Grundläggande statistik
| LEI | 549300MWJBXCL907ZB49 |
| CIK | 81318 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Yuma Energy, Inc.
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| December 5, 2016 |
YUMA / Yuma Energy, Inc. / SANDERS MORRIS HARRIS INC. - SANDERS MORRIS HARRIS LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* YUMA Energy Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 98872E108 (CUSIP Number) December 05, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedu |
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| December 5, 2016 |
YUMA / Yuma Energy, Inc. / SANDERS MORRIS HARRIS INC. - SANDERS MORRIS HARRIS LLC Passive Investment SC 13G/A 1 yumaa3120516.htm SANDERS MORRIS HARRIS LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* YUMA Energy Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 98872E108 (CUSIP Number) December 05, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate b |
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| December 5, 2016 |
YUMA / Yuma Energy, Inc. / SANDERS MORRIS HARRIS INC. - SANDERS MORRIS HARRIS LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 YUMA Energy Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 98872E108 (CUSIP Number) December 05, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Ru |
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| November 15, 2016 |
Yuma Energy QUARTERLY REPORT AMENDMENT NO. 1 (Quarterly Report) 10-Q/A 1 yuma10q.htm QUARTERLY REPORT AMENDMENT NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A (Amendment No. 1) [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the t |
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| November 14, 2016 |
Yuma Energy QUARTERLY REPORT (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-32989 Yuma Energy, In |
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| November 14, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: November 14, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commission F |
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| November 14, 2016 |
Yuma Energy, Inc. Announces Third Quarter 2016 Financial Results Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces Third Quarter 2016 Financial Results HOUSTON, TX ? (Marketwired ? November 14, 2016) ? Yuma Energy, Inc. (NYSE MKT: YUMA) (the ?Company? or ?Yuma?) today announced its financial results for the quarter ended September 30, 2016. These financial results only reflect Yuma Energy, Inc. as a stand-alone entity prior to the merger w |
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| November 14, 2016 |
Results of Operations and Financial Condition, Financial Statements and Exhibits 8-K 1 yuma8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: November 14, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction |
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| November 14, 2016 |
Yuma Energy, Inc. Announces Third Quarter 2016 Financial Results Blueprint Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces Third Quarter 2016 Financial Results HOUSTON, TX – (Marketwired – November 14, 2016) – Yuma Energy, Inc. (NYSE MKT: YUMA) (the “Company” or “Yuma”) today announced its financial results for the quarter ended September 30, 2016. These financial results only reflect Yuma Energy, Inc. as a stand-alone entity prior to th |
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| November 1, 2016 |
EX-99.1 5 yumaex991.htm PRESS RELEASE Exhibit 99.1 NEWS RELEASE YUMA ENERGY, INC. ANNOUNCES STOCKHOLDER APPROVAL OF THE MERGER WITH DAVIS PETROLEUM ACQUISITION CORP., CONVERSION OF ITS SERIES A PREFERRED STOCK INTO COMMON STOCK, A 1-FOR-20 REVERSE COMMON STOCK SPLIT, AND A REINCORPORATION IN DELAWARE HOUSTON, TEXAS – October 26, 2016 – Yuma Energy, Inc. (NYSE MKT: YUMA) (“Yuma”) announced today th |
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| November 1, 2016 |
Blueprint Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE CERTIFICATE OF DETERMINATION OF RIGHTS, PREFERENCES, PRIVILEGES AND RESTRICTIONS OF 9.25% SERIES A CUMULATIVE REDEEMABLE PREFERRED STOCK OF YUMA ENERGY, INC. The undersigned, Sam L. Banks and James J. Jacobs, do hereby certify that: A. They are the President and Corporate Secretary, respectively, of Yuma Energy, Inc., a California corporation ( |
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| November 1, 2016 |
8-K 1 yuma8k.htm PRIMARY DOCUMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: October 26, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdictio |
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| November 1, 2016 |
AMENDMENT NO. 1 TO THE YUMA ENERGY, INC. 2014 LONG-TERM INCENTIVE PLAN EX-10.8(A) 3 yumaex108a.htm AMENDMENT TO THE YUMA 2014 LONG-TERM INCENTIVE PLAN Exhibit 10.8(a) AMENDMENT NO. 1 TO THE YUMA ENERGY, INC. 2014 LONG-TERM INCENTIVE PLAN This Amendment No. 1 to the Yuma Energy, Inc. 2014 Long-Term Incentive Plan (the “Plan”) was approved and adopted by the Board of Directors of Yuma Energy, Inc. (the “Company”) on June 16, 2016, subject to approval by the shareholder |
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| November 1, 2016 |
FIRST AMENDMENT TO THE EMPLOYMENT AGREEMENT Blueprint Exhibit 10.5(a) FIRST AMENDMENT TO THE EMPLOYMENT AGREEMENT This First Amendment to the Employment Agreement (this “Amendment”) is dated as of October 26, 2016, among Yuma Energy, Inc. (as successor to The Yuma Companies, Inc.) (“Yuma” or the “Company”) and Sam L. Banks (“Employee”), and amends that certain Employment Agreement effective as of October 1, 2012 between the Company and Empl |
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| November 1, 2016 |
EX-99.2 6 yumaex992.htm PRESS RELEASE Exhibit 99.2 NEWS RELEASE YUMA ENERGY, INC. ANNOUNCES COMPLETION OF MERGER WITH DAVIS PETROLEUM ACQUISITION CORP. AND ENTRY INTO NEW CREDIT FACILITY HOUSTON, TEXAS – October 26, 2016 – Yuma Energy, Inc. (NYSE MKT: YUMA) (“Yuma”) and privately held Davis Petroleum Acquisition Corp. (“Davis”) jointly announced today that the Davis / Yuma merger was consummated o |
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| October 28, 2016 |
EX-99.25 2 ruleprovisionnotice.htm NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The NYSE MKT LLC hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on November 8, 2016, pursuant to the provisions of Rule 12d2-2 (a). [ X ] 17 CFR 240.12d2-2(a)(3) T |
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| October 28, 2016 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The NYSE MKT LLC hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on November 8, 2016, pursuant to the provisions of Rule 12d2-2 (a). |
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| October 21, 2016 |
8-K 1 yuma8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: October 18, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction of incorporation) 001 |
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| October 18, 2016 |
Yuma Energy DEFINITIVE ADDITIONAL MATERIALS Blueprint UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ☑ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rul |
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| October 11, 2016 |
DEFA14A 1 yumadefa14a.htm PROXY STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ☑ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Comm |
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| October 4, 2016 |
Yuma Energy CURRENT REPORT (Current Report/Significant Event) Blueprint UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: October 4, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction of incorporation) 001-32989 (Commission File |
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| October 4, 2016 |
Untitled Document Exhibit 99.1 |
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| October 4, 2016 |
Untitled Document Exhibit 99.1 |
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| October 4, 2016 |
Yuma Energy CURRENT REPORT (Prospectus) Blueprint UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: October 4, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction of incorporation) 001-32989 (Commission File |
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| September 29, 2016 |
Financial Statements and Exhibits, Other Events 8-K 1 yuma8k.htm CURRENT DOCUMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: September 29, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction of incorporation) |
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| September 29, 2016 |
EX-99.1 2 yumaex991.htm PRESS RELEASE Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. and Davis Petroleum Acquisition Corp. Announce Record Dates and Meeting Dates for Special Meetings of Shareholders HOUSTON, TX – (Marketwired – September 29, 2016) – Yuma Energy, Inc. (NYSE MKT: YUMA) (the “Company” or “Yuma”) and privately held Davis Petroleum Acquisition Corp. (“Davis”) today anno |
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| September 29, 2016 |
Yuma Energy CURRENT DOCUMENT (Prospectus) 425 1 yuma8k.htm CURRENT DOCUMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: September 29, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction of incorporation) |
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| September 29, 2016 |
EX-99.1 2 yumaex991.htm PRESS RELEASE Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. and Davis Petroleum Acquisition Corp. Announce Record Dates and Meeting Dates for Special Meetings of Shareholders HOUSTON, TX – (Marketwired – September 29, 2016) – Yuma Energy, Inc. (NYSE MKT: YUMA) (the “Company” or “Yuma”) and privately held Davis Petroleum Acquisition Corp. (“Davis”) today anno |
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| September 23, 2016 |
yumas4a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ☑ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| September 6, 2016 |
FIRST AMENDMENT TO THE AGREEMENT AND PLAN OF MERGER AND REORGANIZATION EX-2.1 2 yumaex21.htm FIRST AMENDMENT TO THE AGREEMENT AND PLAN OF MERGER Exhibit 2.1 FIRST AMENDMENT TO THE AGREEMENT AND PLAN OF MERGER AND REORGANIZATION This First Amendment to the Agreement and Plan of Merger and Reorganization (this “Amendment”) is dated as of September 2, 2016, among Davis Petroleum Acquisition Corp., a Delaware corporation (the “Company”), Yuma Energy, Inc., a California c |
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| September 6, 2016 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 yuma8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: September 2, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction of incorporation) 00 |
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| September 6, 2016 |
Yuma Energy CURRENT REPORT (Prospectus) 425 1 yuma8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: September 2, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction of incorporation) 00 |
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| September 6, 2016 |
FIRST AMENDMENT TO THE AGREEMENT AND PLAN OF MERGER AND REORGANIZATION Exhibit 2.1 FIRST AMENDMENT TO THE AGREEMENT AND PLAN OF MERGER AND REORGANIZATION This First Amendment to the Agreement and Plan of Merger and Reorganization (this “Amendment”) is dated as of September 2, 2016, among Davis Petroleum Acquisition Corp., a Delaware corporation (the “Company”), Yuma Energy, Inc., a California corporation (“Yuma”), Yuma Delaware Merger Subsidiary, Inc., a Delaware cor |
