SEC Form 4 · accession 0001179110-17-013126
Yuma Energy, Inc. · YUMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Oct 2, 2017
Accepted (ET)
Oct 4, 2017 · 6:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001672326
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| See Footnote 1F1,F2 | holding | — | — | — | 1,607,301 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1No change in beneficial ownership reported. This Form 4 is being filed for the sole purpose of indicating that, as a result of the Issuer's issuance of 9,600,000 shares of common stock on October 3, 2017, the Reporting Persons no longer beneficially own more than 10% of the outstanding shares of the Issuer's common stock and therefore are no longer subject to Section 16.
- F2Bain Capital Credit Member, LLC ("BCCM) is the administrative member of Sankaty Davis, LLC ("Sankaty Davis"). As a result, BCCM may be deemed to share voting and dispositive power with respect to all of the shares of Common Stock held by Sankaty Davis. BCCM disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein.