SEC Form 4 · accession 0001654954-17-006275
PEDEVCO CORP · PED
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Moore Clark
Officer — Executive VP
Period of report
Jul 1, 2017
Accepted (ET)
Jul 10, 2017 · 5:05 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 | Jul 7, 2017 | S | 5,500 | $0.6126 | D | 148,781 | D | |
| Common StockF1 | Jul 7, 2017 | S | 300 | $0.608 | D | 148,481 | D | |
| Common StockF1,F2 | Jul 10, 2017 | S | 1,538 | $0.6128 | D | 146,943 | 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 Stock | 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 sales of shares which vested July 1, 2017 and July 7, 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, 3,500 shares, 21,600, 29,267 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.