YUMA / Yuma Energy, Inc. - SEC-arkivering, Årsberetning, Fuldmagtserklæring

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

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

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

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

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

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

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

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

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

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

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

CERTIFICATE OF AMENDMENT TO THE CERTIFICATE OF DETERMINATION RIGHTS, PREFERENCES, PRIVILEGES AND RESTRICTIONS 9.25% SERIES A CUMULATIVE REDEEMABLE PREFERRED STOCK YUMA ENERGY, INC.

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 (

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Completion of Acquisition or Disposition of Assets, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Material Modification to Rights of Security Holders, Submission of Matters to a Vote of Security Holders, Other Events, Financial Statements and Exhibits

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

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

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

YUMA ENERGY, INC. ANNOUNCES COMPLETION OF MERGER WITH DAVIS PETROLEUM ACQUISITION CORP. AND ENTRY INTO NEW CREDIT FACILITY

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

EX-99.25

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

EX-99.25

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).

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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: 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

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

Yuma Energy PROXY STATEMENT

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

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

EX-99.1

Untitled Document Exhibit 99.1

EX-99.1

Untitled Document Exhibit 99.1

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

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)

Yuma Energy, Inc. and Davis Petroleum Acquisition Corp. Announce Record Dates and Meeting Dates for Special Meetings of Shareholders

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

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)

Yuma Energy, Inc. and Davis Petroleum Acquisition Corp. Announce Record Dates and Meeting Dates for Special Meetings of Shareholders

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

Yuma Energy PROXY STATEMENT

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)

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

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

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

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

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

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

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

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

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

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

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

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

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-

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-

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

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

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

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

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

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

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

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

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

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

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

Yuma Energy NT 10-Q

SEC FILE NUMBER 001-32989 CUSIP NUMBER 98872E 108 98872E 207 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

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

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)

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

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

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

List of Subsidiaries

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

February 19, 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

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.

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., DAVIS PETROLEUM ACQUISITION CORP. TABLE OF CONTENTS

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

VOTING AGREEMENT

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”).

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., DAVIS PETROLEUM ACQUISITION CORP. TABLE OF CONTENTS

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

VOTING AGREEMENT

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

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

VOTING AGREEMENT

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

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 repor

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

VOTING AGREEMENT

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”).

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 repor

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

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

VOTING AGREEMENT

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

VOTING AGREEMENT

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

[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., DAVIS PETROLEUM ACQUISITION CORP.

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

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

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, In

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

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

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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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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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

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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 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

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

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

Yuma Energy, Inc.

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

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

Yuma Energy, Inc.

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

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

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

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

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) (

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

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

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

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

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

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

Yuma Energy, Inc.

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

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

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

EX-99.1

EX-99.1 2 yumaex991.htm SLIDESHOW PRESENTATION Exhibit 99.1

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

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

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

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

Yuma Energy, Inc.

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

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

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

Yuma Energy, Inc. Announces Successful Completion of its Talbot 23-1 Well and Provides an Operational Update

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

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

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

EX-99.1

yumaex991.htm Exhibit 99.1

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

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

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.

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

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”),

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

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

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

Yuma Energy, Inc.

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’

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

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

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

Yuma Energy, Inc. Announces First Quarter 2015 Financial Results and Provides an Operational Overview

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

Yuma Energy, Inc.

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

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

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

PDO DEFA14A

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

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

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

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

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

EX-99.1

EX-99.1 2 yumaex991.htm SLIDESHOW PRESENTATION Exhibit 99.1

Yuma Energy, Inc.

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

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

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

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

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

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

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

List of Subsidiaries

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.

Yuma Energy, Inc.

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

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

March 17, 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

Amendment No. 1 Dated March 12, 2015 To To that Employment Agreement Dated October 15, 2014 Between Yuma Energy, Inc. Paul McKinney Restricted Stock Terms and Conditions

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

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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: 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

EX-99.1

EX-99.1 2 yumaex991.htm SLIDESHOW PRESENTATION Exhibit 99.1

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

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

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

Yuma Energy, Inc.

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

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

YUMA / Yuma Energy, Inc. / SANDERS MORRIS HARRIS INC. - SANDERS MORRIS HARRIS, INC. Passive Investment

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

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

Yuma Energy, Inc.

