SEC Form 4 · accession 0001654954-17-009174
Yuma Energy, Inc. · YUMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James W Christmas
Director
Period of report
Oct 3, 2017
Accepted (ET)
Oct 5, 2017 · 4:51 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 StockF1,F2 | Oct 3, 2017 | P | 252,754 | $1.00 | A | 338,340 | D | |
| Common StockF1 | Oct 3, 2017 | P | 25,000 | $1.00 | A | 25,000 | I | By wife |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a purchase from the underwriters in the Issuer's public offering.
- F2Includes 4,261 shares of common stock from a restricted stock award that vest on December 31, 2017.