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PEDEVCO CORP — Director's Dealing 2013
Sep 12, 2013
34546_dirs_2013-09-11_53090b55-488f-4cf0-87a3-21c91a98ce15.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: 2013-09-10
Reporting Person: PETERSON MICHAEL L (Exec VP and CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-09-10 | Common Stock | S | 2112 | $4.50 | Disposed | 691904 | Direct |
| 2013-09-11 | Common Stock | S | 1122 | $4.50 | Disposed | 690782 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 12806 | Indirect |
| Common Stock | 26668 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy) | $.51 | 2022-06-18 | Common Stock (63800) | 63800 | Direct |
| Non-Qualified Stock Option (Right to Buy) | $.24 | 2021-10-07 | Common Stock (100000) | 100000 | Direct |
| Non-Qualified Stock Option (Right to Buy) | $.51 | 2022-06-18 | Common Stock (269534) | 269534 | Direct |
| Non-Qualified Stock Option (Right to Buy) | $67.20 | 2018-05-28 | Common Stock (447) | 447 | Direct |
| Non-Qualified Stock Option (Right to Buy) | $30.24 | 2021-02-02 | Common Stock (2977) | 2977 | Direct |
Footnotes
F1: 2,112 shares were sold at $4.50 per share pursuant to Reporting Person's Rule 10b5-1 Sales Plan established December 17, 2012 and administered by Oppenheimer and Co. Inc.
F2: 1,122 shares were sold at $4.50 per share pursuant to Reporting Person's Rule 10b5-1 Sales Plan established December 17, 2012 and administered by Oppenheimer and Co. Inc.
F3: Represents 13,334 shares of the Issuer's common stock owned by each of the Reporting Person's two minor children.
F4: Includes 250,000 shares and 325,000 shares issued pursuant to restricted stock agreements, 108,333 balance of vested stock and 7449 shares issued pursuant to a debt conversion.