SEC Form 5 · accession 0001654954-18-001242
Yuma Energy, Inc. · YUMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Alan Lodzinski
Director
Period of report
Dec 31, 2017
Accepted (ET)
Feb 8, 2018 · 5:03 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 Stock | Nov 15, 2017 | G | 4,261 | $0.00 | D | 4,261 | D | |
| Common StockF2 | Nov 15, 2017 | G | 4,261 | $0.00 | A | 37,334 | 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.