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| August 25, 2016 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits Blueprint UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: August 25, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Comm |
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| August 25, 2016 |
WAIVER AND AMENDMENT TO WAIVER AND TENTH AMENDMENT TO CREDIT AGREEMENT Blueprint Exhibit 10.1 WAIVER AND AMENDMENT TO WAIVER AND TENTH AMENDMENT TO CREDIT AGREEMENT THIS WAIVER AND AMENDMENT TO WAIVER AND TENTH AMENDMENT TO CREDIT AGREEMENT (this ?Waiver and Amendment?) dated as of August 25, 2016, among YUMA EXPLORATION AND PRODUCTION COMPANY, INC., a Delaware corporation (the ?Borrower?), the undersigned lenders party to the Credit Agreement (the ?Lenders?) and SOC |
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| August 25, 2016 |
WAIVER AND AMENDMENT TO WAIVER AND TENTH AMENDMENT TO CREDIT AGREEMENT Blueprint Exhibit 10.1 WAIVER AND AMENDMENT TO WAIVER AND TENTH AMENDMENT TO CREDIT AGREEMENT THIS WAIVER AND AMENDMENT TO WAIVER AND TENTH AMENDMENT TO CREDIT AGREEMENT (this ?Waiver and Amendment?) dated as of August 25, 2016, among YUMA EXPLORATION AND PRODUCTION COMPANY, INC., a Delaware corporation (the ?Borrower?), the undersigned lenders party to the Credit Agreement (the ?Lenders?) and SOC |
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| August 25, 2016 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits Blueprint UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: August 25, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Comm |
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| August 19, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: August 15, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commission Fil |
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| August 19, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: August 15, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commission Fil |
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| August 15, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 yuma8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: August 15, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction of incorporation) 001- |
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| August 15, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 yuma8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: August 15, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction of incorporation) 001- |
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| August 15, 2016 |
Yuma Energy, Inc. Announces Second Quarter 2016 Financial Results EX-99.1 2 yumaex991.htm PRESS RELEASE Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces Second Quarter 2016 Financial Results HOUSTON, TX – (Marketwired – August 15, 2016) – Yuma Energy, Inc. (NYSE MKT: YUMA) (the “Company” or “Yuma”) today announced its financial results for the quarter ended June 30, 2016. Financial Results Sales and Other Operating Revenues The following t |
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| August 15, 2016 |
Yuma Energy, Inc. Announces Second Quarter 2016 Financial Results EX-99.1 2 yumaex991.htm PRESS RELEASE Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces Second Quarter 2016 Financial Results HOUSTON, TX – (Marketwired – August 15, 2016) – Yuma Energy, Inc. (NYSE MKT: YUMA) (the “Company” or “Yuma”) today announced its financial results for the quarter ended June 30, 2016. Financial Results Sales and Other Operating Revenues The following t |
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| August 15, 2016 |
Yuma Energy PRIMARY DOCUMENT (Quarterly Report) Blueprint UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-32989 Yuma Energ |
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| August 15, 2016 |
Yuma Energy PRIMARY DOCUMENT (Quarterly Report) Blueprint UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-32989 Yuma Energ |
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| June 6, 2016 |
8-K 1 yuma8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: May 31, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of i |
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| June 6, 2016 |
WAIVER AND TENTH AMENDMENT TO CREDIT AGREEMENT EX-10.1 2 yumaex101.htm WAIVER AND TENTH AMENDMENT TO CREDIT AGREEMENT Exhibit 10.1 WAIVER AND TENTH AMENDMENT TO CREDIT AGREEMENT THIS WAIVER AND TENTH AMENDMENT TO CREDIT AGREEMENT (this “Waiver and Amendment”) entered into on June 6, 2016, but effective as of May 31, 2016, among YUMA EXPLORATION AND PRODUCTION COMPANY, INC., a Delaware corporation (the “Borrower”), the undersigned lenders party |
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| May 23, 2016 |
Yuma Energy, Inc. Announces First Quarter 2016 Financial Results yumaex991.htm Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces First Quarter 2016 Financial Results HOUSTON, TX ? (Marketwired ? May 23, 2016) ? Yuma Energy, Inc. (NYSE MKT: YUMA) (the ?Company? or ?Yuma?) today announced its financial results for the quarter ended March 31, 2016. Financial Results Sales and Other Operating Revenues The following table presents the net quant |
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| May 23, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: May 23, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commis |
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| May 23, 2016 |
Yuma Energy QUARTERLY REPORT (Quarterly Report) 10-Q 1 yuma10q.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe |
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| May 23, 2016 |
Yuma Energy ANNUAL REPORT (Annual Report) yuma10ka.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K /A (Amendment No.1) xANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 oTRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-329 |
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| May 16, 2016 |
SEC FILE NUMBER 001-32989 CUSIP NUMBER 98872E 108 98872E 207 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 16, 2016 |
Yuma Energy CURRENT REPORT (Current Report/Significant Event) Blueprint UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: May 11, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction of incorporation) 001-32989 (Commission File Nu |
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| April 6, 2016 |
Yuma Energy CURRENT REPORT AMENDMENT 1 (Current Report/Significant Event) Untitled Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: March 30, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction of incorporation) |
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| April 6, 2016 |
Yuma Energy, Inc. Announces 2015 Financial Results and Provides an Operational Overview EX-99.1 2 yumaex991.htm PRESS RELEASE Exhibit 99.1 Yuma Energy, Inc. REVISED NEWS RELEASE Yuma Energy, Inc. Announces 2015 Financial Results and Provides an Operational Overview HOUSTON, TX – (Marketwired – April 6, 2016) – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (the “Company” or “Yuma”) today announced that it is re-issuing its previous release that was made on March 30, 2016 to i |
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| March 30, 2016 |
Yuma Energy, Inc. Announces 2015 Financial Results and Provides an Operational Overview yumaex991.htm Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces 2015 Financial Results and Provides an Operational Overview HOUSTON, TX – (Marketwired – March 30, 2016) – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (the “Company” or “Yuma”) today announced its financial results for the year ended December 31, 2015 and provided an operational overview relating to it |
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| March 30, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 yuma8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: March 30, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of |
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| March 30, 2016 |
EX-21.1 2 yumaex211.htm SUBSIDIARIES Exhibit 21.1 List of Subsidiaries Subsidiary State of Incorporation or Organization The Yuma Companies, Inc. Delaware Yuma Exploration and Production Company, Inc. Delaware Texas Southeastern Gas Marketing Company Texas Yuma Petroleum Company Delaware Pyramid Oil LLC California Pyramid Delaware Merger Subsidiary, Inc. Delaware Yuma Delaware Merger Subsidiary, I |
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| March 30, 2016 |
EX-99.1 9 yumaex991.htm REPORT OF NETHERLAND, Exhibit 99.1 February 19, 2016 Mr. Sam L. Banks Yuma Exploration and Production Company, Inc. 1177 West Loop South, Suite 1825 Houston, Texas 77027 Dear Mr. Banks: In accordance with your request, we have estimated the proved reserves and future revenue, as of December 31, 2015, to the Yuma Exploration and Production Company, Inc. (Yuma) interest in ce |
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| March 29, 2016 |
Yuma Energy ANNUAL REPORT (Annual Report) yuma10k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K xANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 oTRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-32989 Yuma Energy, Inc. |
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| February 16, 2016 |
Exhibit 2.1 AGREEMENT AND PLAN OF MERGER AND REORGANIZATION dated as of February 10, 2016 by and among YUMA ENERGY, INC., YUMA DELAWARE MERGER SUBSIDIARY, INC., YUMA MERGER SUBSIDIARY, INC., and DAVIS PETROLEUM ACQUISITION CORP. TABLE OF CONTENTS Page ARTICLE I THE REINCORPORATION MERGER 2 SECTION 1.01 The Reincorporation Merger 2 SECTION 1.02 Effect of the Reincorporation Merger 2 SECTION 1.03 Re |
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| February 16, 2016 |
Exhibit 10.1 VOTING AGREEMENT THIS VOTING AGREEMENT (this “Agreement”) is dated as of February 10, 2016 by and among Yuma Energy, Inc., a California corporation (“Yuma”), Yuma Delaware Merger Subsidiary, Inc., a Delaware corporation and wholly owned subsidiary of Yuma (“Yuma Delaware”) and each of the persons listed on Schedule A hereto (each a “Stockholder” and collectively, the “Stockholders”). |
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| February 16, 2016 |
Exhibit 2.1 AGREEMENT AND PLAN OF MERGER AND REORGANIZATION dated as of February 10, 2016 by and among YUMA ENERGY, INC., YUMA DELAWARE MERGER SUBSIDIARY, INC., YUMA MERGER SUBSIDIARY, INC., and DAVIS PETROLEUM ACQUISITION CORP. TABLE OF CONTENTS Page ARTICLE I THE REINCORPORATION MERGER 2 SECTION 1.01 The Reincorporation Merger 2 SECTION 1.02 Effect of the Reincorporation Merger 2 SECTION 1.03 Re |
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| February 16, 2016 |
Exhibit 10.2 VOTING AGREEMENT THIS VOTING AGREEMENT (this “Agreement”) is dated as of February 10, 2016 by and among Davis Petroleum Acquisition Corp., a Delaware corporation. (“Davis”), and each of the persons listed on Schedule A hereto (each a “Stockholder” and collectively, the “Stockholders”). WHEREAS, each of the Stockholders is, as of the date hereof, the record and beneficial owner of that |
