Filing Details
- Accession Number:
- 0001354488-14-003550
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-07-03 16:00:14
- Reporting Period:
- 2014-07-01
- Filing Date:
- 2014-07-03
- Accepted Time:
- 2014-07-03 16:00:14
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1141197 | Pedevco Corp | PED | Oil & Gas Field Exploration Services (1382) | 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 Vice President | No | Yes | 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 | Acquisiton | 2014-07-01 | 350,000 | $1.94 | 1,139,734 | No | 5 | A | Direct | |
Common Stock | Disposition | 2014-07-03 | 48,000 | $0.00 | 1,091,734 | No | 5 | G | Direct | |
Common Stock | Disposition | 2014-07-01 | 9,000 | $2.03 | 1,082,734 | No | 5 | S | Direct | |
Common Stock | Acquisiton | 2014-07-03 | 24,000 | $0.00 | 57,334 | No | 4 | G | Indirect | By minor children |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 5 | A | Direct | |
No | 5 | G | Direct | |
No | 5 | S | Direct | |
No | 4 | G | Indirect | By minor children |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Common Stock Warrant (Right to Buy) | $2.34 | 2013-12-16 | 2017-12-16 | 1,906 | 1,906 | Direct |
Common Stock | Common Stock Warrant (Right to Buy) | $5.25 | 2013-03-22 | 2017-03-22 | 953 | 953 | Direct |
Common Stock | Incentive Stock Option (Right to Buy) | $0.51 | 2012-12-18 | 2022-06-18 | 44,467 | 44,467 | Direct |
Common Stock | Non-Qualified Stock Option (Right to Buy) | $0.51 | 2012-12-18 | 2022-06-18 | 188,867 | 188,867 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2017-12-16 | 1,906 | 1,906 | Direct |
2017-03-22 | 953 | 953 | Direct |
2022-06-18 | 44,467 | 44,467 | Direct |
2022-06-18 | 188,867 | 188,867 | Direct |
Footnotes
- Common stock of Issuer granted to Reporting Person and subject to forfeiture as follows: (i) 20% of the shares on the six (6) month anniversary of the Grant Date; (ii) 20% on the nine (9) month anniversary of the Grant Date; (iii) 20% on the twelve (12) month anniversary of the Grant Date; (iv) 10% on the eighteen (18) month anniversary of the Grant Date (cont'd in next footnote)
- Vesting (v) 10% on the twenty-four (24) month anniversary of the Grant Date; (vi) 10% on the thirty (30) month anniversary of the Grant Date; and (vii) the balance 10% on the thirty-six (36) month anniversary of the Grant Date, subject to the recipient of the shares being an employee of, or consultant to, the Company on such vesting date, and subject to the terms of a Restricted Shares Grant Agreement entered into by and between the Company and the recipient.
- Reporting Person and his spouse made bona fide gift transfers of an aggregate of 48,000 shares in private transactions from shares held in community property, including transfers of an aggregate of 12,000 shares to each of their two minor children.
- All sales were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person on September 30, 2013.
- Reporting Person's holding includes 83,334 shares, 350,000 shares and 232,000 shares remaining respectively issued pursuant to restricted stock grants, and 417,400 balance of Founders stock.
- Represents 28,667 shares of the Issuer's common stock owned by each of Reporting Person's two minor children.