SEC Form 4 · accession 0001654954-17-011945
PEDEVCO CORP · PED
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory L Overholtzer
Officer — Chief Financial Officer
Period of report
Dec 28, 2017
Accepted (ET)
Dec 29, 2017 · 4:33 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 | holding | — | — | — | 7,542 | 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)F2 | $0.3088 | Dec 28, 2017 | A | 150,000 | A | Dec 28, 2017 | Dec 28, 2022 | Common Stock | 150,000 | 150,000 | D |
| Incentive Stock Option (Right to Buy) | $1.10 | holding | — | — | — | Dec 28, 2016 | Dec 28, 2021 | Common Stock | 60,000 | 60,000 | D |
| Non-Qualified Stock Option (Right to Buy) | $3.00 | holding | — | — | — | Feb 9, 2012 | Feb 8, 2022 | Common Stock | 1,100 | 1,100 | D |
| Incentive Stock Option (Right to Buy) | $5.10 | holding | — | — | — | Jun 18, 2012 | Jun 18, 2022 | Common Stock | 11,667 | 11,667 | D |
| Incentive Stock Option (Right to Buy) | $3.70 | holding | — | — | — | Jan 7, 2015 | Jan 7, 2020 | Common Stock | 5,000 | 5,000 | D |
| Incentive Stock Option (Right to Buy) | $2.20 | holding | — | — | — | Jan 7, 2016 | Jan 7, 2021 | Common Stock | 15,000 | 15,000 | D |
Explanation of responses
- F1Reporting Person's holdings include: 3,442 and 4,100 shares issued pursuant to restricted stock grants.
- F2Incentive Stock Option granted to Reporting Person with vesting as follows: (i) 50% of the shares on the six (6) month anniversary of the Grant Date; (ii) 30% on the twelve (12) month anniversary of Grant Date and (iii) 20% on the eighteen (18) month anniversary of Grant Date, in each case subject to the recipient of the Option being an employee or, or Consultant to, the Company on such vesting date and subject to the terms and conditions of a Stock Option Agreement.