Home/Filings/4/0001209191-16-156791

4//SEC Filing

RMCP PIV DPC II, L.P. 4

Accession 0001209191-16-156791

CIK 0001672326other

View on SEC.gov Company Profile

Filed

Dec 26, 7:00 PM ET

Accepted

Dec 27, 3:11 PM ET

Size

21.6 KB

Accession

0001209191-16-156791

Insider Transaction Report

Form 4

Period: 2016-12-22

Yuma Energy, Inc.YUMA

RED MOUNTAIN CAPITAL MANAGEMENT INC

10% Owner

Transactions

Purchase
Common Stock
2016-12-22$3.73/sh+25,000$93,260→ 2,600,052 total(indirect: See Footnote and Remarks below.)
Purchase
Common Stock
2016-12-23$3.77/sh+3,000$11,296→ 2,603,052 total(indirect: See Footnote and Remarks below.)

Holdings

Series D Convertible Preferred Stock
(indirect: See Footnote and Remarks below.)
Exercise: $11.07→ Common Stock (1,743,313 underlying)
1,743,313

MESDAG WILLEM

10% Owner

Transactions

Purchase
Common Stock
2016-12-22$3.73/sh+25,000$93,260→ 2,600,052 total(indirect: See Footnote and Remarks below.)
Purchase
Common Stock
2016-12-23$3.77/sh+3,000$11,296→ 2,603,052 total(indirect: See Footnote and Remarks below.)

Holdings

Series D Convertible Preferred Stock
(indirect: See Footnote and Remarks below.)
Exercise: $11.07→ Common Stock (1,743,313 underlying)
1,743,313

RED MOUNTAIN CAPITAL PARTNERS LLC

10% Owner

Transactions

Purchase
Common Stock
2016-12-23$3.77/sh+3,000$11,296→ 2,603,052 total(indirect: See Footnote and Remarks below.)
Purchase
Common Stock
2016-12-22$3.73/sh+25,000$93,260→ 2,600,052 total(indirect: See Footnote and Remarks below.)

Holdings

Series D Convertible Preferred Stock
(indirect: See Footnote and Remarks below.)
Exercise: $11.07→ Common Stock (1,743,313 underlying)
1,743,313

RMCP DPC II LLC

10% Owner

Transactions

Purchase
Common Stock
2016-12-23$3.77/sh+3,000$11,296→ 2,603,052 total(indirect: See Footnote and Remarks below.)
Purchase
Common Stock
2016-12-22$3.73/sh+25,000$93,260→ 2,600,052 total(indirect: See Footnote and Remarks below.)

Holdings

Series D Convertible Preferred Stock
(indirect: See Footnote and Remarks below.)
Exercise: $11.07→ Common Stock (1,743,313 underlying)
1,743,313

RMCP PIV DPC II, L.P.

10% Owner

Transactions

Purchase
Common Stock
2016-12-22$3.73/sh+25,000$93,260→ 2,600,052 total(indirect: See Footnote and Remarks below.)
Purchase
Common Stock
2016-12-23$3.77/sh+3,000$11,296→ 2,603,052 total(indirect: See Footnote and Remarks below.)

Holdings

Series D Convertible Preferred Stock
(indirect: See Footnote and Remarks below.)
Exercise: $11.07→ Common Stock (1,743,313 underlying)
1,743,313

RMCP PIV DPC, L.P.

10% Owner

Transactions

Purchase
Common Stock
2016-12-23$3.77/sh+3,000$11,296→ 2,603,052 total(indirect: See Footnote and Remarks below.)
Purchase
Common Stock
2016-12-22$3.73/sh+25,000$93,260→ 2,600,052 total(indirect: See Footnote and Remarks below.)

Holdings

Series D Convertible Preferred Stock
(indirect: See Footnote and Remarks below.)
Exercise: $11.07→ Common Stock (1,743,313 underlying)
1,743,313

RMCP GP LLC

10% Owner

Transactions

Purchase
Common Stock
2016-12-22$3.73/sh+25,000$93,260→ 2,600,052 total(indirect: See Footnote and Remarks below.)
Purchase
Common Stock
2016-12-23$3.77/sh+3,000$11,296→ 2,603,052 total(indirect: See Footnote and Remarks below.)

Holdings

Series D Convertible Preferred Stock
(indirect: See Footnote and Remarks below.)
Exercise: $11.07→ Common Stock (1,743,313 underlying)
1,743,313

RMCP DPC LLC

10% Owner

Transactions

Purchase
Common Stock
2016-12-23$3.77/sh+3,000$11,296→ 2,603,052 total(indirect: See Footnote and Remarks below.)
Purchase
Common Stock
2016-12-22$3.73/sh+25,000$93,260→ 2,600,052 total(indirect: See Footnote and Remarks below.)

Holdings

Series D Convertible Preferred Stock
(indirect: See Footnote and Remarks below.)
Exercise: $11.07→ Common Stock (1,743,313 underlying)
1,743,313

Footnotes (5)

[F1]These shares of Common Stock were purchased by Red Mountain Capital Partners LLC ("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 $3.605 to $3.90, inclusive. Each of RMCP PIV DPC, L.P. ("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.
[F2]2,525,052 of these shares are held directly by DPC PIV and the remaining shares are held directly by RMCP.
[F3]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 $3.70 to $3.80, inclusive. Each of DPC PIV, DPC, RMCP GP, 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.
[F4]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.
[F5]These shares are held directly by RMCP PIV DPC II, L.P. ("DPC PIV II").

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

Yuma Energy, Inc.

CIK 0001672326

→

Entity typeother

IncorporatedDE

Related Parties

filerCIK 0001688394

Filing Metadata

Form type: 4
Filed: Dec 26, 7:00 PM ET
Accepted: Dec 27, 3:11 PM ET
Size: 21.6 KB

View on SEC.gov