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RMCP DPC LLC 4

Accession 0001209191-16-155698

CIK 0001672326other
View on SEC.govCompany Profile

Filed

Dec 15, 7:00 PM ET

Accepted

Dec 16, 5:09 PM ET

Size

24.0 KB

Accession

0001209191-16-155698

Insider Transaction Report

Form 4
Period: 2016-12-14
Yuma Energy, Inc.YUMA
MESDAG WILLEM
10% Owner
Transactions
  • Purchase

    Common Stock

    2016-12-14$3.52/sh+13,070$45,942→ 2,538,122 total(indirect: See Footnote and Remarks below.)
  • Purchase

    Common Stock

    2016-12-15$3.42/sh+10,630$36,403→ 2,548,752 total(indirect: See Footnote and Remarks below.)
  • Purchase

    Common Stock

    2016-12-16$3.39/sh+8,100$27,430→ 2,556,852 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

    2016-12-15$3.42/sh+10,630$36,403→ 2,548,752 total(indirect: See Footnote and Remarks below.)
  • Purchase

    Common Stock

    2016-12-14$3.52/sh+13,070$45,942→ 2,538,122 total(indirect: See Footnote and Remarks below.)
  • Purchase

    Common Stock

    2016-12-16$3.39/sh+8,100$27,430→ 2,556,852 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

    2016-12-14$3.52/sh+13,070$45,942→ 2,538,122 total(indirect: See Footnote and Remarks below.)
  • Purchase

    Common Stock

    2016-12-16$3.39/sh+8,100$27,430→ 2,556,852 total(indirect: See Footnote and Remarks below.)
  • Purchase

    Common Stock

    2016-12-15$3.42/sh+10,630$36,403→ 2,548,752 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

    2016-12-15$3.42/sh+10,630$36,403→ 2,548,752 total(indirect: See Footnote and Remarks below.)
  • Purchase

    Common Stock

    2016-12-16$3.39/sh+8,100$27,430→ 2,556,852 total(indirect: See Footnote and Remarks below.)
  • Purchase

    Common Stock

    2016-12-14$3.52/sh+13,070$45,942→ 2,538,122 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

    2016-12-14$3.52/sh+13,070$45,942→ 2,538,122 total(indirect: See Footnote and Remarks below.)
  • Purchase

    Common Stock

    2016-12-15$3.42/sh+10,630$36,403→ 2,548,752 total(indirect: See Footnote and Remarks below.)
  • Purchase

    Common Stock

    2016-12-16$3.39/sh+8,100$27,430→ 2,556,852 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

    2016-12-14$3.52/sh+13,070$45,942→ 2,538,122 total(indirect: See Footnote and Remarks below.)
  • Purchase

    Common Stock

    2016-12-15$3.42/sh+10,630$36,403→ 2,548,752 total(indirect: See Footnote and Remarks below.)
  • Purchase

    Common Stock

    2016-12-16$3.39/sh+8,100$27,430→ 2,556,852 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 MANAGEMENT INC
10% Owner
Transactions
  • Purchase

    Common Stock

    2016-12-14$3.52/sh+13,070$45,942→ 2,538,122 total(indirect: See Footnote and Remarks below.)
  • Purchase

    Common Stock

    2016-12-15$3.42/sh+10,630$36,403→ 2,548,752 total(indirect: See Footnote and Remarks below.)
  • Purchase

    Common Stock

    2016-12-16$3.39/sh+8,100$27,430→ 2,556,852 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

    2016-12-15$3.42/sh+10,630$36,403→ 2,548,752 total(indirect: See Footnote and Remarks below.)
  • Purchase

    Common Stock

    2016-12-16$3.39/sh+8,100$27,430→ 2,556,852 total(indirect: See Footnote and Remarks below.)
  • Purchase

    Common Stock

    2016-12-14$3.52/sh+13,070$45,942→ 2,538,122 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 (6)
  • [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 $3.43 to $3.60, inclusive. Each of RMCP PIV DPC, L.P. ("DPC PIV"), RMCP DPC LLC ("DPC"), RMCP GP LLC ("RMCP GP"), RMCP LLC, Red Mountain Capital Partners LLC ("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 LLC.
  • [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 $3.38 to $3.55, 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.
  • [F4]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 $3.26 to $3.41, 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.
  • [F5]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.
  • [F6]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 0001688393

Filing Metadata

Form type
4
Filed
Dec 15, 7:00 PM ET
Accepted
Dec 16, 5:09 PM ET
Size
24.0 KB
View on SEC.gov