YUMAQ / Yuma Energy, Inc. - Pengajuan SECLaporan Tahunan, Pernyataan Proksi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* YUMA ENERGY, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securit

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. 5)* YUMA ENERGY, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 98872F 105 (CUSIP Number) Red Mountain Capital Partners LLC Attn: Willem Mesdag 1999 Avenue of the Stars, Suite 1100 | PMB #314 Los Ange

Very truly yours,

EX-99.11 2 d69522dex9911.htm EX-99.11 Exhibit 11 December 29, 2020 VIA EMAIL AND FEDEX Yuma Energy, Inc. 1177 West Loop South, Suite 1825 Houston, Texas 77027 Attn: Chapter 7 Trustee To the Chapter 7 Trustee: Effective as of 4:00 p.m. Eastern Time on December 31, 2020 (the “Effective Time”), the undersigned entities affiliated with Red Mountain Capital Partners, LLC (the “Stockholders”) hereby sur

Financial Statements and Exhibits - 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: October 20, 2020 (Date of earliest event reported) YUMA ENERGY, INC. (Exact name of registrant as specified in its charter) Delaware (State or Other Jurisdiction of Incorporation) 001-37932 (Commission File Number) 94

Chapter 11 Bankruptcy Proceedings Converted to Chapter 7 Liquidation

EX-99.1 2 d96255dex991.htm EX-99.1 Exhibit 99.1 Chapter 11 Bankruptcy Proceedings Converted to Chapter 7 Liquidation HOUSTON, Oct. 20, 2020 /PRNewswire/ - Yuma Energy, Inc. (OTC Pink: YUMAQ) ("Yuma" or the "Company"), together with its subsidiaries Yuma Exploration and Production Company, Inc., Davis Petroleum Corp., and The Yuma Companies, Inc. (collectively, the Company and the filing subsidiari

UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION 6 MONTHLY OPERATING REPORT

Exhibit 99.3 Monthly Operating Report CASH BASIS CASE NAME: In re: YUMA EXPLORATION & PRODUCTION COMPANY, INC., CASE NUMBER: Case No. 20-41456-11 JUDGE: Mark X. Mullin UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION 6 MONTHLY OPERATING REPORT MONTH ENDING: April 2020 MONTH YEAR IN ACCORDANCE WITH TITLE 28, SECTION 1746, OF THE UNITED STATES CODE, I DECLARE UNDER PENALTY

UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION 6 MONTHLY OPERATING REPORT

Exhibit 99.1 Monthly Operating Report CASH BASIS CASE NAME: In re: Yuma Energy, Inc CASE NUMBER: Case No. 20-41455-11 JUDGE: Mark X. Mullin UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION 6 MONTHLY OPERATING REPORT MONTH ENDING: May 2020 MONTH YEAR IN ACCORDANCE WITH TITLE 28, SECTION 1746, OF THE UNITED STATES CODE, I DECLARE UNDER PENALTY OF PERJURY THAT I HAVE EXAMIN

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 1, 2020 (Date of earliest event reported) YUMA ENERGY, INC. (Exact name of registrant as specified in its charter) Delaware (State or Other Jurisdiction of Incorporation) 001-37932 (Commission File Number) 94-

UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS MONTHLY OPERATING REPORT

Exhibit 99.3 Monthly Operating Report CASH BASIS CASE NAME: In re: YUMA EXPLORATION & PRODUCTION COMPANY, INC., CASE NUMBER: Case No. 20-41456-11 JUDGE: MarkX Mulhn UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION6 MONTHLY OPERATING REPORT MONTH ENDING: June 2020 MONTH YEAR IN ACCORDANCE WITH TITLE 28, SECTION 1746, OF THE UNITED STATES CODE, I DECLARE UNDER PENALTY OF P

UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION 6 MONTHLY OPERATING REPORT

EX-99.4 5 yuma-ex9946.htm EX-99.4 Exhibit 99.4 Monthly Operating Report CASH BASIS CASE NAME: In re: Davis Petroleum Corp. CASE NUMBER: Case No. 20-41453-11 JUDGE: Mark X. Mullin UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION 6 MONTHLY OPERATING REPORT MONTH ENDING: May 2020 MONTH YEAR IN ACCORDANCE WITH TITLE 28, SECTION 1746, OF THE UNITED STATES CODE, I DECLARE UNDE

UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION 6 MONTHLY OPERATING REPORT

