PED

SEC source: 0001654954-19-002284 · section16.xml · derivative · entry 2

SIEM IVAR · CIK 0001187993 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Norexas Oil and Gas, LLC

Disclosed balance after: 0

Underlying: Common Stock · 246,688 shares

Expires 2021-08-01

F1 · derivative.underlying_shares: The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on August 1, 2018. The securities held by Norexas Oil and Gas, LLC are deemed to be beneficially owned by Ivar Siem and J. Douglas Schick. The Convertible Promissory Note and interest thereon (which is convertible into common stock pursuant to its terms) were sold in a private transaction.

SEC source: 0001654954-19-002287 · section16.xml · derivative · entry 2

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Norexas Oil and Gas, LLC

Disclosed balance after: Not disclosed

Underlying: Common Stock · 246,688 shares

Expires 2021-08-01

F1 · derivative.underlying_shares: The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on August 1, 2018. The securities held by Norexas Oil and Gas, LLC are deemed to be beneficially owned by Ivar Siem and J. Douglas Schick. The Convertible Promissory Note and interest thereon (which is convertible into common stock pursuant to its terms) were sold in a private transaction.

SEC source: 0001654954-19-002286 · section16.xml · derivative · entry 8

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through SK Energy LLC

Disclosed balance after: Not disclosed

Underlying: Common stock · 3,737,945 shares

Expires 2021-06-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · reported_value: The Promissory Note was amended on March 1, 2019 to provide the holder the right to convert such note (principal and interest) into common stock of the Issuer at a conversion price of $2.13 per share.

F2 · price: The Promissory Note (described in footnote 8) was converted into common stock of the Issuer at the option of the holder, pursuant to its terms.

F9 · derivative.underlying_shares: Includes shares of common stock issuable upon conversion of interest on the Promissory Note, which is convertible into common stock at a conversion price of $2.13 per share pursuant to the terms of such Convertible Promissory Note.

SEC source: 0001654954-19-002286 · section16.xml · derivative · entry 7

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through SK Energy LLC

Disclosed balance after: Not disclosed

Underlying: Common stock · 3,737,945 shares

Expires 2021-06-25

F8 · kind: The Promissory Note was amended on March 1, 2019 to provide the holder the right to convert such note (principal and interest) into common stock of the Issuer at a conversion price of $2.13 per share.

F8 · reported_value: The Promissory Note was amended on March 1, 2019 to provide the holder the right to convert such note (principal and interest) into common stock of the Issuer at a conversion price of $2.13 per share.

F8 · price: The Promissory Note was amended on March 1, 2019 to provide the holder the right to convert such note (principal and interest) into common stock of the Issuer at a conversion price of $2.13 per share.

F9 · derivative.underlying_shares: Includes shares of common stock issuable upon conversion of interest on the Promissory Note, which is convertible into common stock at a conversion price of $2.13 per share pursuant to the terms of such Convertible Promissory Note.

F10 · valueOwnedAfter: Plus accrued interest on the Promissory Note of $261,824.

SEC source: 0001654954-19-002286 · section16.xml · derivative · entry 6

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through SK Energy LLC

Disclosed balance after: Not disclosed

Underlying: Common Stock · 11,594,322 shares

Expires 2021-08-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · reported_value: Plus accrued interest on the Convertible Promissory Notes of $1,195,905.

F1 · price: The Convertible Promissory Notes (described in footnote 6) were converted into common stock of the Issuer at the option of the holder, pursuant to their terms.

F7 · derivative.underlying_shares: Includes shares of common stock issuable upon conversion of interest on the Convertible Promissory Notes, which is convertible into common stock at a conversion price of $2.13 per share pursuant to the terms of such Convertible Promissory Notes.

SEC source: 0001654954-19-002286 · section16.xml · derivative · entry 5

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through SK Energy LLC

Disclosed balance after: Not disclosed

Underlying: Common Stock · 740,063 shares

Expires 2021-08-01

F3 · reported_value: Not including interest on the Convertible Promissory Notes.

F5 · price: Plus accrued interest on the Convertible Promissory Notes of $76,334.

F4 · derivative.underlying_shares: Includes interest on the Convertible Promissory Notes which is also convertible into common stock of the Issuer at the option of the holder, pursuant to the terms of the Convertible Promissory Notes.

