SEC Form 4 · accession 0001654954-17-009178
Yuma Energy, Inc. · YUMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sam L. Banks
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Oct 3, 2017
Accepted (ET)
Oct 5, 2017 · 4:56 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 | 300,000 | $1.00 | A | 2,396,993 | 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 11,613 shares of common stock from a restricted stock award that vest on May 31, 2018.