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

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

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

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

EX-99.1

Exhibit 99.1

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

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

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)

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

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

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

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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 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

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

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

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

YUMA / Yuma Energy, Inc. S-8 POS - - REGISTRATION STATEMENT

As filed with the Securities and Exchange Commission on December 22, 2014 Registration No.

YUMA / Yuma Energy, Inc. S-8 - - S-8 REGISTRATION STATEMENT

As filed with the Securities and Exchange Commission on December 22, 2014 Registration No.

Yuma Energy, Inc. 9.25% Series A Cumulative Redeemable Preferred Stock (Liquidation Preference $25.00 Per Share) Common Stock

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

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

Yuma Energy, Inc.

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

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

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

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 PURS

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

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

Yuma Energy, Inc. Announces Third Quarter 2014 Financial Results and Provides an Operational Overview

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

EMPLOYMENT AGREEMENT

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.

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

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

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

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

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

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, 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 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

EX-4.1

Exhibit 4.1

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,

PROSPECTUS SUPPLEMENT (To Prospectus dated November 21, 2013) Filed Pursuant to Rule 424(b)(5) Registration No. 333-192094 Yuma Energy, Inc. 477,273 Shares 9.25% Series A Cumulative Redeemable Preferred Stock $22.00 Per Share (Liquidation Preference

PROSPECTUS SUPPLEMENT (To Prospectus dated November 21, 2013) Filed Pursuant to Rule 424(b)(5) Registration No.

CERTIFICATE OF DETERMINATION OF RIGHTS, PREFERENCES, PRIVILEGES AND RESTRICTIONS OF 9.25% SERIES A CUMULATIVE REDEEMABLE PREFERRED STOCK OF YUMA ENERGY, INC.

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

Yuma Energy, Inc. PRICING TERM SHEET 9.25% Series A Cumulative Redeemable Preferred Stock (Liquidation Preference: $25.00 Per Share) October 16, 2014

Issuer Free Writing Prospectus Filed pursuant to Rule 433 Relating to the Preliminary Prospectus Supplement dated October 14, 2014 and Registration Statement No.

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

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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 001-32989 94-0787340 (State or other jurisdiction of incorporation) (Commission Fil

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

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

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

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

EX-99.1

EX-99.1 2 yumaex991.htm SLIDESHOW PRESENTATION Exhibit 99.1

The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. This preliminary prospectus supplement and accompanying prospectus is not an offer to sell these securities and we are not s

The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed.

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

Exhibit 99.1

Exhibit 99.1

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

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”

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

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

INDEX TO FINANCIAL STATEMENTS

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

EX-99.1

EX-99.1 2 yumaex991.htm Exhibit 99.1

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

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

INDEMNIFICATION AGREEMENT

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

EMPLOYMENT AGREEMENT

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

YUMA ENERGY, INC. CORPORATE CODE OF BUSINESS CONDUCT AND ETHICS (Amended and Restated as of September 11, 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

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

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

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”

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

EX-16

Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Amendment to Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant, Completion of Acquisition or Disposition of Assets, Other Events, Submission of Matters to a Vote of Security Holders

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

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

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

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

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

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

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

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

PYRAMID OIL COMPANY AND YUMA ENERGY, INC. ANNOUNCE RECORD DATES AND MEETING DATES FOR SPECIAL MEETINGS OF STOCKHOLDERS

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

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

PYRAMID OIL COMPANY AND YUMA ENERGY, INC. ANNOUNCE RECORD DATES AND MEETING DATES FOR SPECIAL MEETINGS OF STOCKHOLDERS

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

Current Report

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

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

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

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.

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 /////////

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,

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

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

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 Na

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

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

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

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

EMPLOYMENT AGREEMENT

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

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

Consent of Director Nominee

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

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.

April 22, 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

EMPLOYMENT AGREEMENT

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/

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

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

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

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

Consent of Director Nominee

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

Consent of Director Nominee

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

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

Consent of Director Nominee

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

Consent of Director Nominee

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

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., YUMA ENERGY, INC. TABLE OF CONTENTS

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