SEC Form 4 · accession 0001654954-18-001235
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
Feb 6, 2018
Accepted (ET)
Feb 8, 2018 · 4:50 pm EST
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 | Feb 6, 2018 | A | 199,954 | $0.00 | A | 2,596,947 | D | |
| Common StockF2 | Feb 6, 2018 | F | 75,547 | $1.15 | D | 2,521,400 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The restricted stock award vested immediately upon grant.
- F2Shares of common stock withheld by the Registrant to cover tax withholding obligations of the reporting person arising from the vesting of restricted stock awards on February 6, 2018 granted under the Yuma Energy, Inc. 2014 Long Term Incentive Plan.