PEDEVCO CORP|4Dec 29, 4:32 PM ET

PETERSON MICHAEL L 4

4 · PEDEVCO CORP · Filed Dec 29, 2017

Form 4

Period: 2017-12-28

DirectorCEO and President

Transactions

Holdings

Common Stock
(indirect: By Trust)
521
Non-Qualified Stock Option (Right to Buy)
Exercise: $5.10From: 2012-12-18Exp: 2022-06-18→ Common Stock (26,954 underlying)
26,954
Incentive Stock Option (Right to Buy)
Exercise: $2.20From: 2017-01-07Exp: 2021-01-07→ Common Stock (30,000 underlying)
30,000
Incentive Stock Option (Right to Buy)
Exercise: $5.10From: 2012-12-28Exp: 2022-06-18→ Common Stock (6,380 underlying)
6,380
Non-Qualified Stock Option (Right to Buy)
Exercise: $2.40From: 2012-03-01Exp: 2021-10-07→ Common Stock (10,000 underlying)
10,000
Common Stock
(indirect: By Children)
1,834
Non-Qualified Stock Option (Right to Buy)
Exercise: $672.00From: 2008-09-20Exp: 2018-05-28→ Common Stock (45 underlying)
45
Non-Qualified Stock Option (Right to Buy)
Exercise: $302.40From: 2011-02-02Exp: 2021-02-02→ Common Stock (298 underlying)
298
Incentive Stock Option (Right to Buy)
Exercise: $3.70From: 2015-01-07Exp: 2020-01-07→ Common Stock (32,500 underlying)
32,500

Footnotes (5)

[F1]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.
[F2]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).
[F3]Reporting Person's holdings include: 4,500; 18,875; 8,700; 8,500; 7,725; 3,021; 99,000 and 410,000 shares all issued pursuant to restricted stock grants; 745 issued pursuant to debt conversion and 15 pursuant to a 2008 Blast Stock Grant.
[F4]Represents shares held by The Peterson Family Trust, a trust owned 100% by Mr. Peterson and his spouse.
[F5]Represents shares held by Reporting Person's dependent child.

Documents

1 file