0001354488-16-008487.txt : 20161107 0001354488-16-008487.hdr.sgml : 20161107 20161107162508 ACCESSION NUMBER: 0001354488-16-008487 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: Banks Sam L. CENTRAL INDEX KEY: 0001618779 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37932 FILM NUMBER: 161978424 MAIL ADDRESS: STREET 1: 1177 WEST LOOP SOUTH STREET 2: SUITE 1825 CITY: HOUSTON STATE: TX ZIP: 77027 3 1 issuerdirect_section16.xml PRIMARY DOCUMENT X0206 3 2016-10-26 0 0001672326 Yuma Energy, Inc. YUMA 0001618779 Banks Sam L. 1177 WEST LOOP SOUTH SUITE 1825 HOUSTON TX 77027 1 1 1 President and CEO Common Stock 2102138 D Stock Appreciation Rights 12.1 2018-08-22 Common Stock 28530 D Reflects the undersigned?s beneficial ownership of shares of common stock of the Issuer after the reincorporation of Yuma Energy, Inc., a California corporation, to Delaware and the 1-for-20 reverse stock split. Includes shares from restricted stock awards after accounting for the reincorporation and the 1-for-20 reverse stock split that vest as to 1,893 shares on January 1, 2017, 11,614 shares on May 31, 2017, and 11,613 shares on May 31, 2018. The stock appreciation right award reflects the reincorporation and the 1-for-20 reverse stock split, and vested as to 9,510 SARs on May 31, 2016, and vests as to 9,510 SARs on May 31, 2017 and as to 9,510 SARs on May 31, 2018. Reflects accounting for reincorporation and 1-for-20 reverse stock split. /s/ Sam L. Banks 2016-11-07