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| February 16, 2016 |
Yuma Energy, Inc. and Davis Petroleum Acquisition Corp. Announce Merger Agreement Exhibit 99.1 NEWS RELEASE Yuma Energy, Inc. and Davis Petroleum Acquisition Corp. Announce Merger Agreement HOUSTON, TEXAS – February 12, 2016 – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (“Yuma”) and privately held Davis Petroleum Acquisition Corp. (“Davis”) jointly announced today that they have entered into a definitive merger agreement for an all-stock transaction. Upon completion |
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| February 16, 2016 |
Exhibit 10.2 VOTING AGREEMENT THIS VOTING AGREEMENT (this “Agreement”) is dated as of February 10, 2016 by and among Davis Petroleum Acquisition Corp., a Delaware corporation. (“Davis”), and each of the persons listed on Schedule A hereto (each a “Stockholder” and collectively, the “Stockholders”). WHEREAS, each of the Stockholders is, as of the date hereof, the record and beneficial owner of that |
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| February 16, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: February 10, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorpor |
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| February 16, 2016 |
Exhibit 10.1 VOTING AGREEMENT THIS VOTING AGREEMENT (this “Agreement”) is dated as of February 10, 2016 by and among Yuma Energy, Inc., a California corporation (“Yuma”), Yuma Delaware Merger Subsidiary, Inc., a Delaware corporation and wholly owned subsidiary of Yuma (“Yuma Delaware”) and each of the persons listed on Schedule A hereto (each a “Stockholder” and collectively, the “Stockholders”). |
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| February 16, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: February 10, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorpor |
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| February 16, 2016 |
Yuma Energy, Inc. and Davis Petroleum Acquisition Corp. Announce Merger Agreement Exhibit 99.1 NEWS RELEASE Yuma Energy, Inc. and Davis Petroleum Acquisition Corp. Announce Merger Agreement HOUSTON, TEXAS – February 12, 2016 – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (“Yuma”) and privately held Davis Petroleum Acquisition Corp. (“Davis”) jointly announced today that they have entered into a definitive merger agreement for an all-stock transaction. Upon completion |
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| February 12, 2016 |
EX-10.2 5 yumaex102.htm VOTING AGREEMENT DATED AS OF FEBRUARY 10, 2016, BY AND AMONG DAVIS PETROLEUM ACQUISITION CORP. Exhibit 10.2 VOTING AGREEMENT THIS VOTING AGREEMENT (this “Agreement”) is dated as of February 10, 2016 by and among Davis Petroleum Acquisition Corp., a Delaware corporation. (“Davis”), and each of the persons listed on Schedule A hereto (each a “Stockholder” and collectively, th |
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| February 12, 2016 |
EX-10.1 4 yumaex101.htm VOTING AGREEMENT DATED AS OF FEBRUARY 10, 2016, BY AND AMONG YUMA ENERGY, INC Exhibit 10.1 VOTING AGREEMENT THIS VOTING AGREEMENT (this “Agreement”) is dated as of February 10, 2016 by and among Yuma Energy, Inc., a California corporation (“Yuma”), Yuma Delaware Merger Subsidiary, Inc., a Delaware corporation and wholly owned subsidiary of Yuma (“Yuma Delaware”) and each of |
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| February 12, 2016 |
EX-2.1 3 yumaex21.htm AGREEMENT AND PLAN OF MERGER AND REORGANIZATION Exhibit 2.1 [Missing Graphic Reference] AGREEMENT AND PLAN OF MERGER AND REORGANIZATION dated as of February 10, 2016 by and among YUMA ENERGY, INC., YUMA DELAWARE MERGER SUBSIDIARY, INC., YUMA MERGER SUBSIDIARY, INC., and DAVIS PETROLEUM ACQUISITION CORP. [Missing Graphic Reference] TABLE OF CONTENTS Page ARTICLE I THE REINCORP |
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| February 12, 2016 |
Yuma Energy, Inc. and Davis Petroleum Acquisition Corp. Announce Merger Agreement Exhibit 99.1 NEWS RELEASE Yuma Energy, Inc. and Davis Petroleum Acquisition Corp. Announce Merger Agreement HOUSTON, TEXAS – February 12, 2016 – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (“Yuma”) and privately held Davis Petroleum Acquisition Corp. (“Davis”) jointly announced today that they have entered into a definitive merger agreement for an all-stock transaction. Upon completion |
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| February 12, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: February 10, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commission F |
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| January 5, 2016 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 yuma8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: December 30, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction |
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| January 5, 2016 |
WAIVER, BORROWING BASE REDETERMINATION AND NINTH AMENDMENT TO CREDIT AGREEMENT yumaex101.htm Exhibit 10.1 WAIVER, BORROWING BASE REDETERMINATION AND NINTH AMENDMENT TO CREDIT AGREEMENT THIS WAIVER, BORROWING BASE REDETERMINATION AND NINTH AMENDMENT TO CREDIT AGREEMENT (this ?Waiver and Amendment?) dated as of December 30, 2015, among YUMA EXPLORATION AND PRODUCTION COMPANY, INC., a Delaware corporation (the ?Borrower?), the undersigned lenders party to the Credit Agreement ( |
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| December 21, 2015 |
SEPARATION AGREEMENT, GENERAL RELEASE OF CLAIMS AND WAIVER EX-10.1 2 yumaex101.htm SEPARATION AGREEMENT Exhibit 10.1 SEPARATION AGREEMENT, GENERAL RELEASE OF CLAIMS AND WAIVER The following shall evidence the agreement between Yuma Energy, Inc., its subsidiaries and affiliates (“Yuma” or “Company”) and Kirk F. Sprunger (“Employee”) (Yuma and Employee are sometimes collectively referred to herein as the “Parties”) for the termination of that certain Employ |
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| December 21, 2015 |
yumaex991.htm Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces Appointment of James J. Jacobs as Chief Financial Officer and Departure of Kirk F. Sprunger as Chief Financial Officer HOUSTON, TX ? (Marketwired ? December 17, 2015) ? Yuma Energy, Inc. (NYSE MKT: YUMA) (the ?Company? or ?Yuma?) today announced the appointment of James J. Jacobs as Chief Financial Officer, effec |
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| December 21, 2015 |
8-K 1 yuma8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: December 15, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction |
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| December 11, 2015 |
YUMA / Yuma Energy, Inc. / SANDERS MORRIS HARRIS INC. - SANDERS MORRIS HARRIS LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Yuma Energy, Inc. (Name of Issuer) Common Stock, No par value (Title of Class of Securities) 98872E108 (CUSIP Number) November 06, 2015 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to wh |
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| November 16, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 yuma10q.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File N |
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| November 16, 2015 |
yumaex991.htm Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces Third Quarter 2015 Financial Results and Provides an Operational Overview HOUSTON, TX ? (Marketwired ? November 16, 2015) ? Yuma Energy, Inc. (NYSE MKT: YUMA) (the ?Company? or ?Yuma?) today announced its financial results for the quarter ended September 30, 2015 and provided an operational overview relating to i |
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| November 16, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: November 16, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (C |
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| November 12, 2015 |
EX-99.1 2 yumaex991.htm PRESS RELEASE Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Suspends Monthly Dividend Payment on its Series A Cumulative Redeemable Preferred Stock HOUSTON, TX – (Marketwired – November 12, 2015) – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (the “Company”) today announced that its Board of Directors has suspended the monthly cash dividend payment |
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| November 12, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: November 12, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (C |
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| October 5, 2015 |
Yuma Energy, Inc. Declares Monthly Dividend on its Series A Cumulative Redeemable Preferred Stock EX-99.1 2 yumaex991.htm PRESS RELEASE Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Declares Monthly Dividend on its Series A Cumulative Redeemable Preferred Stock HOUSTON, TX – (Marketwired – October 5, 2015) – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (the “Company”) today announced that its Board of Directors has declared a monthly cash dividend payment on the Compa |
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| October 5, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: October 5, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Com |
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| September 25, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: September 21, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) ( |
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| September 4, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: September 4, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (C |
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| September 4, 2015 |
Yuma Energy, Inc. Declares Monthly Dividend on its Series A Cumulative Redeemable Preferred Stock EX-99.1 2 yumaex991.htm Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Declares Monthly Dividend on its Series A Cumulative Redeemable Preferred Stock HOUSTON, TX – (Marketwired – September 4, 2015) – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (the “Company”) today announced that its Board of Directors has declared a monthly cash dividend payment on the Company’s 9.25% S |
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| August 24, 2015 |
8-K 1 yuma8k.htm CURRENT RPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: August 18, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of |
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| August 24, 2015 |
Yuma Energy, Inc. 2014 LONG-TERM INCENTIVE PLAN NOTICE OF STOCK APPRECIATION RIGHTS AWARD EX-10.1 2 yumaex101.htm FORM OF STOCK APPRECIATION RIGHTS AWARD AGREEMENT Exhibit 10.1 Yuma Energy, Inc. 2014 LONG-TERM INCENTIVE PLAN NOTICE OF STOCK APPRECIATION RIGHTS AWARD Award No.: Participant: (the “Participant”) Notice: You have been granted the following award of stock appreciation rights of Yuma Energy, Inc., a California corporation (the “Company”), in accordance with the terms of this |
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| August 14, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-32989 Yuma Energy, Inc. (E |
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| August 14, 2015 |
