SEC Form 4 · accession 0001654954-17-007589
Yuma Energy, Inc. · YUMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Alan Lodzinski
Director
Period of report
Feb 17, 2017
Accepted (ET)
Aug 14, 2017 · 5:46 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 |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 17, 2017 | G | 2,627 | $0.00 | D | 17,045 | D | |
| Common StockF2 | Feb 17, 2017 | G | 2,627 | $0.00 | A | 24,550 | I | By Azure Energy, LLC |
| Common Stock | May 22, 2017 | G | 4,262 | $0.00 | D | 12,783 | D | |
| Common StockF2 | May 22, 2017 | G | 4,262 | $0.00 | A | 28,812 | I | By Azure Energy, LLC |
| Common StockF3 | Aug 6, 2017 | G | 4,261 | $0.00 | D | 8,522 | D | |
| Common StockF2 | Aug 6, 2017 | G | 4,261 | $0.00 | A | 33,073 | I | By Azure Energy, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction involved a gift of securities by the Reporting Person to Azure Energy, LLC.
- F2The 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.
- F3Includes a restricted stock award that vests as to 4,261 shares on September 30, 2017 and 4,261 shares on December 31, 2017.