Exhibit 99.2 Monthly Operating Report CASH BASIS CASE NAME: In re: THE YUMA COMPANIES, INC., CASE NUMBER: Case No. 20-41454-11 JUDGE: Mark X. Mullin UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION 6 MONTHLY OPERATING REPORT MONTH ENDING: April 2020 MONTH YEAR IN ACCORDANCE WITH TITLE 28, SECTION 1746, OF THE UNITED STATES CODE, I DECLARE UNDER PENALTY OF PERJURY THAT I

UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION 6 MONTHLY OPERATING REPORT

Exhibit 99.2 -Monthly Operating Report CASH BASIS CASE NAME: In re: THE YUMA COMPANIES, INC., CASE NUMBER: Case No. 20-41454-11 JUDGE: Mark X. Mullin UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION 6 MONTHLY OPERATING REPORT MONTH ENDING: May 2020 MONTH YEAR IN ACCORDANCE WITH TITLE 28, SECTION 1746, OF THE UNITED STATES CODE, I DECLARE UNDER PENALTY OF PERJURY THAT I H

UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION 6 MONTHLY OPERATING REPORT

EX-99.1 2 yuma-ex99110.htm EX-99.1 Exhibit 99.1 Monthly Operating Report CASH BASIS CASE NAME: In re: Yuma Energy, Inc CASE NUMBER: Case No. 20-41455-11 JUDGE: Mark X. Mullin UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION 6 MONTHLY OPERATING REPORT MONTH ENDING: April 2020 MONTH YEAR IN ACCORDANCE WITH TITLE 28, SECTION 1746, OF THE UNITED STATES CODE, I DECLARE UNDER

UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS MONTHLY OPERATING REPORT

EX-99.2 3 yuma-ex9928.htm EX-99.2 Exhibit 99.2 Monthly Operating Report CASH BASIS CASE NAME: In re: THE YUMA COMPANIES, INC., CASE NUMBER: Case No. 20-41454-11 JUDGE: Mark X Mulhn UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION6 MONTHLY OPERATING REPORT MONTH ENDING: June 2020 MONTH YEAR IN ACCORDANCE WITH TITLE 28, SECTION 1746, OF THE UN ITED STATES CODE, I DECLARE U

UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION 6 MONTHLY OPERATING REPORT

Exhibit 99.4 Monthly Operating Report CASH BASIS CASE NAME: In re: Davis Petroleum Corp. CASE NUMBER: Case No. 20-41453-11 JUDGE: Mark X. Mullin UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION 6 MONTHLY OPERATING REPORT MONTH ENDING: April 2020 MONTH YEAR IN ACCORDANCE WITH TITLE 28, SECTION 1746, OF THE UNITED STATES CODE, I DECLARE UNDER PENALTY OF PERJURY THAT I HAVE

UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION 6 MONTHLY OPERATING REPORT

EX-99.3 4 yuma-ex9937.htm EX-99.3 Exhibit 99.3 Monthly Operating Report CASH BASIS CASE NAME: In re: YUMA EXPLORATION & PRODUCTION COMPANY, INC., CASE NUMBER: Case No. 20-41456-11 JUDGE: Mark X. Mullin UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION 6 MONTHLY OPERATING REPORT MONTH ENDING: May 2020 MONTH YEAR IN ACCORDANCE WITH TITLE 28, SECTION 1746, OF THE UNITED STAT

UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION 6 MONTHLY OPERATING REPORT

EX-99.4 5 yuma-ex9946.htm EX-99.4 Exhibit 99.4 Monthly Operating Report CASH BASIS CASE NAME: In re: Davis Petroleum Corp. CASE NUMBER: Case No. 20-41453-11 JUDGE: Mark X Mulhn UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION 6 MONTHLY OPERATING REPORT MONTH ENDING: June 2020 MONTH YEAR IN ACCORDANCE WITH TITLE 28, SECTION 1746, OF THE UNITED STATES CODE, I DECLARE UNDER

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 1, 2020 (Date of earliest event reported) YUMA ENERGY, INC. (Exact name of registrant as specified in its charter) Delaware (State or Other Jurisdiction of Incorporation) 001-37932 (Commission File Number) 94-

Financial Statements and Exhibits, Other Events

8-K 1 yuma-8k20201001.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: October 1, 2020 (Date of earliest event reported) YUMA ENERGY, INC. (Exact name of registrant as specified in its charter) Delaware (State or Other Jurisdiction of Incorporation) 001-3793

UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS MONTHLY OPERATING REPORT

Exhibit 99.1 Monthly Operating Report CASH BASIS CASE NAME: In re: Yuma Energy, Inc CASE NUMBER: Case No. 20-41455-11 JUDGE: MarkX Mullin UNITED STATES BANKRUPTCY COURT NORTHERN & EASTERN DISTRICTS OF TEXAS REGION6 MONTHLY OPERATING REPORT MONTH ENDING: June 2020 MONTH YEAR IN ACCORDANCE WITH TITLE 28, SECTION 1746, OF THE UNITED STATES CODE, I DECLARE UNDER PENALTY OF PERJURY THAT I HAVE EXAMINED

EX-99.25

NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The NYSE American LLC ('NYSE American' or the 'Exchange') hereby notifies the Securities and Exchange Commission (the 'Commission') of its intention to remove the entire class of the common stock ('Common Stock') of Yuma Energy, Inc.

Yuma Energy, Inc. Files for Chapter 11 Protection

EX-99.1 2 d852764dex991.htm EX-99.1 Exhibit 99.1 Yuma Energy, Inc. Files for Chapter 11 Protection Interim CEO Anthony C. Schnur Resigns HOUSTON, April 15, 2020 /PRNewswire/ - Yuma Energy, Inc. (NYSE American: YUMA) ("Yuma", "Company", "we" or "our"), together with its subsidiaries Yuma Exploration and Production Company, Inc., Davis Petroleum Corp., and The Yuma Companies, Inc. (collectively, the

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

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 15, 2020 (Date of earliest event reported) YUMA ENERGY, INC. (Exact name of registrant as specified in its charter) Delaware (State or Other Jurisdiction of Incorporation) 001-37932 (Commission File Number) 94-0

Yuma Energy, Inc. Receives Notice of Acceleration Under Credit Agreement And Termination of Restructuring Agreement

EX-99.1 2 d799571dex991.htm EX-99.1 Exhibit 99.1 Yuma Energy, Inc. Receives Notice of Acceleration Under Credit Agreement And Termination of Restructuring Agreement HOUSTON, April 7, 2020 /PRNewswire/ - Yuma Energy, Inc. (NYSE American: YUMA) ("Yuma", "Company", "we" or "our") announced today that it has been notified by its lender, YE Investment LLC, ("YE" or the "Lender"), an affiliate of Red Mo

Termination of 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: April 7, 2020 (Date of earliest event reported) YUMA ENERGY, INC. (Exact name of registrant as specified in its charter) Delaware (State or Other Jurisdiction of Incorporation) 001-37932 (Commission File Number) 94-07

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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: March 26, 2020 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37932 94-0787340 (State or other jurisdiction of incorporation) (Commission File N

Yuma Energy, Inc. Provides an Update on its Financial Status

EX-99.1 2 yumaex991.htm PRESS RELEASE Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Provides an Update on its Financial Status HOUSTON, TX – March 20, 2020 – Yuma Energy, Inc. (NYSE American: YUMA) (“Yuma”, “Company”, “we” or “our”) today provided an update on the Company’s financial status and ability to restructure its liabilities and capital structure. As previously disclosed, i

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: March 20, 2020 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-37932 94-0787340 (State or other jurisdiction of incorporation) (Commission File N

AMENDED AND RESTATED CREDIT AGREEMENT dated as of November 27, 2019 among YUMA ENERGY, INC., YUMA EXPLORATION AND PRODUCTION COMPANY, INC., PYRAMID OIL LLC, DAVIS PETROLEUM CORP., as Borrowers YE INVESTMENT LLC, as the Lender Administrative Agent TAB

EX-10.1 2 yumaex101.htm AMENDED AND RESTATED CREDIT AGREEMENT Exhibit 10.1 EXECUTION VERSION AMENDED AND RESTATED CREDIT AGREEMENT dated as of November 27, 2019 among YUMA ENERGY, INC., YUMA EXPLORATION AND PRODUCTION COMPANY, INC., PYRAMID OIL LLC, And DAVIS PETROLEUM CORP., as Borrowers YE INVESTMENT LLC, as the Lender And Administrative Agent TABLE OF CONTENTS PRELIMINARY STATEMENT 1 ARTICLE I

Yuma Energy, Inc. Progresses Restructuring Process with Amended and Restated Credit Facility