yumaex991.htm Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces Second Quarter 2015 Financial Results and Provides an Operational Overview HOUSTON, TX ? (Marketwired ? August 14, 2015) ? Yuma Energy, Inc. (NYSE MKT: YUMA) (the ?Company? or ?Yuma?) today announced its financial results for the quarter ended June 30, 2015 and provided an operational overview relating to its pro |
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| August 14, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: August 14, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Com |
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| August 13, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: August 13, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Com |
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| August 13, 2015 |
EX-99.1 2 yumaex991.htm SLIDESHOW PRESENTATION Exhibit 99.1 |
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| August 12, 2015 |
EIGHTH AMENDMENT TO CREDIT AGREEMENT yumaex101.htm Exhibit 10.1 EIGHTH AMENDMENT TO CREDIT AGREEMENT THIS EIGHTH AMENDMENT TO CREDIT AGREEMENT (this ?Amendment?) dated as of July 27, 2015, among YUMA EXPLORATION AND PRODUCTION COMPANY, INC., a Delaware corporation (the ?Borrower?), the undersigned lenders party to the Credit Agreement (the ?Lenders?) and SOCIETE GENERALE, in its capacity as Administrative Agent and Issuing Bank (the |
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| August 12, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: July 27, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commi |
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| August 5, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: August 5, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction of incorporation) 001-32989 (Commission File |
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| August 5, 2015 |
Yuma Energy, Inc. Declares Monthly Dividend on its Series A Cumulative Redeemable Preferred Stock ex991.htm Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Declares Monthly Dividend on its Series A Cumulative Redeemable Preferred Stock HOUSTON, TX ? (Marketwired ? August 5, 2015) ? Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (the ?Company?) today announced that its Board of Directors has declared a monthly cash dividend payment on the Company?s 9.25% Series A Cumulativ |
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| August 3, 2015 |
yumaex991.htm Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. to Present at EnerCom?s The Oil & Gas Conference HOUSTON, TX ? August 3, 2015 (Marketwired) ? Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (the ?Company?) today announced that Paul D. McKinney, Executive Vice President and Chief Operating Officer, is scheduled to present at EnerCom?s The Oil & Gas Conference? 20 |
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| August 3, 2015 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 yuma8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: August 3, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of |
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| July 7, 2015 |
Regulation FD Disclosure, Financial Statements and Exhibits yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: July 7, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commis |
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| July 7, 2015 |
yumaex991.htm Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces Successful Completion of its Talbot 23-1 Well and Provides an Operational Update HOUSTON, TX ? (Marketwired ? July 7, 2015) ? Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (the ?Company?) today announced the successful completion of its Talbot 23-1 well and provided an operational update on its propertie |
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| July 6, 2015 |
Yuma Energy, Inc. Declares Monthly Dividend on its Series A Cumulative Redeemable Preferred Stock yumaex991.htm Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Declares Monthly Dividend on its Series A Cumulative Redeemable Preferred Stock HOUSTON, TX – (Marketwired – July 6, 2015) – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (the “Company”) today announced that its Board of Directors has declared a monthly cash dividend payment on the Company’s 9.25% Series A Cumulat |
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| July 6, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: July 6, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commis |
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| June 18, 2015 |
yumaex991.htm Exhibit 99.1 |
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| June 18, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: June 18, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commi |
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| June 17, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: June 17, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commi |
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| June 17, 2015 |
Yuma Energy, Inc. to Present at the GHS 100 Energy Conference EX-99.1 2 yumaex991.htm PRESS RELEASE Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. to Present at the GHS 100 Energy Conference HOUSTON, TX – June 17, 2015 (Marketwired) – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (the “Company”) today announced that it is scheduled to present at the GHS 100 Energy Conference in Chicago, Illinois on Tuesday, June 23, 2015 at 10:30 a.m. |
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| June 15, 2015 |
Yuma Energy, Inc. 2014 LONG-TERM INCENTIVE PLAN NOTICE OF RESTRICTED STOCK AWARD yumaex102.htm Exhibit 10.2 Yuma Energy, Inc. 2014 LONG-TERM INCENTIVE PLAN NOTICE OF RESTRICTED STOCK AWARD Award No.: Participant: (the ?Participant?) Notice: You have been granted the following award of restricted shares of common stock, no par value per share (the ?Common Stock?), of Yuma Energy, Inc., a California corporation (the ?Company?), in accordance with the terms of this Notice of Rest |
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| June 15, 2015 |
Yuma Energy, Inc. 2014 LONG-TERM INCENTIVE PLAN NOTICE OF RESTRICTED STOCK AWARD EX-10.1 4 yumaex101.htm FORM OF RESTRICTED STOCK AWARD AGREEMENT Exhibit 10.1 Yuma Energy, Inc. 2014 LONG-TERM INCENTIVE PLAN NOTICE OF RESTRICTED STOCK AWARD Award No.: Participant: (the “Participant”) Notice: You have been granted the following award of restricted shares of common stock, no par value per share (the “Common Stock”), of Yuma Energy, Inc., a California corporation (the “Company”), |
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| June 15, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: June 9, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commis |
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| June 15, 2015 |
FIRST AMENDMENT TO THE AMENDED AND RESTATED BYLAWS YUMA ENERGY, INC. EX-3.2 3 yumaex32.htm AMENDMENT TO THE AMENDED AND RESTATED BYLAWS Exhibit 3.2 FIRST AMENDMENT TO THE AMENDED AND RESTATED BYLAWS OF YUMA ENERGY, INC. The undersigned, being the Corporate Secretary of Yuma Energy, Inc., a California corporation (the “Company”), hereby certifies that the Company’s Amended and Restated Bylaws, dated October 17, 2013 (the “Bylaws”), were amended by a resolution of th |
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| June 15, 2015 |
CERTIFICATE OF AMENDMENT TO THE RESTATED ARTICLES OF INCORPORATION YUMA ENERGY, INC. yumaex31.htm Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE RESTATED ARTICLES OF INCORPORATION OF YUMA ENERGY, INC. The undersigned certify that: 1. They are the duly elected and acting President and Corporate Secretary, respectively, of Yuma Energy, Inc., a California corporation (the ?Corporation?). 2. Article FOURTH of the Restated Articles of Incorporation of the Corporation is deleted in its ent |
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| June 2, 2015 |
EX-99.1 2 yumaex991.htm PRESS RELEASE Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Declares Monthly Dividend on its Series A Cumulative Redeemable Preferred Stock HOUSTON, TX – (Marketwired – June 2, 2015) – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (the “Company”) today announced that its Board of Directors has declared a monthly cash dividend payment on the Company’ |
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| June 2, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: June 2, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction of incorporation) 001-32989 (Commission File N |
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| May 15, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 yuma10q.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe |
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| May 15, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma-8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: May 15, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commi |
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| May 15, 2015 |
yumaex991.htm Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces First Quarter 2015 Financial Results and Provides an Operational Overview HOUSTON, TX – (Marketwired – May 15, 2015) – Yuma Energy, Inc. (NYSE MKT: YUMA) (the “Company” or “Yuma”) today announced its financial results for the quarter ended March 31, 2015 and provided an operational overview relating to its proper |
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| May 5, 2015 |
EX-99.1 2 yumaex991.htm PRESS RELEASE Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Declares Monthly Dividend on its Series A Cumulative Redeemable Preferred Stock HOUSTON, TX – (Marketwired – May 5, 2015) – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (the “Company”) today announced that its Board of Directors has declared a monthly cash dividend payment on the Company’s |
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| May 5, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: May 5, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commiss |
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| April 30, 2015 |
PDO DEFINITIVE PROXY STATEMENT yumadef14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ? Filed by a party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| April 30, 2015 |
DEFA14A 1 yumadefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, For Use of the Commission O |
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| April 22, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: April 7, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction of incorporation) 001-32989 (Commission File |
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| April 22, 2015 |
SEVENTH AMENDMENT TO CREDIT AGREEMENT ex101.htm Exhibit 10.1 SEVENTH AMENDMENT TO CREDIT AGREEMENT THIS SEVENTH AMENDMENT TO CREDIT AGREEMENT (this ?Amendment?) dated as of April 7, 2015, among YUMA EXPLORATION AND PRODUCTION COMPANY, INC., a Delaware corporation (the ?Borrower?), the undersigned lenders party to the Credit Agreement (the ?Lenders?) and SOCI?T? G?N?RALE, in its capacity as Administrative Agent and Issuing Bank (the ?A |
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| April 20, 2015 |