F6 · valueOwnedAfter: Plus accrued interest on the Convertible Promissory Notes of $1,195,905.

SEC source: 0001654954-19-002286 · section16.xml · nonDerivative · entry 2

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through SK Energy LLC

Disclosed balance after: 36,768,663

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: The Promissory Note (described in footnote 8) was converted into common stock of the Issuer at the option of the holder, pursuant to its terms.

SEC source: 0001654954-19-002286 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through SK Energy LLC

Disclosed balance after: 33,030,718

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The Convertible Promissory Notes (described in footnote 6) were converted into common stock of the Issuer at the option of the holder, pursuant to their terms.

SEC source: 0001654954-19-002285 · section16.xml · derivative · entry 2

SCELFO JOHN J · CIK 0001286409 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Through the John J Scelfo Revocable Trust Dated October 3, 2003

Disclosed balance after: 0

Underlying: Common stock · 246,688 shares

Expires 2021-08-21

F1 · derivative.underlying_shares: The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on August 1, 2018. The Convertible Promissory Note and interest thereon (which is convertible into common stock pursuant to its terms) were sold in a private transaction.

SEC source: 0001654954-19-002283 · section16.xml · derivative · entry 2

Evans Harold Douglas · CIK 0001754173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 98,675 shares

Expires 2021-08-01

F1 · derivative.underlying_shares: The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on August 1, 2018. The Convertible Promissory Note and interest thereon (which is convertible into common stock pursuant to its terms) were sold in a private transaction.

SEC source: 0001654954-19-002569 · section16.xml · derivative · entry 2

SIEM IVAR · CIK 0001187993 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Norexas Oil and Gas, LLC

Disclosed balance after: 0

Underlying: Common stock · 246,688 shares

Expires 2021-08-01

F1 · derivative.underlying_shares: The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on August 1, 2018. The Convertible Promissory Note and interest thereon (which is convertible into common stock pursuant to its terms) were sold in a private transaction.

F3 · ownership.nature: The reporting person disclaims beneficial ownership of the reported securities held by Norexas Oil and Gas, LLC, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.

SEC source: 0001654954-19-001710 · section16.xml · derivative · entry 6

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through SK Energy LLC

Disclosed balance after: 0

Underlying: Common stock · 4,014,959 shares

Expires 2021-10-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · reported_value: Includes the conversion of accrued interest through the date of conversion.

F5 · price: The Convertible Promissory Note was originally acquired directly from the Issuer on October 25, 2018, for $7,000,000.

F3 · derivative.underlying_shares: Includes the conversion of accrued interest through the date of conversion.

SEC source: 0001654954-19-001710 · section16.xml · derivative · entry 5

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through SK Energy LLC

Disclosed balance after: 0

Underlying: Common Stock · 10,083,819 shares

Expires 2022-01-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · reported_value: Includes the conversion of accrued interest through the date of conversion.

F4 · price: The Convertible Promissory Note was originally acquired directly from the Issuer on January 11, 2019, for $15,000,000.

F3 · derivative.underlying_shares: Includes the conversion of accrued interest through the date of conversion.

SEC source: 0001654954-19-001710 · section16.xml · nonDerivative · entry 2

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through SK Energy LLC

Disclosed balance after: 21,436,396

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: The Convertible Promissory Note (described in footnote 5) was Converted into common stock of the Issuer at the option of the holder, pursuant to its terms.

SEC source: 0001654954-19-001710 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through SK Energy LLC

Disclosed balance after: 17,421,437

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The Convertible Promissory Note (described in footnote 4) was Converted into common stock of the Issuer at the option of the holder, pursuant to its terms.

SEC source: 0001654954-19-000402 · section16.xml · nonDerivative · entry 1

Clark Moore · CIK 0001554740 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 272,076

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the January 11, 2019 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).

