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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	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

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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

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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

These shares of Common Stock were purchased by Red Mountain Capital Partners LLC ("RMCP") on the open market at $3.30 per share.
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.
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.
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.
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.
These shares are held directly by RMCP PIV DPC II, L.P. ("DPC PIV II").