PDO PRELIMINARY PROXY STATEMENT yumapre14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ? Filed by a party other than the Registrant o Check the appropriate box: ? Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| April 16, 2015 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 yuma8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: April 16, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of |
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| April 16, 2015 |
EX-99.1 2 yumaex991.htm SLIDESHOW PRESENTATION Exhibit 99.1 |
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| April 13, 2015 |
EX-99.1 2 yumaex991.htm PRESS RELEASE Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. to Present at IPAA OGIS New York Conference HOUSTON, TX – April 13, 2015 (Marketwired) – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (the “Company”) today announced that Sam L. Banks, Chairman, President and Chief Executive Officer, is scheduled to present at the IPAA Oil & Gas Investment |
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| April 13, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: April 13, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Comm |
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| April 9, 2015 |
Richard W. Volk 833 Southridge Greens Blvd Fort Collins, Colorado 80525 April 6, 2015 EX-99.1 2 yumaex991.htm LETTER Exhibit 99.1 Richard W. Volk 833 Southridge Greens Blvd Fort Collins, Colorado 80525 April 6, 2015 Yuma Energy, Inc. Attention: Sam L. Banks President and Chief Executive Officer 1177 West Loop South, Suite 1825 Houston, Texas 77027 Dear Mr. Banks: Please be advised that I will not be standing for re-election to the Board of Directors of Yuma Energy, Inc. at its 2015 |
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| April 9, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: April 6, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commi |
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| April 6, 2015 |
Financial Statements and Exhibits, Other Events 8-K 1 yuma8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: April 6, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of |
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| April 6, 2015 |
Yuma Energy, Inc. Declares Monthly Dividend on its Series A Cumulative Redeemable Preferred Stock yumae991.htm Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Declares Monthly Dividend on its Series A Cumulative Redeemable Preferred Stock HOUSTON, TX ? (Marketwired ? April 6, 2015) ? Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (the ?Company?) today announced that its Board of Directors has declared a monthly cash dividend payment on the Company?s 9.25% Series A Cumulat |
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| March 30, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: March 30, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction of incorporation) 001-32989 (Commission File |
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| March 30, 2015 |
EX-21.1 2 yumaex211.htm SUBSIDIARIES Exhibit 21.1 List of Subsidiaries The Yuma Companies, Inc. Yuma Exploration and Production Company, Inc. Texas Southeastern Gas Marketing Company Yuma Petroleum Company Pyramid Oil LLC Pyramid Delaware Merger Subsidiary, Inc. |
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| March 30, 2015 |
yumaex991.htm Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces 2014 Financial Results and Provides an Operational Overview HOUSTON, TX ? (Marketwired ? March 30, 2015) ? Yuma Energy, Inc. (NYSE MKT: YUMA) (the ?Company? or ?Yuma?) today announced its financial results for the year ended December 31, 2014 and provided an operational overview relating to its properties. Year E |
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| March 30, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K 10-K 1 yuma10k.htm ANNUAL REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-3 |
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| March 30, 2015 |
Exhibit 99.1 March 17, 2015 Mr. Sam L. Banks Yuma Exploration and Production Company, Inc. 1177 West Loop South, Suite 1825 Houston, Texas 77027 Dear Mr. Banks: In accordance with your request, we have estimated the proved reserves and future revenue, as of December 31, 2014, to the Yuma Exploration and Production Company, Inc. (Yuma) interest in certain oil and gas properties located in Californi |
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| March 17, 2015 |
EX-10.1 2 ex101.htm AMENDMENT TO THE EMPLOYMENT AGREEMENT Exhibit 10.1 Amendment No. 1 Dated March 12, 2015 To EXHIBIT “B” To that Employment Agreement Dated October 15, 2014 Between Yuma Energy, Inc. and Paul McKinney Restricted Stock Terms and Conditions The terms and conditions of the grant of restricted stock will be as follows: $525,000 of Restricted Stock (“Grant 1”) will be granted in a Res |
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| March 17, 2015 |
8-K 1 yuma8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: March 12, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction of incorporation) 001-3 |
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| March 6, 2015 |
EX-99.1 2 yumaex991.htm SLIDESHOW PRESENTATION Exhibit 99.1 |
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| March 6, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: March 6, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commi |
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| March 5, 2015 |
PDO CURRENT REPORT (Current Report/Significant Event) yuma8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: March 5, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction of incorporation) 001-32989 (Commission File |
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| March 5, 2015 |
Yuma Energy, Inc. Declares Monthly Dividend on its Series A Cumulative Redeemable Preferred Stock EX-99.1 2 yumaex991.htm PRESS RELEASE Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Declares Monthly Dividend on its Series A Cumulative Redeemable Preferred Stock HOUSTON, TX – (Marketwired – March 5, 2015) – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (the “Company”) today announced that its Board of Directors has declared a monthly cash dividend payment on the Company |
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| March 2, 2015 |
EX-99.1 2 yumaex991.htm PRESS RELEASE Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. to Present at the 27th Annual ROTH Conference HOUSTON, TX – March 2, 2015 (Marketwired) – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (the “Company”) will present at the 27th Annual ROTH Conference on Monday, March 9, 2015. The conference is being held at the Ritz Carlton in Laguna Niguel |
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| March 2, 2015 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: March 2, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commission File |
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| February 12, 2015 |
SC 13G 1 yuma21215.htm SANDERS MORRIS HARRIS, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* YUMA Energy, Inc. (Name of Issuer) Common Stock, No Par Value (Title of Class of Securities) 98872E 10 8 (CUSIP Number) December 31, 2015 (Date of Event which Requires Filing of this Statement) Check the |
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| February 6, 2015 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: February 6, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commission Fi |
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| February 6, 2015 |
Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Declares Monthly Dividend on its Series A Cumulative Redeemable Preferred Stock HOUSTON, TX – (Marketwired – February 6, 2015) – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (the “Company”) today announced that its Board of Directors has declared a monthly cash dividend payment on the Company’s 9.25% Series A Cumulative Redeem |
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| February 5, 2015 |
Yuma Energy, Inc. Provides an Operational Update and Overview Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Provides an Operational Update and Overview HOUSTON, TX – (Marketwired – February 5, 2015) – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (the “Company,” “Yuma” or “we”) today provided an operational update and overview relating to its properties. La Posada – Bayou Hebert Field, Vermilion Parish, Louisiana. We have a 12.5% wor |
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| February 5, 2015 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: February 5, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commission Fi |
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| February 2, 2015 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: February 2, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commission Fi |
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| February 2, 2015 |
Exhibit 99.1 |
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| February 2, 2015 |
Yuma Energy, Inc. to Present at IPAA’s 11th Annual OGIS Florida Conference EX-99.2 3 yumaex992.htm PRESS RELEASE Exhibit 99.2 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. to Present at IPAA’s 11th Annual OGIS Florida Conference HOUSTON, TX – February 2, 2015 (Marketwired) – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (the “Company”) will present at IPAA’s 11th Annual OGIS Florida Conference on Tuesday, February 3, 2015. The conference is being held at the |
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| January 29, 2015 |
SIXTH AMENDMENT TO CREDIT AGREEMENT Exhibit 10.1 SIXTH AMENDMENT TO CREDIT AGREEMENT THIS SIXTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”) is entered into effective as of January 23, 2015 (the “Effective Date”), among YUMA EXPLORATION AND PRODUCTION COMPANY, INC., a Delaware corporation (the “Borrower”), the undersigned lenders party to the Credit Agreement (the “Lenders”) and SOCIÉTÉ GÉNÉRALE, in its capacity as Administrativ |
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| January 29, 2015 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: January 23, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction of incorporation) 001-32989 (Commission File Number) |
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| January 8, 2015 |
Yuma Energy, Inc. Declares Monthly Dividend on its Series A Cumulative Redeemable Preferred Stock Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Declares Monthly Dividend on its Series A Cumulative Redeemable Preferred Stock HOUSTON, TX – (Marketwired – January 8, 2015) – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMA-PA) (the “Company”) today announced that its Board of Directors has declared a monthly cash dividend payment on the Company’s 9.25% Series A Cumulative Redeema |
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| January 8, 2015 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: January 8, 2015 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commission Fil |
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| December 29, 2014 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: December 19, 2014 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction 001-32989 (Commission File Number) 94-0787340 (IRS E |