F2 · shares: This transaction was executed in multiple trades at prices ranging from $1.14 to $1.1501. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-19-000717 · section16.xml · derivative · entry 4

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through SK Energy LLC

Disclosed balance after: Not disclosed

Underlying: Common Stock · 10,000,000 shares

Expires 2022-01-11

F1 · price: The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on January 14, 2019. The conversion of the Convertible Promissory Note is subject to a 49.9% conversion limitation (for so long as SK Energy or any of its affiliates holds such note), which prevents the conversion of any portion thereof into common stock of the Issuer if such conversion would result in SK Energy beneficially owning (as such term is defined in the Securities Exchange Act of 1934, as amended) more than 49.9% of the Issuer's outstanding shares of common stock.

F1 · derivative.underlying_shares: The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on January 14, 2019. The conversion of the Convertible Promissory Note is subject to a 49.9% conversion limitation (for so long as SK Energy or any of its affiliates holds such note), which prevents the conversion of any portion thereof into common stock of the Issuer if such conversion would result in SK Energy beneficially owning (as such term is defined in the Securities Exchange Act of 1934, as amended) more than 49.9% of the Issuer's outstanding shares of common stock.

SEC source: 0001654954-18-014370 · section16.xml · nonDerivative · entry 1

Clark Moore · CIK 0001554740 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 297,076

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the December 28, 2018 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).

F2 · shares: This transaction was executed in multiple trades at prices ranging from $0.6540 to $0.6766. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-18-014332 · section16.xml · nonDerivative · entry 2

SIEM IVAR · CIK 0001187993 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · American Resources Offshore Inc.

Disclosed balance after: 100,000

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.54 to $0.60. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-19-002282 · section16.xml · nonDerivative · entry 2

SIEM IVAR · CIK 0001187993 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · American Resources Offshore Inc.

Disclosed balance after: 180,000

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.54 to $0.60. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-19-002568 · section16.xml · nonDerivative · entry 2

SIEM IVAR · CIK 0001187993 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · American Resources Offshore Inc.

Disclosed balance after: 180,000

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.54 to $0.60. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F3 · ownership.nature: The reporting person disclaims beneficial ownership of the reported securities held by American Resources Offshore Inc., except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.

SEC source: 0001654954-18-014332 · section16.xml · nonDerivative · entry 1

SIEM IVAR · CIK 0001187993 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.6022 to $0.61. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-19-002282 · section16.xml · nonDerivative · entry 1

SIEM IVAR · CIK 0001187993 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · American Resources Offshore Inc.

Disclosed balance after: 80,000

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.6022 to $0.61. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-19-002568 · section16.xml · nonDerivative · entry 1

SIEM IVAR · CIK 0001187993 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · American Resources Offshore Inc.

Disclosed balance after: 80,000

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.6022 to $0.61. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

F3 · ownership.nature: The reporting person disclaims beneficial ownership of the reported securities held by American Resources Offshore Inc., except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.

SEC source: 0001654954-18-014264 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 525,000

SEC source: 0001654954-18-014023 · section16.xml · nonDerivative · entry 2

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 3,000

F2 · shares: Represents 3,000 shares with identical vesting terms as described in footnote (1) above (subject to Mrs. Kukes' continued service to the Issuer), issued to Mr. Kukes' wife, who provides services as an employee of the Issuer. Exempt under Rule 16b-3(d).

F4 · price: Issued to Mr. Kukes' wife in consideration for services rendered and agreed to be rendered to the Issuer as an employee of the Issuer.

SEC source: 0001654954-18-014023 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

F1 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2012 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of (i) 1/3 of the shares on the one (1) year anniversary of December 12, 2018 (the "Grant Date"); (ii) 1/3 on the two (2) year anniversary of the Grant Date; and (iii) 1/3 on the three (3) year anniversary of the Grant Date, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F3 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as the Chief Executive Officer of the Issuer.

SEC source: 0001654954-18-014022 · section16.xml · nonDerivative · entry 1

PINKSTON PAUL ANTHONY · CIK 0001683306 · CAO and PFO and AO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

F1 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2012 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of half of such shares on December 1, 2019 and half of such shares of December 1, 2020, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as the Chief Accounting Officer of the Issuer.

SEC source: 0001654954-18-014021 · section16.xml · nonDerivative · entry 1

Clark Moore · CIK 0001554740 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 336,076

F1 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2012 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of (i) 1/3 of the shares on the one (1) year anniversary of December 12, 2018 (the "Grant Date"); (ii) 1/3 on the two (2) year anniversary of the Grant Date; and (iii) 1/3 on the three (3) year anniversary of the Grant Date, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as the Executive Vice President, General Counsel and Secretary of the Issuer.

