SEC Form 4 · accession 0001354488-16-008522
PEDEVCO CORP · PED
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank C Ingriselli
Director · Other
Period of report
Nov 14, 2016
Accepted (ET)
Nov 16, 2016 · 5:06 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001141197
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 14, 2016 | S | 34,100 | $0.1321 | D | 2,291,812 | D | |
| Common StockF1 | Nov 15, 2016 | S | 28,787 | $0.1249 | D | 2,263,025 | D | |
| Common StockF1,F2 | Nov 16, 2016 | S | 3,408 | $0.1205 | D | 2,259,617 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy) | $0.37 | holding | — | — | — | Jan 7, 2015 | Jan 7, 2020 | Common Stock | 370,000 | 370,000 | D |
| Common Stock Warrant (Right to Buy)F3 | $2.34 | holding | — | — | — | Dec 16, 2013 | Dec 16, 2017 | Common Stock | 38,096 | 38,096 | I |
| Common Stock Warrant (Right to Buy)F3 | $5.25 | holding | — | — | — | Mar 22, 2013 | Mar 22, 2017 | Common Stock | 19,048 | 19,048 | I |
| Non-Qualified Stock Option (Right to Buy) | $0.51 | holding | — | — | — | Dec 18, 2012 | Jun 18, 2022 | Common Stock | 348,267 | 348,267 | D |
| Incentive Stock Option (Right to Buy) | $0.51 | holding | — | — | — | Dec 18, 2012 | Jun 18, 2022 | Common Stock | 42,533 | 42,533 | D |
Explanation of responses
- F1Reporting Person's spouse sold shares held in her name in open market transactions.
- F2Reporting Person's holding includes 333,705 shares held by spouse, 429,412 fully vested shares held directly and 1,496,500 fully vested shares held by Global Venture Investments, Inc., an entity 100% owned and controlled by Reporting Person.
- F3Global Venture Investments, LLC is an entity 100% owned and controlled by Reporting Person.