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| December 29, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: December 25, 2014 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction 001-32989 (Commission File Number) 94-0787340 (IRS E |
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| December 29, 2014 |
SEPARATION AGREEMENT AND GENERAL RELEASE OF CLAIMS Exhibit 10.1 SEPARATION AGREEMENT AND GENERAL RELEASE OF CLAIMS This Separation Agreement and General Release of Claims (this “Agreement”) is made as of December 25, 2014, between Yuma Energy, Inc., a California corporation, its predecessors, subsidiaries and affiliates (“Yuma” or the “Company”), and Michael F. Conlon (“Employee”) (collectively referred to as the “Parties”). WHEREAS, Employee was |
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| December 29, 2014 |
EX-1.1 2 yumaex11.htm AT MARKET ISSUANCE SALES AGREEMENT DATED DECEMBER 19, 2014 BETWEEN YUMA ENERGY, INC. AND MLV & CO. LLC. Exhibit 1.1 YUMA ENERGY, INC. Common Stock (no par value per share) 9.25% Series A Cumulative Redeemable Preferred Stock (no par value per share) At Market Issuance Sales Agreement December 19, 2014 MLV & Co. LLC 1251 Avenue of the Americas 41st Floor New York, NY 10020 Lad |
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| December 22, 2014 |
YUMA / Yuma Energy, Inc. S-8 POS - - REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on December 22, 2014 Registration No. |
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| December 22, 2014 |
YUMA / Yuma Energy, Inc. S-8 - - S-8 REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on December 22, 2014 Registration No. |
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| December 19, 2014 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-192094 PROSPECTUS SUPPLEMENT (To Prospectus dated November 21, 2013) Yuma Energy, Inc. $18,829,742 9.25% Series A Cumulative Redeemable Preferred Stock (Liquidation Preference $25.00 Per Share) Common Stock This prospectus supplement relates to the issuance and sale of up to $18,829,742 in the aggregate of shares of our 9.25% Series A Cumulativ |
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| December 4, 2014 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: December 4, 2014 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction 001-32989 (Commission File Number) 94-0787340 (IRS Em |
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| December 4, 2014 |
EX-99.1 2 yumaex991.htm PRESS RELEASE DATED DECEMBER 4, 2014. Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Declares Monthly Dividend on its Series A Cumulative Redeemable Preferred Stock HOUSTON, TX – (Marketwired – December 4, 2014) – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMAprA) (the “Company”) today announced that its Board of Directors has declared a monthly cash divi |
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| November 17, 2014 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: November 14, 2014 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commission F |
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| November 17, 2014 |
Yuma Energy, Inc. Declares Monthly Dividend on its Series A Cumulative Redeemable Preferred Stock EX-99.1 2 yumaex991.htm PRESS RELEASE DATED NOVEMBER 14, 2014. Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Declares Monthly Dividend on its Series A Cumulative Redeemable Preferred Stock HOUSTON, TX – (Marketwired – November 14, 2014) – Yuma Energy, Inc. (NYSE MKT: YUMA) (NYSE MKT: YUMAprA) (the “Company”) today announced that its Board of Directors has declared a monthly cash di |
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| November 14, 2014 |
10-Q 1 yuma10q.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2014 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission Fi |
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| November 14, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: November 14, 2014 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction 001-32989 (Commission File Number) 94-0787340 (IRS E |
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| November 14, 2014 |
EX-99.1 2 yumaex991.htm PRESS RELEASE EXHIBIT 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces Third Quarter 2014 Financial Results and Provides an Operational Overview HOUSTON, TX – (Marketwired – November 14, 2014) – Yuma Energy, Inc. (NYSE MKT: YUMA) (the “Company” or “Yuma”) today announced its financial results for the quarter and nine months ended September 30, 2014 and provid |
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| November 14, 2014 |
EX-10.1 2 yumaex101.htm EMPLOYMENT AGREEMENT Exhibit 10.1 EMPLOYMENT AGREEMENT The following shall evidence the agreement between Yuma Energy, Inc., its subsidiaries and affiliates (“Yuma” or the “Company”) and Paul McKinney (“Employee”), for the purpose of Employee functioning as Executive Vice President and Chief Operating Officer (“COO”) in accordance with the following terms and/or conditions. |
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| October 29, 2014 |
Yuma Energy, Inc. Announces Closing of Public Offering of Series A Preferred Stock Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces Closing of Public Offering of Series A Preferred Stock HOUSTON, TX – October 27, 2014 (Marketwired) – Yuma Energy, Inc. (NYSE MKT: YUMA) (the “Company” or “Yuma”) announced today that it closed its underwritten public offering of 477,273 shares of its 9.25% Series A Cumulative Redeemable Preferred Stock (the “Series A Preferre |
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| October 29, 2014 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: October 27, 2014 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commission Fi |
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| October 22, 2014 |
EX-1.1 2 yumaex11.htm UNDERWRITING AGREEMENT Exhibit. 1.1 YUMA ENERGY, INC. 477,273 Shares 9.25% Series A Cumulative Redeemable Preferred Stock (Plus up an Option to Purchase up to 71,590 Shares to Cover Overallotments) UNDERWRITING AGREEMENT October 16, 2014 MLV & Co. LLC 1251 Avenue of the Americas, 41st Floor New York, NY 10020 As Representative of the Several Underwriters named on Schedule IV |
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| October 22, 2014 |
Yuma Energy, Inc. Announces Pricing of Public Offering of Series A Preferred Stock EX-99.2 7 yumaex991.htm NEWS RELEASE Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces Pricing of Public Offering of Series A Preferred Stock HOUSTON, TX – October 16, 2014 (Marketwired) – Yuma Energy, Inc. (NYSE MKT: YUMA) (the “Company” or “Yuma”) announced today that it has priced an underwritten public offering of 477,273 shares of its 9.25% Series A Cumulative Redeemable |
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| October 22, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: October 16, 2014 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commission Fi |
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| October 20, 2014 |
Exhibit 4.1 |
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| October 20, 2014 |
YUMA / Yuma Energy, Inc. 8-A12B - - FORM 8-A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction of incorporation) 94-0787340 (IRS Employer Identification No.) 1177 West Loop South, |
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| October 20, 2014 |
PROSPECTUS SUPPLEMENT (To Prospectus dated November 21, 2013) Filed Pursuant to Rule 424(b)(5) Registration No. |
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| October 20, 2014 |
Exhibit 3.2 CERTIFICATE OF DETERMINATION OF RIGHTS, PREFERENCES, PRIVILEGES AND RESTRICTIONS OF 9.25% SERIES A CUMULATIVE REDEEMABLE PREFERRED STOCK OF YUMA ENERGY, INC. The undersigned, Sam L. Banks and Kirk F. Sprunger, do hereby certify that: A. They are the President and Corporate Secretary, respectively, of Yuma Energy, Inc., a California corporation (the “Corporation”). B. That, immediately |
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| October 17, 2014 |
Issuer Free Writing Prospectus Filed pursuant to Rule 433 Relating to the Preliminary Prospectus Supplement dated October 14, 2014 and Registration Statement No. |
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| October 14, 2014 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: October 14, 2014 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commission Fi |
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| October 14, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: October 8, 2014 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commission Fil |
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| October 14, 2014 |
Yuma Energy, Inc. Announces Public Offering of Series A Preferred Stock EX-99.2 3 yumaex992.htm PRESS RELEASE Exhibit 99.2 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces Public Offering of Series A Preferred Stock HOUSTON, TX – October 14, 2014 (Marketwired) – Yuma Energy, Inc. (NYSE MKT: YUMA) (the “Company” or “Yuma”) announced today that it has commenced a new underwritten public offering of its Series A Cumulative Redeemable Preferred Stock (the “Serie |
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| October 14, 2014 |
FIFTH AMENDMENT TO CREDIT AGREEMENT Exhibit 10.1 FIFTH AMENDMENT TO CREDIT AGREEMENT THIS FIFTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”) is entered into effective as of October 14, 2014 (the “Effective Date”), among YUMA EXPLORATION AND PRODUCTION COMPANY, INC., a Delaware corporation (the “Borrower”), the undersigned lenders party to the Credit Agreement (the “Lenders”) and SOCIÉTÉ GÉNÉRALE, in its capacity as Administrativ |
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| October 14, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: October 14, 2014 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction 001-32989 (Commission File Number) 94-0787340 (IRS Em |
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| October 14, 2014 |
Yuma Energy, Inc. Announces Appointment of Paul D. McKinney as Chief Operating Officer Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces Appointment of Paul D. McKinney as Chief Operating Officer HOUSTON, TX – October 10, 2014 (Marketwired) – Yuma Energy, Inc. (NYSE MKT: YUMA) (the “Company” or “Yuma”) announced today the appointment of Paul D. McKinney as Executive Vice President and Chief Operating Officer of the Company. The Company also announced the retire |
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| October 14, 2014 |
EX-99.1 2 yumaex991.htm SLIDESHOW PRESENTATION Exhibit 99.1 |
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| October 14, 2014 |
The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. |
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| October 9, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: October 8, 2014 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction 001-32989 (Commission File Number) 94-0787340 (IRS Emp |
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| October 9, 2014 |
Exhibit 99.1 |
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| September 22, 2014 |