SEC source: 0001654954-18-014019 · section16.xml · nonDerivative · entry 1

Schick John Douglas · CIK 0001748134 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,000

F1 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2012 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of (i) 1/3 of the shares on the one (1) year anniversary of December 12, 2018 (the "Grant Date"); (ii) 1/3 on the two (2) year anniversary of the Grant Date; and (iii) 1/3 on the three (3) year anniversary of the Grant Date, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as the President of the Issuer.

SEC source: 0001654954-18-014020 · section16.xml · nonDerivative · entry 1

Overholtzer Gregory L · CIK 0001317211 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,559

F1 · shares: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2012 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of (i) 1/3 of the shares on the one (1) year anniversary of December 12, 2018 (the "Grant Date"); (ii) 1/3 on the two (2) year anniversary of the Grant Date; and (iii) 1/3 on the three (3) year anniversary of the Grant Date, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as the Chief Financial Officer of the Issuer.

SEC source: 0001654954-18-011624 · section16.xml · derivative · entry 2

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through SK Energy LLC

Disclosed balance after: Not disclosed

Underlying: Common Stock · 3,910,615 shares

Expires 2021-10-25

F1 · kind: Exempt under Rule 16b-3(d).

F3 · price: The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on October 26, 2018. The conversion of the Convertible Promissory Note is subject to a 49.9% conversion limitation (for so long as SK Energy or any of its affiliates holds such note), which prevents the conversion of any portion thereof into common stock of the Issuer if such conversion would result in SK Energy beneficially owning (as such term is defined in the Securities Exchange Act of 1934, as amended) more than 49.9% of the Issuer's outstanding shares of common stock.

F3 · derivative.underlying_shares: The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on October 26, 2018. The conversion of the Convertible Promissory Note is subject to a 49.9% conversion limitation (for so long as SK Energy or any of its affiliates holds such note), which prevents the conversion of any portion thereof into common stock of the Issuer if such conversion would result in SK Energy beneficially owning (as such term is defined in the Securities Exchange Act of 1934, as amended) more than 49.9% of the Issuer's outstanding shares of common stock.

SEC source: 0001654954-18-011624 · section16.xml · nonDerivative · entry 1

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through SK Energy LLC

Disclosed balance after: 7,337,618

F1 · kind: Exempt under Rule 16b-3(d).

F2 · kind: On October 25, 2018, SK Energy LLC and the Issuer agreed to convert $163,756.76 of interest owed under a $7.7 million convertible promissory note issued in June 2018, into 75,118 shares of common stock pursuant to the terms of such note.

SEC source: 0001654954-18-010833 · section16.xml · derivative · entry 2

SCELFO JOHN J · CIK 0001286409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2023-09-27

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered as a member of the Board of Directors of the Issuer.

F3 · derivative.exercise_date: The Incentive Stock Options vest in full on July 12, 2019, subject to the Reporting Person being a member of the Issuer's Board of Directors on such vesting date, and subject to the terms and conditions of a Stock Option Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

SEC source: 0001654954-18-010833 · section16.xml · nonDerivative · entry 1

SCELFO JOHN J · CIK 0001286409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · security: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to Issuer's 2012 Equity Incentive Plan and are subject to forfeiture. The shares in full vest on July 12, 2019, subject to the Reporting Person being a member of the Issuer's Board of Directors on such vesting date, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered as a member of the Board of Directors of the Issuer.

SEC source: 0001654954-18-011027 · section16.xml · derivative · entry 2

Evans Harold Douglas · CIK 0001754173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2023-09-27

F3 · derivative.exercise_date: The Incentive Stock Options vest in full on September 27, 2019, subject to the Reporting Person being a member of the Issuer's Board of Directors on such vesting date, and subject to the terms and conditions of a Stock Option Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

SEC source: 0001654954-18-011027 · section16.xml · nonDerivative · entry 1

Evans Harold Douglas · CIK 0001754173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · security: The shares of Restricted Common Stock were issued to the Reporting Person pursuant to Issuer's 2012 Equity Incentive Plan and are subject to forfeiture. The shares in full vest on September 27, 2019, subject to the Reporting Person being a member of the Issuer's Board of Directors on such vesting date, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered as a member of the Board of Directors of the Issuer.

