SEC Form 4 · accession 0001354488-16-008757
PEDEVCO CORP · PED
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elizabeth P Smith
Director
Period of report
Dec 28, 2016
Accepted (ET)
Dec 30, 2016 · 5:25 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,F2 | Dec 28, 2016 | A | 545,455 | $0.11 | A | 936,517 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Common stock of Issuer granted to Reporting Person pursuant to Issuer's 2012 Equity Incentive Plan and Issuer's Board of Directors Equity Compensation Plan as Reporting Person's annual equity compensation grant. 100% of the shares will become vested and nonforfeitable on September 10, 2017 (Reporting Person's anniversary date as a Director of Issuer), for so long as Reporting Person remains a Director or Consultant to Issuer and subject to the terms and conditions of a Restricted Shares Grant Agreement.
- F2Reporting Person's holdings include: 13,334, 96,775, 214,286 and 545,455 shares, all issued pursuant to Restricted Shares Grant Agreements and 66,667 shares issued initially in the Series A Financing.