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PEDEVCO CORP — Director's Dealing 2013
Dec 18, 2013
34546_dirs_2013-12-18_a326c98e-0fc5-438b-85b1-e43972f5732a.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: PEDEVCO CORP (PED)
CIK: 0001141197
Period of Report: 2013-12-16
Reporting Person: Ingriselli Frank C (Director, CEO and President)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-12-16 | Common Stock Warrant (Right to Buy) | $2.34 | A | 38096 | Acquired | 2018-12-16 | Common Stock (38096) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1509691 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Common Stock Warrant (Right to Buy) | $2.25 | 2014-10-31 | Common Stock (334) | 334 | Indirect |
| Common Stock Warrant (Right to Buy) | $5.25 | 2017-03-22 | Common Stock (19048) | 19048 | Indirect |
| Non-Qualified Stock Option (Right to Buy) | $.51 | 2022-06-18 | Common Stock (348267) | 348267 | Direct |
| Incentive Stock Option (Right to Buy) | $.51 | 2022-06-18 | Common Stock (42533) | 42533 | Direct |
Footnotes
F1: Reporting Persons holding includes 166,667 shares and 450,000 shares issued pursuant to restricted stock grants, 40,123 shares issued pursuant to an option exercise, 793,334 and 1890 transferred from Global Venture Investments, LLC, and 57,677 shares remaining from Founder's stock grant.
F2: Warrant to purchase common stock of Issuer granted to Reporting Person as consideration for Bridge Note amendment and deferral.
F3: Global Venture Investments, LLC is an entity 100% owned and controlled by Reporting Person.
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