class


Name and Address of Beneficial Owner

Amount and Nature of Beneficial Ownership

Percent of Class

 

 

 

 

Common

Fred J. Hofheinz  

6800 West Loop South, Suite 415

Bellaire, Texas 77401

25,000

0.24%

Common

William A. Sawyer

6800 West Loop South, Suite 415

Bellaire, Texas 77401

277,224

2.68%

Common

Eric Wold

6800 West Loop South, Suite 415

Bellaire, Texas 77401

111,223

1.08%

Common

Peter Grunebaum

6800 West Loop South, Suite 415

Bellaire, Texas 77401

71,062

0.69%

Common

Donald L. Sytsma

6800 West Loop South, Suite 415

Bellaire, Texas 77401

1,500

0.01%

Common

LGA, Inc.

377 S. Nevada St.

Carson City, Nevada 89703

1,480,995

11.11%

Common

James J. Cerna Jr.

Revocable Trust

6800 West Loop South, Suite 415

Bellaire, Texas 77401

869,903

8.41%  

Common

ALL EXECUTIVE OFFICERS AND DIRECTORS AS A GROUP

486,009

4.70%




ITEM 13.      CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS


During the past two fiscal years, there have been no transactions between us and any officer, director, nominee for election as director, or any shareholder owning greater than five percent (5%) of our outstanding shares, nor any member of the above referenced individuals' immediate family, except as set forth below.


It is our  policy  that any  future  material  transactions  between us and members of management or their  affiliates shall be on terms no less  favorable than those available from unaffiliated third parties.




10





ITEM 14.      PRINCIPAL ACCOUNTANTS FEES AND SERVICES


Our audit committee of the board of directors approves in advance the scope and cost of the engagement of an auditor before the auditor renders audit and non-audit services.  


Audit Fees


The aggregate fees billed by our  independent  auditors, GBH CPAs, PC and Malone & Bailey, PC for professional  services  rendered  for the  audit  of our annual financial statements  included  in our Annual  Reports on Form 10-K for the years ended March 31, 2009 and 2008, and for the review of quarterly financial statements included in our Quarterly Reports on Form 10-Q for the quarters  ending June 30, September 30, and December 31, 2008 and 2007, were:


 

2009

2008

GBH CPAs, PC

$   79,965

$  66,990

Malone & Bailey, PC

$             -

$  56,758


Audit fees incurred by the Company were pre-approved by the Audit Committee.


Audit Related Fees


For the years ended March 31, 2009 and 2008,  there were no fees billed for assurance and  related  services  by  GBH CPAs, PC or Malone & Bailey, PC relating to  the performance of the audit of our  financial  statements  which are not reported under the caption "Audit Fees" above.


 Tax Fees


For the years ended March 31, 2009 and 2008, fees billed by GBH CPAs, PC or Malone & Bailey, PC, respectively, for tax compliance, tax advice and tax planning were $-0- and $-0-, respectively.


We do not use the auditors for financial information system design and implementation. These services, which include designing or implementing a system that  aggregates  source data underlying the financial  statements or generates information  that is  significant  to our  financial  statements,  are  provided internally or by other service  providers.  We do not engage the auditors to provide compliance outsourcing services.


The audit committee of the board of directors has considered the nature and amount of fees billed by GBH CPAs, PC and Malone & Bailey, PC and believes that the provision of services for activities unrelated to the  audit  is compatible  with  maintaining GBH CPAs, PC and Malone & Bailey, PC’s  independence.


 All Other Fees


None.


11





PART IV



ITEM 15.    EXHIBITS, FINANCIAL STATEMENT SCHEDULES, AND REPORTS ON FORM 8-K


(a)

  


1.  

Financial Statements


See “Index to the Consolidated Financial Statements” set forth on Page F-1 of the Lucas Energy, Inc Annual Report on Form 10-K for the fiscal year ended March 31, 2009 filed with the Securities and Exchange Commission on June 29, 2009.  


2.  

