SEC Form 3 · accession 0001179110-16-031296
Yuma Energy, Inc. · YUMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Oct 26, 2016
Accepted (ET)
Nov 7, 2016 · 6:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000081318
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | holding | — | — | — | 1,607,301 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Bain Capital Credit Member, LLC ("BCCM) is the administrative member of Sankaty Davis, LLC ("Sankaty Davis"). As a result, BCCM may be deemed to share voting and dispositive power with respect to all of the shares of Common Stock held by Sankaty Davis. BCCM disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein.
- F2Reflects Sankaty Davis' beneficial ownership of shares of common stock of the Issuer after the reincorporation of Yuma Energy, Inc., a California corporation, to Delaware and the 1-for-20 reverse stock split.