YUMA ENERGY, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 1 rows, 1 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-11-07: Reporting owner RMCP DPC II LLC | MESDAG WILLEM | RMCP DPC LLC | RMCP PIV DPC, L.P. | RED MOUNTAIN CAPITAL MANAGEMENT INC | RMCP PIV DPC II, L.P. | RED MOUNTAIN CAPITAL PARTNERS LLC | RMCP GP LLC; Form 3; Security Series D Convertible Preferred Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-11-07 holding as of filing | RMCP DPC II LLC | MESDAG WILLEM | RMCP DPC LLC | RMCP PIV DPC, L.P. | RED MOUNTAIN CAPITAL MANAGEMENT INC | RMCP PIV DPC II, L.P. | RED MOUNTAIN CAPITAL PARTNERS LLC | RMCP GP LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote and Remarks below. | Holding | $11.07 exercise price | 2016-11-07 |