SEC Form 4 · accession 0001354488-16-008397
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
Oct 18, 2016
Accepted (ET)
Oct 20, 2016 · 5:56 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 | 420,765 | $0.00 | A | 1,010,333 | D | |
| Common StockF2 | Oct 18, 2016 | F | 115,079 | $0.24 | D | 895,254 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The restricted stock award vested immediately upon grant.
- F2Shares of common stock withheld by the Registrant to cover tax withholding obligations of the reporting person arising from the vesting of restricted stock awards on October 18, 2016 granted under the Yuma Energy, Inc. 2014 Long-Term Incentive Plan.