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PEDEVCO CORP — Director's Dealing 2013
Sep 9, 2013
34546_dirs_2013-09-09_22588f72-c40d-4df8-a6d4-2dab1f30833b.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: 2013-09-06
Reporting Person: Ingriselli Frank C (Director, CEO and President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-09-06 | Common Stock | S | 4000 | $4.50 | Disposed | 1540469 | Direct |
| 2013-09-06 | Common Stock | S | 10000 | $4.50 | Disposed | 1530469 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1890 | Indirect |
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: 4,000 shares were sold at $4.50 per share pursuant to Form 10b5-1 Sales Plan established December 17, 2012 and administered by Oppenheimer and Co. Inc.
F2: 10,000 shares were transferred pursuant to a Gift Transfer Agreement in a private transaction.
F3: 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 transferred by Global Venture Investments, LLC to Reporting Person on September 9, 2013 and 80,345 shares remaining from Founders share grant.
F4: Global Venture Investments, LLC, an entity owned and controlled by Reporting Person.