Exhibit 99.1 YUMA ENERGY, INC. NEWS RELEASE Yuma Energy, Inc. Progresses Restructuring Process with Amended and Restated Credit Facility HOUSTON, TX – December 2, 2019 – Yuma Energy, Inc. (NYSE American: YUMA) (“Yuma” or “Company,” “we” or “our”) today announced that the Company and certain of its subsidiaries have entered into an amended and restated Credit Agreement (“Credit Agreement”) with its

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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 27, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-37932 94-0787340 (State or other jurisdiction of incorporation) (Commission Fil

Results of Operations and Financial Condition, 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: November 14, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 001-37932 (Commission File Number) 9

Yuma Energy, Inc. Announces 2019 Third Quarter Financial Results

EX-99.1 2 yumaex991.htm PRESS RELEASE Exhibit 99.1 YUMA ENERGY, INC. NEWS RELEASE Yuma Energy, Inc. Announces 2019 Third Quarter Financial Results HOUSTON, TX – November 14, 2019 – Yuma Energy, Inc. (NYSE American: YUMA) (“Yuma” or “Company,” “we” or “our”) today announced its financial results for the third quarter ended September 30, 2019. The 2019 third quarter balance sheet reflects the exting

Quarterly Report - FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 ☐ 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: 001-37932 Yuma Energy, Inc. (

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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: September 30, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-37932 94-0787340 (State or other jurisdiction of incorporation) (Commission Fi

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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 30, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-37932 94-0787340 (State or other jurisdiction of incorporation) (Commission Fi

Yuma Energy, Inc. Enters Into Restructuring and Exchange Agreement

Exhibit 99.1 Yuma Energy, Inc. FOR IMMEDIATE RELEASE Yuma Energy, Inc. Enters Into Restructuring and Exchange Agreement HOUSTON, TX – October 2, 2019 – Yuma Energy, Inc. (NYSE American: YUMA) (“Yuma,” the “Company,” “we” or “our”) today announced that it has entered into a Restructuring and Exchange Agreement (the “Restructuring Agreement”) with Red Mountain Capital Partners LLC and its affiliates

VOTING AGREEMENT

Exhibit 10.3 VOTING AGREEMENT This VOTING AGREEMENT (this “Agreement”) is dated as of September 30, 2019 by and among Yuma Energy, Inc., a Delaware corporation (the “Company”), 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 number of

LOAN MODIFICATION AGREEMENT

EX-10.2 3 yumaex102.htm LOAN MODIFICATION AGREEMENT Exhibit 10.2 LOAN MODIFICATION AGREEMENT THIS LOAN MODIFICATION AGREEMENT (this “Agreement”) is made as of September 30, 2019 by and among Yuma Energy, Inc., a Delaware corporation (the “Company”), Yuma Exploration and Production Company, Inc., a Delaware corporation (“Yuma E&P”), Pyramid Oil LLC, a California limited liability company (“Pyramid”

RESTRUCTURING AND EXCHANGE AGREEMENT TABLE OF CONTENTS

Exhibit 10.1 Execution Version RESTRUCTURING AND EXCHANGE AGREEMENT TABLE OF CONTENTS ARTICLE I DEFINITIONS AND ACCOUNTING TERMS 2 Section 1.1. Definitions 2 Section 1.2. Computation of Time Periods 6 Section 1.3. Terms Generally; Rules of Interpretation 6 Section 1.4. Accounting Terms 6 ARTICLE II RESTRUCTURING TRANSACTIONS 7 Section 2.1. Restructuring Transactions 7 Section 2.2. Closing 8 Sectio

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 25, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-37932 94-0787340 (State or other jurisdiction of incorporation) (Commission Fi

Yuma Energy, Inc. Reaches Settlement Agreement with Former Executive

Exhibit 99.1 Yuma Energy, Inc. FOR IMMEDIATE RELEASE Yuma Energy, Inc. Reaches Settlement Agreement with Former Executive HOUSTON, TX – (PR Newswire – September 25, 2019) – Yuma Energy, Inc. (NYSE American: YUMA) (“Yuma,” the “Company,” “we” or “our”) today announced that the Company has executed a settlement agreement with Sam Banks (“Banks”), the former Chief Executive Officer of the Company. Yu

