Statement of Changes in Beneficial Ownership (4)
December 09 2014 - 12:49PM
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
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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
*
Ingriselli Frank C
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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)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
CEO and President
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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)
12/9/2014
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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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12/9/2014
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A
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V
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10000
(1)
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A
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$.60
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2042191
(2)
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D
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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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Common Stock Warrant (Right to Buy)
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$2.34
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12/16/2013
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12/16/2017
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Common Stock
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38096
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38096
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I
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By Global Venture Investments, LLC
(3)
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Common Stock
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$2.25
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12/9/2014
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J
(4)
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334
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1/3/2012
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10/31/2014
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Common Stock
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334
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$2.25
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0
(4)
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I
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By Global Venture Investments, LLC
(3)
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Common Stock Warrant (Right to Buy)
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$5.25
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3/22/2013
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3/22/2017
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Common Stock
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19048
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19048
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I
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By Global Venture Investments, LLC
(3)
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Non-Qualified Stock Option (Right to Buy)
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$.51
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12/18/2012
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6/18/2022
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Common Stock
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348267
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348267
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D
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Incentive Stock Option (Right to Buy)
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$.51
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12/18/2012
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6/18/2022
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Common Stock
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42533
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42533
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D
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Explanation of Responses:
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(
1)
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Reporting person purchased shares in an open market purchase, and short-swing profits will be disgorged to the Issuer to the extent required.
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(
2)
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Reporting Person's holding includes 166,667 shares, 540,000 shares and 347,500 balance shares issued pursuant to restricted stock grants, 40,123 shares issued pursuant to an option exercise, 718,334 and 1,890 transferred from Global Venture Investments, LLC; 27,677 shares remaining from Founders stock grant; 190,000 acquired in private transactions and 10,000 acquired in an open market purchase.
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(
3)
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Global Venture Investments, LLC is an entity 100% owned and controlled by Reporting Person.
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(
4)
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This common stock warrant expired on 10/31/2014.
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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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Ingriselli Frank C
4125 BLACKHAWK PLAZA CIRCLE
SUITE 201
DANVILLE, CA 94506
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X
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CEO and President
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Signatures
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/s/ Clark Moore, Attorney in Fact
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12/9/2014
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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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