SEC Form 4 · accession 0001654954-17-009176
Yuma Energy, Inc. · YUMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul D. McKinney
Officer — President and COO
Period of report
Oct 3, 2017
Accepted (ET)
Oct 5, 2017 · 4:53 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 | 250,000 | $1.00 | A | 291,846 | D |
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 shares from restricted stock awards that vest as to 2,437 shares on October 15, 2017, and 7,810 shares on May 31, 2018.