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PEDEVCO CORP — Director's Dealing 2013
Sep 9, 2013
34546_dirs_2013-09-09_25fc2c3a-f29f-46aa-99c0-2d259ba26765.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: PEDEVCO CORP (PEDO)
CIK: 0001141197
Period of Report: 2013-09-05
Reporting Person: PETERSON MICHAEL L (Director, Exec VP and CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-09-05 | Common Stock | S | 2100 | $4.50 | Disposed | 697016 | Direct |
| 2013-09-06 | Common Stock | S | 3000 | $4.50 | Disposed | 694016 | 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: 2,100 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: Includes 250,000 shares and 325,000 shares issued pursuant to restricted stock agreements, 111,567 balance of vested stock initially issued pursuant to a restricted stock agreement and 7449 shares issued pursuant to a debt conversion.
F3: Represents 13,334 shares of the Issuer's common stock owned by each of the Reporting Person's two minor children.
F4: 3,000 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.