SEC Form 4 · accession 0001354488-16-008395
Yuma Energy, Inc. · YUMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Alan Lodzinski
Director
Period of report
Oct 18, 2016
Accepted (ET)
Oct 20, 2016 · 5:53 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 | Oct 18, 2016 | A | 420,345 | $0.00 | A | 428,676 | D | |
| Common StockF2 | holding | — | — | — | 62,348 | I | By Azure Energy, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The restricted stock award vests as to 367,802 shares of common stock of the Registrant on the date of grant and as to 52,543 shares on January 1, 2017.
- 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.