Statement of Changes in Beneficial Ownership (4)
October 11 2017 - 5:06PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
PETERSON MICHAEL L
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2. Issuer Name
and
Ticker or Trading Symbol
PEDEVCO CORP
[
PED
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President and CEO
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(Last)
(First)
(Middle)
4125 BLACKHAWK PLAZA CIRCLE, SUITE 201
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/7/2017
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(Street)
DANVILLE, CA 94506
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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9/7/2017
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G
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V
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20000
(1)
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D
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$.25
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177331
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D
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Common Stock
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10/9/2017
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S
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V
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1500
(2)
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D
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$0.39080
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175831
(3)
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D
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Common Stock
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521
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I
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By The Peterson Family Trust
(4)
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Common Stock
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1834
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I
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By dependent child
(5)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Incentive Stock Option (Right to Buy)
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$2.20
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1/7/2017
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1/7/2021
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Common Stock
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30000
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30000
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D
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Incentive Stock Option (Right to Buy)
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$3.70
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1/7/2015
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1/7/2020
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Common Stock
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32500
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32500
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D
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Incentive Stock Option (Right to Buy)
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$5.10
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12/18/2012
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6/18/2022
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Common Stock
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6380
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6380
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D
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Non-Qualified Stock Option (Right to Buy)
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$2.40
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3/1/2012
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10/7/2021
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Common Stock
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10000
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10000
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D
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Non-Qualified Stock Option (Right to Buy)
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$5.10
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12/18/2012
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6/18/2022
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Common Stock
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26954
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26954
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D
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Non-Qualified Stock Option (Right to Buy)
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$672.00
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9/20/2008
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5/28/2018
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Common Stock
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45
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45
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D
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Non-Qualified Stock Option (Right to Buy)
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$302.40
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2/2/2011
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2/2/2021
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Common Stock
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298
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298
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D
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Explanation of Responses:
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(1)
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Common stock shares were transferred pursuant to a gift in a private transaction.
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(2)
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Shares were sold pursuant to a 10b5-1 trading plan previously adopted by Reporting Person with respect to the sale of shares which vested on October 8, 2017 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).
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(3)
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Reporting Person's holdings include: 4,500; 18,875; 8,700; 8,500; 7725; 3,021 and 123,750 shares all issued pursuant to restricted stock grants; 745 issued pursuant to debt conversion and 15 pursuant to a 2008 Blast stock grant.
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(4)
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Represents shares held by The Peterson Family Trust, a trust owned 100% by Mr. Peterson and his spouse.
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(5)
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Represents shares held by Reporting Person's dependent child.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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PETERSON MICHAEL L
4125 BLACKHAWK PLAZA CIRCLE
SUITE 201
DANVILLE, CA 94506
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President and CEO
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Signatures
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/s/ Clark Moore, Attorney-In-Fact
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10/11/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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