0001354488-16-008485.txt : 20161107 0001354488-16-008485.hdr.sgml : 20161107 20161107162304 ACCESSION NUMBER: 0001354488-16-008485 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161026 FILED AS OF DATE: 20161107 DATE AS OF CHANGE: 20161107 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Yuma Energy, Inc. CENTRAL INDEX KEY: 0001672326 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 812235304 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1177 WEST LOOP SOUTH STREET 2: SUITE 1825 CITY: HOUSTON STATE: TX ZIP: 77027 BUSINESS PHONE: 713-968-7000 MAIL ADDRESS: STREET 1: 1177 WEST LOOP SOUTH STREET 2: SUITE 1825 CITY: HOUSTON STATE: TX ZIP: 77027 FORMER COMPANY: FORMER CONFORMED NAME: Yuma Delaware Merger Subsidiary, Inc. DATE OF NAME CHANGE: 20160415 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lodzinski Frank Alan CENTRAL INDEX KEY: 0001397150 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37932 FILM NUMBER: 161978401 MAIL ADDRESS: STREET 1: 1400 WOODLOCH FOREST DRIVE STREET 2: SUITE 300 CITY: THE WOODLANDS STATE: TX ZIP: 77380 3 1 issuerdirect_section16.xml PRIMARY DOCUMENT X0206 3 2016-10-26 0 0001672326 Yuma Energy, Inc. YUMA 0001397150 Lodzinski Frank Alan 1400 WOODLOCH FOREST DRIVE SUITE 300 THE WOODLANDS TX 77380 1 Common Stock 21434 D Common Stock 3117 I By Azure Energy, LLC Reflects the undersigned?s beneficial ownership of shares of common stock of the Registrant after the reincorporation of Yuma Energy, Inc., a California corporation, to Delaware and the 1-for-20 reverse stock split. Includes shares from a restricted stock award after accounting for the reincorporation and the 1-for-20 reverse stock split that vests as to 2,627 shares on January 1, 2017. The Reporting Person disclaims beneficial ownership of any shares of the Registrant's common stock held by Azure Energy, LLC, except to the extent of his pecuniary interest therein. /s/ Frank A. Lodzinski 2016-11-07