SEC Form 4 · accession 0001354488-17-000460
PEDEVCO CORP · PED
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank C Ingriselli
Director · Other
Period of report
Apr 7, 2017
Accepted (ET)
Apr 11, 2017 · 4:21 pm EDT
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 | Apr 7, 2017 | S | 1,050 | $1.00 | D | 269,460 | D | |
| Common StockF1,F2 | Apr 10, 2017 | S | 8,950 | $1.029 | D | 260,510 | 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) | $3.70 | holding | — | — | — | Jan 7, 2015 | Jan 7, 2020 | Common Stock | 37,000 | 37,000 | D |
| Common Stock Warrant (Right to Buy)F3 | $23.40 | holding | — | — | — | Dec 16, 2013 | Dec 16, 2017 | Common Stock | 3,810 | 3,810 | I |
| Non-Qualified Stock Option (Right to Buy) | $5.10 | holding | — | — | — | Dec 18, 2012 | Jun 18, 2022 | Common Stock | 34,827 | 34,827 | D |
| Incentive Stock Option (Right to Buy) | $5.10 | holding | — | — | — | Dec 18, 2012 | Jun 18, 2022 | Common Stock | 4,254 | 4,254 | D |
Explanation of responses
- F1Reporting Person's spouse sold shares held in her name in open market transactions. Post-split numbers have been provided pursuant to 1:10 reverse split of 4/7/2017.
- F2Reporting Person's holdings include: 13,371 held by spouse, 42,943 fully vested shares held directly and 54,546 shares issued pursuant to a restricted stock grant; and 149,650 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.