0001354488-16-008590.txt : 20161123 0001354488-16-008590.hdr.sgml : 20161123 20161123161928 ACCESSION NUMBER: 0001354488-16-008590 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161121 FILED AS OF DATE: 20161123 DATE AS OF CHANGE: 20161123 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37932 FILM NUMBER: 162016864 MAIL ADDRESS: STREET 1: 1400 WOODLOCH FOREST DRIVE STREET 2: SUITE 300 CITY: THE WOODLANDS STATE: TX ZIP: 77380 4 1 issuerdirect_section16.xml PRIMARY DOCUMENT X0306 4 2016-11-21 0 0001672326 Yuma Energy, Inc. YUMA 0001397150 Lodzinski Frank Alan 1400 WOODLOCH FOREST DRIVE SUITE 300 THE WOODLANDS TX 77380 1 Common Stock 2016-11-21 4 J 0 18807 0 D 2627 D Common Stock 2016-11-21 4 J 0 18807 0 A 21923 I By Azure Energy, LLC Represents a transfer from the Reporting Person to Azure Energy, LLC. The Reporting Person exercises voting and investment control over the securities held by Azure Energy, LLC. Includes shares from a restricted stock award 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 2016-11-23