Filing Details
- Accession Number:
- 0001654954-17-011943
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-12-29 16:31:48
- Reporting Period:
- 2017-09-25
- Accepted Time:
- 2017-12-29 16:31:48
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1141197 | Pedevco Corp | PED | Crude Petroleum & Natural Gas (1311) | 223755993 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1554740 | Moore Clark | 4125 Blackhawk Plaza Circle Suite 201 Danville CA 94506 | Executive Vp | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2017-09-25 | 40,000 | $0.20 | 106,943 | No | 5 | G | Direct | |
| Common Stock | Disposition | 2017-10-04 | 40,617 | $0.59 | 66,326 | No | 5 | G | Direct | |
| Common Stock | Acquisiton | 2017-12-28 | 260,000 | $0.31 | 326,326 | No | 5 | A | Direct | |
| Common Stock | Disposition | 2017-12-28 | 15,750 | $0.31 | 310,576 | No | 5 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Direct | |
| No | 5 | G | Direct | |
| No | 5 | A | Direct | |
| No | 5 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 5,734 | Indirect | By Minor Children |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Incentive Stock Option (Right to Buy) | $2.20 | 2017-07-22 | 2021-07-01 | 28,000 | 28,000 | Direct |
| Common Stock | Incentive Stock Option (Right to Buy) | $3.70 | 2015-07-01 | 2020-07-01 | 27,000 | 27,000 | Direct |
| Common Stock | Incentive Stock Option (Right to Buy) | $5.10 | 2012-12-18 | 2012-06-18 | 4,447 | 4,447 | Direct |
| Common Stock | Non-Qualified Stock Option (Right to Buy) | $5.10 | 2012-12-18 | 2022-06-18 | 18,887 | 18,887 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-07-01 | 28,000 | 28,000 | Direct |
| 2020-07-01 | 27,000 | 27,000 | Direct |
| 2012-06-18 | 4,447 | 4,447 | Direct |
| 2022-06-18 | 18,887 | 18,887 | Direct |
Footnotes
- Common stock shares were transferred pursuant to a gift in a private transaction.
- Common stock of Issuer granted to Reporting Person pursuant to Issuer's 2012 Equity Incentive Plan and subject to forfeiture as follows: (i) 50% of the shares on the six (6) month anniversary of the Grant Date; (ii) 30% on the twelve (12) month anniversary of the Grant Date and (iii) 20% on the eighteen (18) month anniversary of the Grant Date, in each case subject to the Recipient being an employee of, or consultant to the Company on such vesting date, and subject to the terms and conditions of a Restricted Stock Agreement.
- Shares were sold pursuant to a 10b5-1 trading plan previously adopted by Reporting Person to satisfy Reporting Person's tax liability in connection with the December 28, 2017 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-13(d).
- Reporting Person's holdings include: 3,334 shares, 9,352 shares, 36,750 and 260,000 all issued pursuant to restricted stock grants and 1,140 remaining of Founders Stock.
- Represents 2,867 shares of the Issuer's common stock owned by each of Reporting Person's two minor children.
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