Statement of Changes in Beneficial Ownership (4)
December 05 2017 - 4:38PM
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).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Ingriselli Frank C
|
2. Issuer Name
and
Ticker or Trading Symbol
PEDEVCO CORP
[
PED
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
Non-Executive Chairman
|
(Last)
(First)
(Middle)
4125 BLACKHAWK PLAZA CIRCLE, SUITE 201
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/11/2017
|
(Street)
DANVILLE, CA 94506
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
5/11/2017
|
|
G
|
V
|
20000
(1)
|
D
|
$1.02
|
174460
|
D
|
|
Common Stock
|
12/4/2017
|
|
S
|
V
|
5000
(2)
|
D
|
$0.3136
|
169460
|
D
|
|
Common Stock
|
12/5/2017
|
|
S
|
V
|
10000
(2)
|
D
|
$0.31
|
159460
|
D
|
|
Common Stock
|
12/5/2017
|
|
S
|
V
|
5000
(2)
|
D
|
$0.3121
|
154460
(3)
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Incentive Stock Option (Right to Buy)
|
$3.70
|
|
|
|
|
|
|
1/7/2015
|
4/30/2021
|
Common Stock
|
37000
|
|
37000
|
D
|
|
Common Stock Warrant (Right to Buy)
|
$23.40
|
|
|
|
|
|
|
12/16/2013
|
12/16/2017
|
Common Stock
|
3810
|
|
3810
|
I
(4)
|
By Global Venture Investments, LLC
|
Non-Qualified Stock Option (Right to Buy)
|
$5.10
|
|
|
|
|
|
|
12/18/2012
|
4/30/2021
|
Common Stock
|
34827
|
|
34827
|
D
|
|
Incentive Stock Option (Right to Buy)
|
$5.10
|
|
|
|
|
|
|
12/18/2012
|
4/30/2021
|
Common Stock
|
4254
|
|
4254
|
D
|
|
Explanation of Responses:
|
(1)
|
Common stock shares were transferred pursuant to a charitable gift in a private transaction.
|
(2)
|
Shares were sold pursuant to a 10b5-1 trading plan previously adopted by Reporting Person with respect to the sale of vested shares 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).
|
(3)
|
Reporting Person's holdings include: 13,371 held by spouse, 36,893 held directly, 14,546 shares issued pursuant to a restricted stock grant and 89,650 vested shares held by Global Venture Investments, Inc., an entity 100% owned and controlled by Reporting Person.
|
(4)
|
Global Venture Investments, LLC is an entity 100% owned and controlled by Reporting Person.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Ingriselli Frank C
4125 BLACKHAWK PLAZA CIRCLE
SUITE 201
DANVILLE, CA 94506
|
X
|
|
|
Non-Executive Chairman
|
Signatures
|
/s/ Frank Ingriselli
|
|
12/5/2017
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
PEDEVCO (AMEX:PED)
Historical Stock Chart
From Aug 2024 to Sep 2024
PEDEVCO (AMEX:PED)
Historical Stock Chart
From Sep 2023 to Sep 2024