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Home/Filings/3/0001209191-16-148738
3//SEC Filing

RMCP PIV DPC II, L.P. 3

Accession 0001209191-16-148738

CIK 0001672326other
View on SEC.govCompany Profile

Filed

Nov 6, 7:00 PM ET

Accepted

Nov 7, 7:00 PM ET

Size

17.2 KB

Accession

0001209191-16-148738

Insider Transaction Report

Form 3
Period: 2016-10-26
Yuma Energy, Inc.YUMA
RED MOUNTAIN CAPITAL PARTNERS LLC
10% Owner
Holdings

  • Common Stock

    (indirect: See Footnote and Remarks below.)
    2,525,052

  • Series D Convertible Preferred Stock

    (indirect: See Footnote and Remarks below.)
    Exercise: $11.07→ Common Stock (1,743,313 underlying)
MESDAG WILLEM
10% Owner
Holdings

  • Common Stock

    (indirect: See Footnote and Remarks below.)
    2,525,052

  • Series D Convertible Preferred Stock

    (indirect: See Footnote and Remarks below.)
    Exercise: $11.07→ Common Stock (1,743,313 underlying)
RED MOUNTAIN CAPITAL MANAGEMENT INC
10% Owner
Holdings

  • Common Stock

    (indirect: See Footnote and Remarks below.)
    2,525,052

  • Series D Convertible Preferred Stock

    (indirect: See Footnote and Remarks below.)
    Exercise: $11.07→ Common Stock (1,743,313 underlying)
RMCP GP LLC
10% Owner
Holdings

  • Common Stock

    (indirect: See Footnote and Remarks below.)
    2,525,052

  • Series D Convertible Preferred Stock

    (indirect: See Footnote and Remarks below.)
    Exercise: $11.07→ Common Stock (1,743,313 underlying)
RMCP DPC LLC
10% Owner
Holdings

  • Common Stock

    (indirect: See Footnote and Remarks below.)
    2,525,052

  • Series D Convertible Preferred Stock

    (indirect: See Footnote and Remarks below.)
    Exercise: $11.07→ Common Stock (1,743,313 underlying)
RMCP DPC II LLC
10% Owner
Holdings

  • Common Stock

    (indirect: See Footnote and Remarks below.)
    2,525,052

  • Series D Convertible Preferred Stock

    (indirect: See Footnote and Remarks below.)
    Exercise: $11.07→ Common Stock (1,743,313 underlying)
RMCP PIV DPC, L.P.
10% Owner
Holdings

  • Common Stock

    (indirect: See Footnote and Remarks below.)
    2,525,052

  • Series D Convertible Preferred Stock

    (indirect: See Footnote and Remarks below.)
    Exercise: $11.07→ Common Stock (1,743,313 underlying)
RMCP PIV DPC II, L.P.
10% Owner
Holdings

  • Common Stock

    (indirect: See Footnote and Remarks below.)
    2,525,052

  • Series D Convertible Preferred Stock

    (indirect: See Footnote and Remarks below.)
    Exercise: $11.07→ Common Stock (1,743,313 underlying)
Footnotes (3)
  • [F1]These shares are held directly by RMCP PIV DPC, L.P. ("DPC PIV").
  • [F2]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.
  • [F3]These shares are held directly by RMCP PIV DPC II, L.P. ("DPC PIV II").

Documents

1 file

Issuer

Yuma Energy, Inc.

CIK 0001672326

→
Entity typeother
IncorporatedDE

Related Parties

1
  • filerCIK 0001688394

Filing Metadata

Form type
3
Filed
Nov 6, 7:00 PM ET
Accepted
Nov 7, 7:00 PM ET
Size
17.2 KB
View on SEC.gov