SEC Form 4 · accession 0001354488-15-004014
Yuma Energy, Inc. · YUMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kirk F. Sprunger
Officer — Chief Financial Officer
Period of report
Aug 18, 2015
Accepted (ET)
Aug 20, 2015 · 6:05 pm EDT
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 | Aug 18, 2015 | A | 313,289 | $0.00 | A | 596,836 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF2 | $0.605 | Aug 18, 2015 | A | 313,917 | A | — | Aug 18, 2022 | Common Stock | 313,917 | 313,917 | D |
Explanation of responses
- F1The restricted stock award vests as to 104,430 shares of common stock of the Registrant on May 31, 2016, as to 104,430 shares on May 31, 2017, and as to 104,429 shares on May 31, 2018.
- F2The stock appreciation right award vests in three equal annual installments beginning on May 31, 2016.