Yuma Energy, Inc. FINANCIAL STATEMENTS JUNE 30, 2014 Exhibit 99.2 Yuma Energy, Inc. CONSOLIDATED FINANCIAL STATEMENTS JUNE 30, 2014 CONTENTS Page Consolidated Balance Sheets 3 Consolidated Statements of Operations 5 Consolidated Statements of Comprehensive Income 6 Consolidated Statements of Changes in Equity 7 Consolidated Statements of Cash Flows 8 Condensed Notes to Consolidated Financial Statements 10 Yuma Energy, Inc. CONSOLIDATED BALANCE SHEET |
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| September 22, 2014 |
UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION EX-99.3 3 yumaex993.htm UNAUDITED PRO FORMA CONDENSED COMBINED BALANCE SHEET Exhibit 99.3 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION On September 10, 2014, Pyramid Oil Company (“Pyramid”) completed its acquisition of Yuma Energy, Inc. (“Yuma”) when a wholly-owned subsidiary of Pyramid merged with and into Yuma, with Yuma becoming a wholly-owned subsidiary of Pyramid (the “merger” |
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| September 22, 2014 |
Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: September 10, 2014 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commissio |
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| September 22, 2014 |
YUMA / Yuma Energy, Inc. / Banks Sam L. - SCHEDULE 13D Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Yuma Energy, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 98872E 10 8 (CUSIP Number) Reid. A Godbolt, Esq. Jones & Keller, P.C. 1999 Broadway, Suite 3150 Denver, Colorado 80202 (303) 573-1600 (Name, address and telephone number of per |
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| September 22, 2014 |
Exhibit 99.4 INDEX TO FINANCIAL STATEMENTS Page Yuma Energy, Inc. and Subsidiaries Report of Independent Registered Public Accounting Firm F-2 Consolidated Balance Sheets as of December 31, 2013 and 2012 F-3 Consolidated Statements of Operations for the Years Ended December 31, 2013, 2012 and 2011 F-5 Consolidated Statements of Comprehensive Income for the Years Ended December 31, 2013, 2012 and 2 |
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| September 17, 2014 |
EX-99.1 2 yumaex991.htm Exhibit 99.1 |
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| September 17, 2014 |
YUMA / Yuma Energy, Inc. / HERMAN MICHAEL D - SC 13D/A Activist Investment SC 13D/A 1 v389309sc13a.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 9)* YUMA ENERGY, INC. (F/K/A PYRAMID OIL COMPANY) (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 98872E108 (CUSIP Number) Michael D. Herman 501 So. Cherry Street, Suite 320 Denver, CO 80246 3 |
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| September 17, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: September 17, 2014 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction of incorporation) 001-32989 (Commission File Number |
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| September 16, 2014 |
Exhibit 10.1 INDEMNIFICATION AGREEMENT This Indemnification Agreement (this “Agreement”) is made as of this day of , 2014, by and between Yuma Energy, Inc., a California corporation (the “Company”), and (“Indemnitee”). WHEREAS, the Company and Indemnitee recognize the difficulty in obtaining directors and officers liability insurance that fully and adequately covers directors and officers for thei |
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| September 16, 2014 |
Exhibit 10.4 EMPLOYMENT AGREEMENT The following shall evidence the agreement between The Yuma Companies, Inc., its subsidiaries and affiliates (“Yuma” or “the Company”) and Kirk F. Sprunger (“Employee”), for the purpose of Employee functioning as Chief Financial Officer, Treasurer and Corporate Secretary in accordance with the following terms and/or conditions. ARTICLE I. DEFINITIONS The terms def |
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| September 16, 2014 |
Exhibit 14 YUMA ENERGY, INC. CORPORATE CODE OF BUSINESS CONDUCT AND ETHICS (Amended and Restated as of September 11, 2014) The Board of Directors (the “Board”) of Yuma Energy, Inc. (the “Company”) has adopted this Corporate Code of Business Conduct and Ethics (this “Code”), which provides basic principles and guidelines to assist directors, officers and other employees in complying with the legal |
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| September 16, 2014 |
YUMA ENERGY, INC. 2014 LONG-TERM INCENTIVE PLAN Exhibit 10.6 YUMA ENERGY, INC. 2014 LONG-TERM INCENTIVE PLAN ARTICLE I PURPOSE 1.1 Purpose. The purposes of this Plan are to create incentives which are designed to motivate Participants to put forth maximum effort toward the success and growth of the Company and to enable the Company to attract and retain experienced individuals who by their position, ability and diligence are able to make import |
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| September 16, 2014 |
THE YUMA COMPANIES, INC. 2011 STOCK OPTION PLAN (effective June 21, 2011) ARTICLE I - PLAN Exhibit 10.5 THE YUMA COMPANIES, INC. 2011 STOCK OPTION PLAN (effective June 21, 2011) ARTICLE I - PLAN 1.1 Purpose. This Plan is a plan for key employees, officers, directors, and consultants of the Company and its Affiliates and is intended to advance the best interests of the Company, its Affiliates, and its stockholders by providing those persons who have substantial responsibility for the man |
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| September 16, 2014 |
Exhibit 99.1 NEWS RELEASE YUMA ENERGY, INC. AND PYRAMID OIL COMPANY ANNOUNCE MERGER CLOSING Yuma Energy, Inc. to Begin Trading on the NYSE MKT on Thursday, September 11, 2014 Under Ticker Symbol “YUMA” HOUSTON, TX and BAKERSFIELD, CA – (Marketwired – Sep 10, 2014 – Pyramid Oil Company (NYSE MKT: PDO) (“Pyramid”) and Yuma Energy, Inc. (“Yuma”) today announced that the merger of Pyramid and Yuma was |
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| September 16, 2014 | ||
| September 16, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: September 10, 2014 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) CALIFORNIA 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commission |
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| September 16, 2014 |
RESTATED ARTICLES OF INCORPORATION PYRAMID OIL COMPANY Exhibit 3.1 RESTATED ARTICLES OF INCORPORATION OF PYRAMID OIL COMPANY Michael D. Herman and Lee G. Christianson hereby certify that: 1. They are the duly elected and acting President and Corporate Secretary, respectively, of Pyramid Oil Company, a California corporation (the “Corporation”). 2. The Restated Articles of Incorporation of the Corporation, as amended to date, are hereby amended and res |
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| August 20, 2014 |
YUMA / Yuma Energy, Inc. / HERMAN MICHAEL D - SC 13D/A Activist Investment SC 13D/A 1 v387282sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 8)* PYRAMID OIL COMPANY (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 747215 10 1 (CUSIP Number) Michael D. Herman 501 So. Cherry Street, Suite 320 Denver, CO 80246 303-333-3678 (Name, Addr |
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| August 14, 2014 |
Pyramid Oil Company Reports Second Quarter and Year-to-date Financial Results EX-99.1 2 v386922ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Pyramid Oil Company FOR IMMEDIATE RELEASE: Pyramid Oil Company Reports Second Quarter and Year-to-date Financial Results BAKERSFIELD, Calif. – August 14, 2014 – Pyramid Oil Company (NYSE MKT: PDO) today announced financial results for its second quarter and six-month period ended June 30, 2014. Second quarter 2014 revenue was $1.0 million versu |
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| August 14, 2014 |
Pyramid Oil Company Reports Second Quarter and Year-to-date Financial Results EX-99.1 2 v386922ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Pyramid Oil Company FOR IMMEDIATE RELEASE: Pyramid Oil Company Reports Second Quarter and Year-to-date Financial Results BAKERSFIELD, Calif. – August 14, 2014 – Pyramid Oil Company (NYSE MKT: PDO) today announced financial results for its second quarter and six-month period ended June 30, 2014. Second quarter 2014 revenue was $1.0 million versu |
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| August 14, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q 10-Q 1 v38613210q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q x Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2014 ¨ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number 001-329 |
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| August 14, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 14, 2014 Pyramid Oil Company (Exact name of registrant as specified in its charter) California 0-5525 94-0787340 (State or other jurisdiction (Commission (I.R.S. Employer of in |
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| August 14, 2014 |
YUMA / Yuma Energy, Inc. 425 - Merger Prospectus - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 14, 2014 Pyramid Oil Company (Exact name of registrant as specified in its charter) California 0-5525 94-0787340 (State or other jurisdiction (Commission (I.R.S. Employer of in |
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| August 12, 2014 |
EX-99.1 2 v386593ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 NEWS RELEASE PYRAMID OIL COMPANY AND YUMA ENERGY, INC. ANNOUNCE RECORD DATES AND MEETING DATES FOR SPECIAL MEETINGS OF STOCKHOLDERS BAKERSFIELD, CALIFORNIA and HOUSTON, TEXAS – August 12, 2014 – Pyramid Oil Company (NYSE MKT: PDO) and privately held Yuma Energy, Inc. today announced that each has set a record date and a meeting date for their s |
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| August 12, 2014 |
YUMA / Yuma Energy, Inc. / Yuma Energy, Inc. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1) Pyramid Oil Company (Name of Issuer) Common Stock, no par value per share (Title of Class of Securities) 747215 10 1 (CUSIP Number) Sam L. Banks Chairman and Chief Executive Officer Yuma Energy, Inc. 1177 West Loop South, Suite 1825 Houston, Texas 77027 |
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| August 12, 2014 |
EX-99.1 2 v386593ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 NEWS RELEASE PYRAMID OIL COMPANY AND YUMA ENERGY, INC. ANNOUNCE RECORD DATES AND MEETING DATES FOR SPECIAL MEETINGS OF STOCKHOLDERS BAKERSFIELD, CALIFORNIA and HOUSTON, TEXAS – August 12, 2014 – Pyramid Oil Company (NYSE MKT: PDO) and privately held Yuma Energy, Inc. today announced that each has set a record date and a meeting date for their s |
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| August 12, 2014 |
8-K 1 v3865938k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: August 12, 2014 (Date of earliest event reported) Pyramid Oil Company (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction 001-32989 (Commission File N |
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| August 12, 2014 |
YUMA / Yuma Energy, Inc. 425 - Merger Prospectus - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: August 12, 2014 (Date of earliest event reported) Pyramid Oil Company (Exact name of registrant as specified in its charter) CALIFORNIA (State or other jurisdiction 001-32989 (Commission File Number) 94-0787340 (IRS E |
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| August 11, 2014 |