Yuma Energy, Inc. Reaches Forbearance Agreement with Lender

Exhibit 99.1 Yuma Energy, Inc. FOR IMMEDIATE RELEASE Yuma Energy, Inc. Reaches Forbearance Agreement with Lender HOUSTON, TX – (PR Newswire – September 17, 2019) – Yuma Energy, Inc. (NYSE American:YUMA) (“Yuma,” the “Company,” “we” or “our”) today announced that the Company has entered into a Forbearance Agreement with YE Investment LLC (the “Lender”), an affiliate of Red Mountain Capital Partners

Regulation FD Disclosure, 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: September 16, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-37932 94-0787340 (State or other jurisdiction of incorporation) (Commission Fi

YUMA / Yuma Energy, Inc. EX-10.1 - - FORBEARANCE AGREEMENT

EXECUTION VERSION Exhibit 10.1 FORBEARANCE AGREEMENT This FORBEARANCE AGREEMENT, dated as of September 16, 2019 (this “Forbearance Agreement”), is by and among Yuma Energy, Inc., Yuma Exploration and Production Company, Inc., Pyramid Oil LLC and Davis Petroleum Corp. (collectively, the “Borrowers” and each, a “Borrower”), The Yuma Companies, Inc. and Davis Petroleum Acquisition Corp., as guarantor

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 10, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-37932 94-0787340 (State or other jurisdiction of incorporation) (Commission Fi

Yuma Energy, Inc. Announces Third Party Purchase of Senior Secured Bank Debt Enters Into Non-Binding Restructuring Letter of Intent

EX-99.1 2 yumaex991.htm PRESS RELEASE Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces Third Party Purchase of Senior Secured Bank Debt Enters Into Non-Binding Restructuring Letter of Intent HOUSTON, TX – (PR Newswire – September 10, 2019) – Yuma Energy, Inc. (NYSE American: YUMA) (“Yuma,” the “Company,” “we” or “our”) today announced that an affiliate of Red Mountain Capita

Regulation FD Disclosure, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, 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: August 30, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 001-37932 (Commission File Number) 94-

YUMA ENERGY RECEIVES ACCEPTANCE OF COMPLIANCE PLAN FROM NYSE AMERICAN

Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE YUMA ENERGY RECEIVES ACCEPTANCE OF COMPLIANCE PLAN FROM NYSE AMERICAN HOUSTON, TX – (PR Newswire –September 3, 2019) – Yuma Energy, Inc. (NYSE American: YUMA) (“Yuma,” the “Company,” “we” or “our”) today announced that on August 30, 2019, the NYSE American LLC (the “Exchange”) accepted the Company’s recently submitted plan to regain compliance with the c

Regulation FD Disclosure, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, 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: August 22, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-37932 94-0787340 (State or other jurisdiction of incorporation) (Commission File

Yuma Energy, Inc. Receives Second Notice of Noncompliance from NYSE American

Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Receives Second Notice of Noncompliance from NYSE American HOUSTON, TX – (PR Newswire – August 28, 2019) – Yuma Energy, Inc. (NYSE American: YUMA) (“Yuma,” the “Company,” “we” or “our”) today was notified by the NYSE American (the “Exchange”) that the Company is not in compliance with one of the Exchange’s continued listing standards as set forth in

Results of Operations and Financial Condition, 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: August 19, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 001-37932 (Commission File Number) 94-

Yuma Energy, Inc. Provides Operational and Corporate Update 2019 Second Quarter Financial Report Filed with the SEC

Exhibit 99.1 YUMA ENERGY, INC. NEWS RELEASE Yuma Energy, Inc. Provides Operational and Corporate Update 2019 Second Quarter Financial Report Filed with the SEC HOUSTON, TX – (PR Newswire – August 19, 2019) – Yuma Energy, Inc. (NYSE American: YUMA) (“Yuma” or “Company,” “we” or “our”) today provided an operational and corporate update and reported its 2019 second quarter financial results. During t

YUMA / Yuma Energy, Inc. 10-Q - Quarterly Report - QUARTERLY REPORT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 ☐ 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: 001-37932 Yuma Energy, Inc. (Exact

Yuma Energy, Inc. 1177 West Loop South ● Suite 1825 Houston, Texas 77027 713 ● 968-7068 Fax 713 ● 968-7016

Exhibit 10.1 Yuma Energy, Inc. 1177 West Loop South ● Suite 1825 Houston, Texas 77027 713 ● 968-7068 Fax 713 ● 968-7016 July 2, 2019 Anthony C. Schnur Yuma Energy, Inc. 1177 West Loop South, Suite 1825 Houston, Texas 77027 Re: Amendment to Terms of Employment Dear Mr. Schnur: This letter is to confirm our understanding that as Chief Restructuring Officer (“CRO”) of Yuma Energy, Inc. (“Yuma” and co

