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PEDEVCO CORP — Director's Dealing 2015
Feb 10, 2015
34546_dirs_2015-02-10_9f028274-abd0-4ddd-92a1-f82f18a5eff2.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: 2015-02-09
Reporting Person: Clark Moore (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-02-09 | Common Stock | S | 21750 | $.6021 | Disposed | 1277484 | Direct |
| 2015-02-10 | Common Stock | G | 30000 | $.003 | Disposed | 1247484 | Direct |
| 2015-02-10 | Common Stock | G | 30000 | $.003 | Disposed | 1217484 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 57334 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy) | $0.37 | 2020-01-07 | Common Stock (270000) | 270000 | Direct |
| Common Stock Warrant (Right to Buy) | $2.34 | 2017-12-16 | Common Stock (1906) | 1906 | Direct |
| Common Stock Warrant (Right to Buy) | $5.25 | 2017-03-22 | Common Stock (953) | 953 | Direct |
| 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 |
Footnotes
F1: All sales were sold pursuant to a 10b5-1 trading plan previously adopted by Reporting Person on December 15, 2014 to satisfy Reporting Person's tax liability in connection with the February 9, 2015 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grant was exempt from Section 16(b) pursuant to Rule 16b-13(d).
F2: Reporting Person's holding includes 83,334 shares; 197,750 shares; 315,000 shares and 270,000 shares issued pursuant to restricted stock grants and 351,400 remaining of Founders Stock.
F3: Reporting Person and his spouse made a bona fide gift transfer of 30,000 shares in a private transaction from shares held in community property.
F4: Reporting Person and his spouse made a charitable gift from shares held in community property.
F5: Represents 28,667 shares of the Issuer's common stock owned by each of Reporting Person's two minor children.