MERGER PROPOSED — YOUR VOTE IS VERY IMPORTANT 424B3 1 v386339424b3.htm 424B3 Filed Pursuant to Rule 424(b)(3) Registration No. 333-197826 MERGER PROPOSED — YOUR VOTE IS VERY IMPORTANT Yuma Energy, Inc., which we refer to as Yuma, and Pyramid Oil Company, which we refer to as Pyramid, have entered into an amended and restated agreement and plan of merger and reorganization dated as of August 1, 2014, as it may be amended from time to time, whi |
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| August 7, 2014 |
YUMA / Yuma Energy, Inc. S-4/A - - FORM S-4/A AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON AUGUST 7, 2014 REGISTRATION NO. |
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| August 7, 2014 |
Exhibit 99.13 December 2013 ROTH CAPITAL PARTNERS, LLC Member FINRA/ SiPC www.roth.com CORPORATE OFFICES 888 San Clemente Drive Newport Beach, CA (949) 720 - 5700 REGIONAL OFFICES ROTH Capital Partners Hong Kong Limited Hong Kong Office (852) 2251 - 8585 //////////////////////////////////////////////////////////////////////////// INTERNATIONAL OFFICE Yuma Energy Inc. | Pyramid Oil Company Boston, |
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| August 7, 2014 |
EX-99.14 42 v386031ex99-14.htm EXHIBIT 99.14 Exhibit 99.14 August 7, 2014 Board of Directors Pyramid Oil Company 2008 - 21st Street Bakersfield, California 93301 Members of the Board of Directors: We hereby consent to the filing in the Registration Statement on Form S-4 of Pyramid Oil Company of our presentation dated December, 2013 as an exhibit thereto. In giving the foregoing consents, we do no |
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| August 4, 2014 |
AMENDED AND RESTATED VOTING AGREEMENT EX-10.1A 3 v385581ex10-1a.htm EXHIBIT 10.1A Exhibit 10.1A AMENDED AND RESTATED VOTING AGREEMENT THIS AMENDED AND RESTATED VOTING AGREEMENT (this “Agreement”) is dated as of August 1, 2014 by and among Yuma Energy, Inc., a Delaware corporation (the “Company”), and each of the persons listed on Schedule A hereto (each a “Shareholder” and collectively, the “Shareholders”). WHEREAS, each of the Shareh |
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| August 4, 2014 |
Exhibit 10.3 Execution Counterpart Credit Agreement Dated as of August 10, 2011 among Yuma Exploration and Production Company, inc., as Borrower, Amegy Bank National Association, as Administrative Agent, and The Lenders Party Hereto Sole Lead Arranger and Sole Bookrunner Amegy Bank National Association TABLE OF CONTENTS Page ARTICLE I Definitions and Accounting Matters Section 1.01. Terms Defined |
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| August 4, 2014 |
SECOND AMENDMENT TO CREDIT AGREEMENT AND ASSIGNMENT Exhibit 10.5 SECOND AMENDMENT TO CREDIT AGREEMENT AND ASSIGNMENT THIS SECOND AMENDMENT TO CREDIT AGREEMENT AND ASSIGNMENT (this “Amendment”) is entered into effective as of February 13, 2013 (the “Effective Date”), among YUMA EXPLORATION AND PRODUCTION COMPANY, INC., a Delaware corporation (“Borrower”), the undersigned lenders party to the Credit Agreement (the “Lenders”), Union Bank, N.A., in its |
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| August 4, 2014 |
THIRD AMENDMENT TO CREDIT AGREEMENT AND ASSIGNMENT Exhibit 10.6 THIRD AMENDMENT TO CREDIT AGREEMENT AND ASSIGNMENT THIS THIRD AMENDMENT TO CREDIT AGREEMENT AND ASSIGNMENT (this “Amendment”) is entered into effective as of May 20, 2013 (the “Effective Date”), among YUMA EXPLORATION AND PRODUCTION COMPANY, INC., a Delaware corporation (“Borrower”), the undersigned lenders party to the Credit Agreement (the “Lenders”), UNION BANK, N.A., in its indivi |
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| August 4, 2014 |
PRELIMINARY PROXY MATERIALS — SUBJECT TO COMPLETION Exhibit 99.1 PRELIMINARY PROXY MATERIALS — SUBJECT TO COMPLETION PDO Computershare Trust Company, N.A. 250 Royall Street COMPANY # [-] Canton, Massachusetts 02021 Vote by Internet, Telephone or Mail 24 Hours a Day, 7 Days a Week Your Telephone or Internet vote authorizes the named Proxies to vote your shares in the same manner as if you marked, signed and returned your proxy card. : INTERNET/MOBIL |
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| August 4, 2014 |
Exhibit 10.8 EMPLOYMENT AGREEMENT The following shall evidence the agreement between The Yuma Companies, Inc., its subsidiaries and affiliates (“Yuma” or “the Company”) and Samuel L. Banks (“Employee”), for the purpose of Employee functioning as Chairman and Chief Executive Officer (“CEO”) in accordance with the following terms and/or conditions. ARTICLE I. DEFINITIONS The terms defined in the att |
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| August 4, 2014 |
YUMA / Yuma Energy, Inc. 425 - Merger Prospectus - FORM 8-K 425 1 v3855818k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 1, 2014 Pyramid Oil Company (Exact name of registrant as specified in its charter) California 0-5525 94-0787340 (State or other jurisdiction (Commi |
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| August 4, 2014 |
Exhibit 99.7 Consent of Director Nominee Pursuant to Rule 438 promulgated under the Securities Act of 1933, as amended, in connection with the Registration Statement on Form S-4, and any amendments and supplements thereto (the “Registration Statement”), of Pyramid Oil Company, a California corporation (the “Registrant”), relating to the amended and restated agreement and plan of merger and reorgan |
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| August 4, 2014 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON AUGUST 4, 2014 AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON AUGUST 4, 2014 REGISTRATION NO. |
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| August 4, 2014 |
April 22, 2014 Mr. Sam L. Banks Yuma Exploration and Production Company, Inc. 1177 West Loop South, Suite 1825 Houston, Texas 77027 Dear Mr. Banks: In accordance with your request, we have estimated the proved reserves and future revenue, as of December 31, 2013, to the Yuma Exploration and Production Company, Inc. (Yuma) interest in certain oil and gas properties located in Louisiana, North Dakot |
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| August 4, 2014 |
EX-10.10 11 v385580ex10-10.htm EXHIBIT 10.10 Exhibit 10.10 EMPLOYMENT AGREEMENT The following shall evidence the agreement between Yuma Energy, Inc., its subsidiaries and affiliates (“Yuma” or “the Company”) and Mark D. Hartman (“Employee”), for the purpose of Employee functioning as Vice President of Exploration and generator of oil and/or gas Prospects in accordance with the following terms and/ |
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| August 4, 2014 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 v3855818k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 1, 2014 Pyramid Oil Company (Exact name of registrant as specified in its charter) California 0-5525 94-0787340 (State or other jurisdiction (Commi |
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| August 4, 2014 |
FIRST AMENDMENT AND LIMITED WAIVER TO CREDIT AGREEMENT AND ASSIGNMENT Exhibit 10.4 FIRST AMENDMENT AND LIMITED WAIVER TO CREDIT AGREEMENT AND ASSIGNMENT THIS FIRST AMENDMENT AND LIMITED WAIVER TO CREDIT AGREEMENT AND ASSIGNMENT (this "Amendment") is entered into effective as of September 21, 2012 (the "Effective Date"), among YUMA EXPLORATION AND PRODUCTION COMPANY, INC., a Delaware corporation ("Borrower"), the undersigned lenders party to the Credit Agreement (the |
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| August 4, 2014 |
FOURTH AMENDMENT TO CREDIT AGREEMENT EX-10.7 8 v385580ex10-7.htm EXHIBIT 10.7 Exhibit 10.7 FOURTH AMENDMENT TO CREDIT AGREEMENT THIS FOURTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”) is entered into effective as of April 22, 2014 (the “Effective Date”), among YUMA EXPLORATION AND PRODUCTION COMPANY, INC., a Delaware corporation (the “Borrower”), the undersigned lenders party to the Credit Agreement (the “Lenders”) and SOCIÉTÉ G |
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| August 4, 2014 |
AMENDED AND RESTATED VOTING AGREEMENT EX-10.2A 4 v385581ex10-2a.htm EXHIBIT 10.2A Exhibit 10.2A AMENDED AND RESTATED VOTING AGREEMENT THIS AMENDED AND RESTATED VOTING AGREEMENT (this “Agreement”), is dated as of August 1, 2014 by and among Pyramid Oil Company, a California corporation (“Pyramid”), Pyramid Merger Subsidiary, Inc., a Delaware corporation and wholly owned subsidiary of Pyramid (the “Merger Subsidiary”), and each of the p |
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| August 4, 2014 |
Exhibit 99.8 Consent of Director Nominee Pursuant to Rule 438 promulgated under the Securities Act of 1933, as amended, in connection with the Registration Statement on Form S-4, and any amendments and supplements thereto (the “Registration Statement”), of Pyramid Oil Company, a California corporation (the “Registrant”), relating to the amended and restated agreement and plan of merger and reorgan |
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| August 4, 2014 |
Exhibit 99.9 Consent of Director Nominee Pursuant to Rule 438 promulgated under the Securities Act of 1933, as amended, in connection with the Registration Statement on Form S-4, and any amendments and supplements thereto (the “Registration Statement”), of Pyramid Oil Company, a California corporation (the “Registrant”), relating to the amended and restated agreement and plan of merger and reorgan |
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| August 4, 2014 |
PRELIMINARY PROXY MATERIALS — SUBJECT TO COMPLETION Exhibit 99.2 PRELIMINARY PROXY MATERIALS — SUBJECT TO COMPLETION Yuma Energy, Inc. Please Vote by Mail * MAIL – Mark, sign and date your proxy card and return it in the postage-paid envelope provided prior to [-]. TO VOTE BY MAIL AS THE BOARD OF DIRECTORS RECOMMENDS ON ALL ITEMS BELOW, SIMPLY SIGN, DATE, AND RETURN THIS PROXY CARD. ò Please detach here ò THE BOARD OF DIRECTORS RECOMMENDS A VOTE FO |
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| August 4, 2014 |
EX-99.11 25 v385580ex99-11.htm EXHIBIT 99.11 Exhibit 99.11 Consent of Director Nominee Pursuant to Rule 438 promulgated under the Securities Act of 1933, as amended, in connection with the Registration Statement on Form S-4, and any amendments and supplements thereto (the “Registration Statement”), of Pyramid Oil Company, a California corporation (the “Registrant”), relating to the amended and res |
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| August 4, 2014 |
Exhibit 99.10 Consent of Director Nominee Pursuant to Rule 438 promulgated under the Securities Act of 1933, as amended, in connection with the Registration Statement on Form S-4, and any amendments and supplements thereto (the “Registration Statement”), of Pyramid Oil Company, a California corporation (the “Registrant”), relating to the amended and restated agreement and plan of merger and reorga |
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| August 4, 2014 |
Exhibit 2.1A AMENDED AND RESTATED AGREEMENT AND PLAN OF MERGER AND REORGANIZATION dated as of August 1, 2014 by and among Pyramid Oil Company, PYRAMID DELAWARE MERGER SUBSIDIARY, INC., PYRAMID MERGER SUBSIDIARY, INC., and YUMA ENERGY, INC. TABLE OF CONTENTS Page ARTICLE I INTENTIONALLY LEFT BLANK 2 ARTICLE II INTENTIONALLY LEFT BLANK 2 ARTICLE III THE MERGER 2 SECTION 3.01 The Merger 2 SECTION 3.0 |
