SEC Form 4 · accession 0001654954-17-011947
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, 2017
Accepted (ET)
Dec 29, 2017 · 4:35 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, 2017 | A | 150,000 | $0.3088 | A | 243,654 | 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 Compensation Plan as Reporting Person's annual equity compensation grant. 100% of the shares will become vested and nonforfeitable on September 10, 2018 (Reporting Person's anniversary date as a non-employee Director of Issuer), for so long as Reporting Person remains a Director, an employee of, or consultant to Issuer and subject to the terms and conditions of a Restricted Shares Grant Agreement.
- F2Reporting Person's holdings include: 1,334 and 9,678 and 21,429 and 54,546 and 150,000 shares, all issued pursuant to Restricted Shares Grant Agreements and 6,667 shares issued initially in the Series A Financing.