SEC Form 4 · accession 0001354488-15-004016
Yuma Energy, Inc. · YUMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul D. McKinney
Officer — EVP and COO
Period of report
Aug 18, 2015
Accepted (ET)
Aug 20, 2015 · 6:07 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 | 468,595 | $0.00 | A | 659,835 | 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 | 469,534 | A | — | Aug 18, 2022 | Common Stock | 469,534 | 469,534 | D |
Explanation of responses
- F1The restricted stock award vests as to 156,199 shares of common stock of the Registrant on May 31, 2016, as to 156,198 shares on May 31, 2017, and as to 156,198 shares on May 31, 2018.
- F2The stock appreciation right award vests as to 156,512 SARs on May 31, 2016, as to 156,511 SARs on May 31, 2017, and as to 156,511 SARs on May 31, 2018.