SEC Form 4 · accession 0001354488-16-008670
PEDEVCO CORP · PED
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Moore Clark
Officer — Executive Vice President
Period of report
Dec 12, 2016
Accepted (ET)
Dec 16, 2016 · 5:03 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 | Dec 12, 2016 | G | 50,000 | $0.17 | D | 999,049 | D | |
| Common StockF2,F3 | Dec 15, 2016 | S | 25,000 | $0.1202 | D | 974,049 | D | |
| Common StockF4 | holding | — | — | — | 57,334 | I | By minor children |
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) | $0.22 | holding | — | — | — | Jan 7, 2016 | Jan 7, 2021 | Common Stock | 280,000 | 280,000 | D |
| Incentive Stock Option (Right to Buy) | $0.37 | holding | — | — | — | Jan 7, 2015 | Jan 7, 2020 | Common Stock | 270,000 | 270,000 | D |
| Common Stock Warrant (Right to Buy) | $2.34 | holding | — | — | — | Dec 16, 2013 | Dec 16, 2017 | Common Stock | 1,906 | 1,906 | D |
| Common Stock Warrant (Right to Buy) | $5.25 | holding | — | — | — | Mar 22, 2013 | Mar 22, 2017 | Common Stock | 953 | 953 | D |
| Incentive Stock Option (Right to Buy) | $0.51 | holding | — | — | — | Dec 18, 2012 | Jun 18, 2022 | Common Stock | 44,467 | 44,467 | D |
| Non-Qualified Stock Option (Right to Buy) | $0.51 | holding | — | — | — | Dec 18, 2012 | Jun 18, 2022 | Common Stock | 188,867 | 188,867 | D |
Explanation of responses
- F1Common shares were transferred pursuant to a gift in a private transaction.
- F2Shares were sold by Reporting Person on the open market.
- F3Reporting Person's holdings include: 33,334 shares; 115,265 shares; 140,000 shares; 243,000 and 431,050 shares all issued pursuant to restricted stock grants and 11,400 shares remaining of Founders stock.
- F4Represents 28,667 shares of the Issuer's common stock owned by each of Reporting Person's two minor children.