SEC source: 0001654954-18-008975 · section16.xml · nonDerivative · entry 2

Overholtzer Gregory L · CIK 0001317211 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,559

F1 · shares: Reporting Person sold shares in an open market sale.

F2 · balance_after: Reporting Person's holdings include: 3,442 and 4,100 shares issued pursuant to restricted stock grants and 27,017 balance remaining from an option exercise.

SEC source: 0001654954-18-008975 · section16.xml · nonDerivative · entry 1

Overholtzer Gregory L · CIK 0001317211 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,559

F1 · shares: Reporting Person sold shares in an open market sale.

SEC source: 0001654954-18-010056 · section16.xml · derivative · entry 2

KUKES SIMON G · CIK 0001222390 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through SK Energy LLC

Disclosed balance after: Not disclosed

Underlying: Common Stock · 10,328,638 shares

Expires 2021-08-01

F1 · price: The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on August 1, 2018. The conversion of the Convertible Promissory Note is subject to a 49.9% conversion limitation (for so long as SK Energy or any of its affiliates holds such note), which prevents the conversion of any portion thereof into common stock of the Issuer if such conversion would result in SK Energy beneficially owning (as such term is defined in the Securities Exchange Act of 1934, as amended) more than 49.9% of the Issuer's outstanding shares of common stock. The conversion price of the Convertible Promissory Note was not able to be determined until August 29, 2018.

F1 · derivative.underlying_shares: The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on August 1, 2018. The conversion of the Convertible Promissory Note is subject to a 49.9% conversion limitation (for so long as SK Energy or any of its affiliates holds such note), which prevents the conversion of any portion thereof into common stock of the Issuer if such conversion would result in SK Energy beneficially owning (as such term is defined in the Securities Exchange Act of 1934, as amended) more than 49.9% of the Issuer's outstanding shares of common stock. The conversion price of the Convertible Promissory Note was not able to be determined until August 29, 2018.

SEC source: 0001654954-18-010047 · section16.xml · derivative · entry 1

SCELFO JOHN J · CIK 0001286409 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Through the John J Scelfo Revocable Trust Dated October 3, 2003

Disclosed balance after: Not disclosed

Underlying: Common Stock · 234,742 shares

Expires 2021-08-01

F1 · derivative.exercise_price: Represents shares of common stock issuable upon conversion of a $500,000 Convertible Promissory Note. The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on August 1, 2018. The conversion price of the Convertible Promissory Note was not able to be determined until August 29, 2018.

F1 · reported_value: Represents shares of common stock issuable upon conversion of a $500,000 Convertible Promissory Note. The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on August 1, 2018. The conversion price of the Convertible Promissory Note was not able to be determined until August 29, 2018.

F1 · price: Represents shares of common stock issuable upon conversion of a $500,000 Convertible Promissory Note. The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on August 1, 2018. The conversion price of the Convertible Promissory Note was not able to be determined until August 29, 2018.

F1 · derivative.underlying_shares: Represents shares of common stock issuable upon conversion of a $500,000 Convertible Promissory Note. The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on August 1, 2018. The conversion price of the Convertible Promissory Note was not able to be determined until August 29, 2018.

F1 · valueOwnedAfter: Represents shares of common stock issuable upon conversion of a $500,000 Convertible Promissory Note. The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on August 1, 2018. The conversion price of the Convertible Promissory Note was not able to be determined until August 29, 2018.

SEC source: 0001654954-18-010116 · section16.xml · derivative · entry 1

SIEM IVAR · CIK 0001187993 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Norexas Oil and Gas, LLC

Disclosed balance after: Not disclosed

Underlying: Common Stock · 234,742 shares

Expires 2021-08-01

F1 · price: The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on August 1, 2018. The securities held by Norexas Oil and Gas, LLC are deemed to be beneficially owned by Ivar Siem and J. Douglas Schick. The conversion price of the Convertible Promissory Note was not able to be determined until August 29, 2018.

