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PEDEVCO CORP — Director's Dealing 2013
Sep 12, 2013
34546_dirs_2013-09-11_34b70ae1-e062-4bb6-b0f0-3480e948e704.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: Clark Moore (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-09-10 | Common Stock | S | 2112 | $4.50 | Disposed | 874556 | Direct |
| 2013-09-11 | Common Stock | S | 3222 | $4.50 | Disposed | 871334 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 33334 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy) | $.51 | 2022-06-18 | Common Stock (44467) | 44467 | Direct |
| Non-Qualified Stock Option (Right to Buy) | $.51 | 2022-06-18 | Common Stock (188867) | 188867 | Direct |
| Common Stock Warrant (Right to Buy) | $5.25 | 2017-03-22 | Common Stock (953) | 953 | 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: 3,222 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: Includes 83,334 shares and 290,000 shares issued pursuant to restricted stock grants and 498,000 balance of founders stock.
F4: Represents 16,667 shares of the Issuer's common stock owned by each of the Reporting Persons' two minor children.