0001654954-17-003579.txt : 20170424 0001654954-17-003579.hdr.sgml : 20170424 20170424172431 ACCESSION NUMBER: 0001654954-17-003579 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170420 FILED AS OF DATE: 20170424 DATE AS OF CHANGE: 20170424 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37932 FILM NUMBER: 17779070 MAIL ADDRESS: STREET 1: 1177 WEST LOOP SOUTH STREET 2: SUITE 1825 CITY: HOUSTON STATE: TX ZIP: 77027 4 1 section16.xml PRIMARY DOCUMENT X0306 4 2017-04-20 0001672326 Yuma Energy, Inc. YUMA 0001618779 Banks Sam L. 1177 WEST LOOP SOUTH SUITE 1825 HOUSTON TX 77027 true true true false Chief Executive Officer Stock Appreciation Right (cash settled) 4.40 2017-04-20 4 A false 193182 0 A 2024-04-20 Common Stock 193182 193182 D Stock Options 2.56 2017-04-20 4 A false 361702 0 A 2027-04-19 Common Stock 361702 361702 D Stock Appreciation Right 12.1 2022-08-18 Common Stock 28530 28530 D Stock appreciation right award vests in three equal installments on February 6, 2018, February 6, 2019 and February 6, 2020. Stock option award vests in three equal installments on February 6, 2018, February 6, 2019 and February 6, 2020. The stock appreciation right award 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. /s/ Sam L. Banks 2017-04-24