F1 · derivative.underlying_shares: The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on August 1, 2018. The securities held by Norexas Oil and Gas, LLC are deemed to be beneficially owned by Ivar Siem and J. Douglas Schick. The conversion price of the Convertible Promissory Note was not able to be determined until August 29, 2018.

SEC source: 0001654954-19-002567 · section16.xml · derivative · entry 1

SIEM IVAR · CIK 0001187993 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Norexas Oil and Gas LLC

Disclosed balance after: Not disclosed

Underlying: Common stock · 234,742 shares

Expires 2021-08-01

F1 · price: The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on August 1, 2018. The conversion price of the Convertible Promissory Note was not able to be determined until August 29, 2018.

F1 · derivative.underlying_shares: The terms of the Convertible Promissory Note are described in greater detail in the Form 8-K filed by the Issuer with the SEC on August 1, 2018. The conversion price of the Convertible Promissory Note was not able to be determined until August 29, 2018.

F2 · ownership.nature: The reporting person disclaims beneficial ownership of the reported securities held by Norexas Oil and Gas, LLC, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.

SEC source: 0001654954-18-007543 · section16.xml · nonDerivative · entry 1

Ingriselli Frank C · CIK 0001415554 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 374,460

F1 · shares: Common stock of Issuer granted to Reporting Person pursuant to Issuer's 2012 Equity Incentive Plan and subject to forfeiture as follows: (i) 100% of the shares are vested on January 11, 2019, 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 · balance_after: Reporting Person's holdings include:13,371 held by spouse; 36,893 held directly; 80,000, 14,546, 80,000 and 60,000 pursuant to restricted stock grants and 89,650 vested shares held by Global Venture Investments, Inc., an entity 100% owned and controlled by Reporting Person.

SEC source: 0001654954-18-007542 · section16.xml · nonDerivative · entry 1

Clark Moore · CIK 0001554740 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,076

F1 · shares: Common stock of Issuer granted to Reporting Person pursuant to Issuer's 2012 Equity Incentive Plan and subject to forfeiture as follows: (i) 100% of the shares vest on January 11, 2019 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 · balance_after: Reporting Person's holdings include: 3,334 shares, 9,352 shares, 26,250, 195,000 and 50,000 all issued pursuant to restricted stock grants with 1,140 remaining of Founders Stock.

SEC source: 0001654954-18-007337 · section16.xml · derivative · entry 3

Overholtzer Gregory L · CIK 0001317211 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2022-12-28

F1 · shares: Reporting Person exercised 75,000 options at $.3088 exercise price in a cashless net exercise at $2.32 per share with 65,017 shares of common stock issuable and 9,983 options returned to the Company's Equity Incentive Plan.

F2 · price: Payment of cashless net exercise price of $23,160 with 9,983 options at $2.32 per share being returned to the Company's Equity Incentive Plan.

SEC source: 0001654954-18-007337 · section16.xml · nonDerivative · entry 2

Overholtzer Gregory L · CIK 0001317211 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,559

F3 · shares: This number represents shares of Pedevco common stock withheld to satisfy the payment of the cashless exercise of option.

F4 · balance_after: Reporting Person's holdings include: 3,442 and 4,100 shares issued pursuant to restricted stock grants and 65,017 shares issued pursuant to an ISO option exercise.

SEC source: 0001654954-18-007337 · section16.xml · nonDerivative · entry 1

Overholtzer Gregory L · CIK 0001317211 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,542

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Reporting Person exercised 75,000 options at $.3088 exercise price in a cashless net exercise at $2.32 per share with 65,017 shares of common stock issuable and 9,983 options returned to the Company's Equity Incentive Plan.

F2 · price: Payment of cashless net exercise price of $23,160 with 9,983 options at $2.32 per share being returned to the Company's Equity Incentive Plan.

SEC source: 0001654954-18-007178 · section16.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Contractor

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 442,081

F1 · shares: 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 June 28, 2018 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).

SEC source: 0001654954-18-007177 · section16.xml · nonDerivative · entry 1

Clark Moore · CIK 0001554740 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,076

F1 · shares: 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 June 28, 2018 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).

F2 · balance_after: Reporting Person's holdings include: 3,334 shares, 9,352 shares, 26,250 and 195,000 all issued pursuant to restricted stock grants with 1,140 remaining of Founders Stock.