SEC Form 4 · accession 0001654954-17-003585
Yuma Energy, Inc. · YUMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James J Jacobs
Officer — Chief Financial Officer
Period of report
Apr 20, 2017
Accepted (ET)
Apr 24, 2017 · 5:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001672326
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Right (cash settled)F1 | $4.40 | Apr 20, 2017 | A | 125,000 | A | — | Apr 20, 2024 | Common Stock | 125,000 | 125,000 | D |
| Stock Appreciation Right (cash settled) | $4.40 | Apr 20, 2017 | A | 268,293 | A | Feb 6, 2020 | Apr 20, 2024 | Common Stock | 268,293 | 268,293 | D |
| Stock OptionsF2 | $2.56 | Apr 20, 2017 | A | 234,043 | A | — | Apr 19, 2027 | Common Stock | 234,043 | 234,043 | D |
| Stock Appreciation RightF3 | $12.10 | holding | — | — | — | — | Aug 18, 2022 | Common Stock | 13,416 | 13,416 | D |
Explanation of responses
- F1Stock appreciation right award vests in three equal installments on February 6, 2018, February 6, 2019 and February 6, 2020.
- F2Stock option award vests in three equal installments on February 6, 2018, February 6, 2019 and February 6, 2020.
- F3Stock appreciation right award vested as to 4,472 SARs on May 31, 2016, and vests as to 4,472 SARs on May 31, 2017, and as to 4,472 SARs on May 31, 2018.