SEC Form 4 · accession 0001354488-16-008590
Yuma Energy, Inc. · YUMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Alan Lodzinski
Director
Period of report
Nov 21, 2016
Accepted (ET)
Nov 23, 2016 · 4:19 pm EST
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 |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Nov 21, 2016 | J | 18,807 | $0.00 | D | 2,627 | D | |
| Common StockF3 | Nov 21, 2016 | J | 18,807 | $0.00 | A | 21,923 | I | By Azure Energy, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 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.
- F2Includes shares from a restricted stock award that vests as to 2,627 shares on January 1, 2017.
- F3The 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.