Financial Statement Schedules


Financial statement schedules have been omitted because they are either not required, not applicable or the information required to be presented is included in the Company’s consolidated financial statements and related notes.

 

3.  

Exhibits  


Exhibit No.

Description

3.1

Articles of Incorporation (incorporated by reference to the Company Annual Report of Form 10-KSB for the fiscal year ended November 30, 2005 filed with the SEC on February 14, 2006 as Exhibit 3.1)

3.2

Bylaws (incorporated by reference to the Company Annual Report of Form 10-KSB for the fiscal year ended November 30, 2005 filed with the SEC on February 14, 2006 as Exhibit 3.2)

10.1

Contract with SMC (incorporated by reference to the Company Annual Report of Form 10-KSB for the fiscal year ended November 30, 2005 filed with the SEC on February 14, 2006 as Exhibit 10.1)

10.2

Consignment Agreement (incorporated by reference to the Company Annual Report of Form 10-KSB for the fiscal year ended November 30, 2005 filed with the SEC on February 14, 2006 as Exhibit 10.2)

10.3

Stock Purchase Agreement between Lucas Energy, Inc. and The Delphic Oil Co., LLC, dated December 20, 2006 (incorporated by reference to the Form 8-K dated December 20, 2006 filed with the SEC on December 21, 2009 as Exhibit 10.1)

10.4

Oil, Gas and Mineral Lease between Lucas Energy, Inc. and Griffin, filed of record on February 23, 2007 (incorporated by reference to the Form 8-K dated February 24, 2007 filed with the SEC on March 1, 2007 as Exhibit 10.4)

10.5

Employment Agreement between Lucas Energy, Inc. and James J. Cerna, dated March 20, 2007 (incorporated by reference to the Company Annual Report on Form 10-KSB for the fiscal year ended March 31, 2007 filed with the SEC on June 29, 2007, Exhibit 10.5)

10.6

Employment Agreement between Lucas Energy, Inc. and William A. Sawyer, dated March 20, 2007 (incorporated by reference to the Company Annual Report on Form 10-KSB for the fiscal year ended March 31, 2007 filed with the SEC on June 29, 2007, Exhibit 10.6)

10.7

Credit Agreement between Lucas Energy, Inc. and Amegy Bank National Association (2)

10.8

Secured Promissory Note between Lucas Energy, Inc. and Amegy Bank National Association (2)

10.9

Deed of Trust, Security Agreement, Financing Statement and Assignment of Production from Lucas Energy to Kenneth R. Batson, Trustee, for the benefit of Amegy Bank National Association (2)

10.10

Security Agreement by Lucas Energy, Inc. in favor of Amegy Bank National Association (2)

14.1

Code of Ethics (1)

14.2

Whistleblower Protection Policy (1)

14.3

Charter of the Audit and Ethics Committee (1)

14.4

Charter of the Nominating Committee (1)

14.5

Charter of the Compensation Committee (1)

31.1

Certification of CEO Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (1)

31.2

Certification of CFO Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (1)



12



32.1

Certification of CEO Pursuant to 18 U.S.C. Section 1350 as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (1)

32.2

Certification of CFO Pursuant to 18 U.S.C. Section 1350 as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (1)

 

* Incorporated by reference to previous filing with the United States Securities and Exchange Commission


(1)

Filed herewith.

(2)

Incorporated by reference to the Form 8-K dated October 8, 2008 filed with the United States Securities and Exchange Commission on October 14, 2008.



(b)

  See (a) 1 above


(c)

  See (a) 2 above





13





SIGNATURES


In accordance with Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant caused duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.



 

LUCAS ENERGY, INC.

   
 

By: / s / William A. Sawyer

 

William A. Sawyer

 

President and Chief Executive Officer

 

(Principal Executive Officer)

 


 

By: / s / Donald L. Sytsma

 

Donald L. Sytsma

 

Chief Financial Officer)

 

(Principal Financial and Accounting Officer)





Dated:

July 29, 2009





14