Filing Details

Accession Number:
0001209191-16-156370
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-12-21 18:25:17
Reporting Period:
2016-12-19
Filing Date:
2016-12-21
Accepted Time:
2016-12-21 18:25:17
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1672326 Yuma Energy Inc. YUMA () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1374566 Willem Mesdag 10100 Santa Monica Boulevard, Suite 925
Los Angeles CA 90067
No No Yes No
1374588 Red Mountain Capital Partners Llc 10100 Santa Monica Boulevard
Suite 925
Los Angeles CA 90067
No No Yes No
1374606 Rmcp Gp Llc 10100 Santa Monica Boulevard
Suite 925
Los Angeles CA 90067
No No Yes No
1374607 Red Mountain Capital Management Inc 10100 Santa Monica Boulevard
Suite 925
Los Angeles CA 90067
No No Yes No
1688392 Rmcp Dpc Ii Llc 10100 Santa Monica Boulevard, Suite 925
Los Angeles CA 90067
No No Yes No
1688393 Rmcp Dpc Llc 10100 Santa Monica Boulevard, Suite 925
Santa Monica CA 90067
No No Yes No
1688394 Rmcp Piv Dpc Ii, L.p. 10100 Santa Monica Boulevard, Suite 925
Los Angeles CA 90067
No No Yes No
1688395 Rmcp Piv Dpc, L.p. 10100 Santa Monica Boulevard, Suite 925
Los Angeles CA 90067
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2016-12-19 100 $3.30 2,556,952 No 4 P Indirect See Footnote and Remarks below.
Common Stock Acquisiton 2016-12-20 5,000 $3.41 2,561,952 No 4 P Indirect See Footnote and Remarks below.
Common Stock Acquisiton 2016-12-21 13,100 $3.63 2,575,052 No 4 P Indirect See Footnote and Remarks below.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See Footnote and Remarks below.
No 4 P Indirect See Footnote and Remarks below.
No 4 P Indirect See Footnote and Remarks below.
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Series D Convertible Preferred Stock $11.07 1,743,313 1,743,313 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
1,743,313 1,743,313 Indirect
Footnotes
  1. These shares of Common Stock were purchased by Red Mountain Capital Partners LLC ("RMCP") on the open market at $3.30 per share.
  2. 2,525,052 of these shares are held directly by RMCP PIV DPC, L.P. ("DPC PIV") and the remaining shares are held directly by RMCP.
  3. These shares of Common Stock were purchased by RMCP on the open market. The price reported in Column 4 is a weighted average per share purchase price. These shares were purchased in multiple transactions at prices ranging from $3.30 to $3.69, inclusive. Each of DPC PIV, RMCP DPC LLC ("DPC"), RMCP GP LLC ("RMCP GP"), RMCP, Red Mountain Capital Management, Inc. ("RMCM"), and Willem Mesdag undertakes to provide to Yuma Energy, Inc. (the "Company"), any securityholder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the price at which these shares were purchased.
  4. These shares of Common Stock were purchased by RMCP on the open market. The price reported in Column 4 is a weighted average per share purchase price. These shares were purchased in multiple transactions at prices ranging from $3.42 to $3.73, inclusive. Each of DPC PIV, DPC, RMCP GP, RMCP LLC, RMCP, RMCM, and Mr. Mesdag undertakes to provide to the Company, any securityholder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the price at which these shares were purchased.
  5. The Series D Convertible Preferred Stock is convertible into shares of Common Stock at the option of the holder at any time or upon certain mandatory triggering events and has no expiration date.
  6. These shares are held directly by RMCP PIV DPC II, L.P. ("DPC PIV II").