SEC Form 4 · accession 0001654954-17-006064
PEDEVCO CORP · PED
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Moore Clark
Officer — Executive VP
Period of report
Jun 28, 2017
Accepted (ET)
Jun 30, 2017 · 5:21 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 | Jun 28, 2017 | S | 10,000 | $0.629 | D | 170,531 | D | |
| Common StockF1 | Jun 29, 2017 | S | 10,000 | $0.629 | D | 160,531 | D | |
| Common StockF1,F2 | Jun 30, 2017 | S | 6,250 | $0.6019 | D | 154,281 | D | |
| Common StockF3 | holding | — | — | — | 5,734 | 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) | $2.20 | holding | — | — | — | Jul 22, 2017 | Jul 1, 2021 | Common Stock | 28,000 | 28,000 | D |
| Incentive Stock Option (Right to Buy) | $3.70 | holding | — | — | — | Jul 1, 2015 | Jul 1, 2020 | Common Stock | 27,000 | 27,000 | D |
| Common Stock Warrant (Right To Buy) | $23.40 | holding | — | — | — | Dec 16, 2013 | Dec 16, 2017 | Common Stock | 191 | 191 | D |
| Incentive Stock Option (Right to Buy) | $5.10 | holding | — | — | — | Dec 18, 2012 | Jun 18, 2022 | Common Stock | 4,447 | 4,447 | D |
| Non-Qualified Stock Option (Right to Buy) | $5.10 | holding | — | — | — | Dec 18, 2012 | Jun 18, 2022 | Common | 18,887 | 18,887 | D |
Explanation of responses
- F1Shares were sold pursuant to a 10b5-1 trading plan previously adopted by Reporting Person with respect to the sale of shares which vested June 28, 2017 and which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-13(d).
- F2Reporting Person's holdings include: 3,334 shares, 9,352 shares, 5,250 shares, 21,600, 34,855 and 78,750 shares all issued pursuant to restricted stock grants and 1,140 remaining of Founders Stock.
- F3Represents 2,867 shares of the Issuer's common stock owned by each of Reporting Person's two minor children.