SEC Form 4 · accession 0001354488-15-004018
Yuma Energy, Inc. · YUMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sam L. Banks
Officer — President and CEO · Director · 10% Owner
Period of report
Aug 18, 2015
Accepted (ET)
Aug 20, 2015 · 6:10 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 | 569,455 | $0.00 | A | 41,682,074 | 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 | 570,595 | A | — | Aug 18, 2022 | Common Stock | 570,595 | 570,595 | D |
Explanation of responses
- F1The restricted stock award vests as to 189,819 shares of common stock of the Registrant on May 31, 2016, as to 189,818 shares on May 31, 2017, and as to 189,818 shares on May 31, 2018.
- F2The stock appreciation right award vests as to 190,199 SARs on May 31, 2016, as to 190,198 SARs on May 31, 2017, and as to 190,198 SARs on May 31, 2018.