YUMA / Yuma Energy, Inc. NT 10-Q - - PRIMARY DOCUMENT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-37932 CUSIP NUMBER 98872F 204 NOTIFICATION OF LATE FILING (Check One): ☐ Form 10-K ☐Form 20-F ☐Form 11-K [X] Form 10-Q ☐Form N-SAR ☐Form N-CSR For Period Ended: June 30, 2019 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on Form 11-K [ ] Transition R

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, 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: July 2, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-37932 94-0787340 (State or other jurisdiction of incorporation) (Commission File Num

YUMA / Yuma Energy, Inc. EX-3.1 - - CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF YUMA ENERGY, INC. DATED JULY 2, 2019

Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF YUMA ENERGY, INC. Adopted in accordance with the provisions of Section 242 of the General Corporation Law of the State of Delaware Yuma Energy, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), by its duly authorized officer, does hereby certify: Th

Yuma Energy, Inc. Announces Reverse Stock Split

Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces Reverse Stock Split HOUSTON, TX – (PR Newswire – June 21, 2019) – Yuma Energy, Inc. (NYSE American: YUMA) (“Yuma,” the “Company,” “we” or “our”) today announced that its Board of Directors has approved a one-for-fifteen reverse stock split of its issued and outstanding shares of common stock. The reverse split will be effectiv

Regulation FD Disclosure, Material Modification to Rights of Security Holders, 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: June 21, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-37932 94-0787340 (State or other jurisdiction of in

Regulation FD Disclosure, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, 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: June 17, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-37932 94-0787340 (State or other jurisdiction of incorporation) (Commission File Nu

Yuma Energy, Inc. Receives Noncompliance Notice from NYSE American

Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Receives Noncompliance Notice from NYSE American HOUSTON, TX – (PR Newswire – June 20, 2019) – Yuma Energy, Inc. (NYSE American: YUMA) (“Yuma,” the “Company,” “we” or “our”) today announced that on June 17, 2019, Yuma was notified by the NYSE American LLC (the "Exchange") that the Company is not in compliance with one of the Exchange's

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: June 12, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-37932 94-0787340 (State or other jurisdiction of incorporation) (Commission File Nu

Yuma Energy, Inc. Reports Updated Corporate Developments

Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Reports Updated Corporate Developments HOUSTON, TX – (PR Newswire – May 21, 2019) – Yuma Energy, Inc. (NYSE American: YUMA) (“Yuma” or the “Company,” “we” or “our”) announced today that on May 20, 2019, it filed its quarterly report on Form 10-Q for the three months ended March 31, 2019 with the Securities and Exchange Commission (“SEC”

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: May 21, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-37932 94-0787340 (State or other jurisdiction of inc

YUMA / Yuma Energy, Inc. 10-Q - Quarterly Report - QUARTERLY REPORT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 ☐ 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: 001-37932 Yuma Energy, Inc. (Exac

YUMA / Yuma Energy, Inc. NT 10-Q NT 10-Q

OMB APPROVAL OMB Number: 3235-0058 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

YUMA / Yuma Energy, Inc. DEFA14A PRIMARY DOCUMENT

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 Rule 14a-6(e)

YUMA / Yuma Energy, Inc. DEF 14A 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 Commission Only (as permitted by Rule 14a-6(e)

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

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 29, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 001-37932 (Commission File Number) 94-0

Changes in Registrant's Certifying Accountant, 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: April 29, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 001-37932 (Commission File Number) 94-0

April 30, 2019

Exhibit 16.1 April 30, 2019 Securities and Exchange Commission Washington, D.C. 20549 Commissioners: We have read Yuma Energy, Inc.’s statements included under Item 4.01 of its Form 8-K filed on April 30, 2019 and we agree with such statements concerning our firm. /s/ Moss Adams LLP Moss Adams LLP

Yuma Energy, Inc. Confirms No Material Change

Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Confirms No Material Change HOUSTON, TX – (PR Newswire – April 25, 2019) – Yuma Energy, Inc. (NYSE American: YUMA) (“Yuma” or the “Company) announces that management is unaware of any material change in the Company’s operations that would account for the recent increase in market activity. On April 22, 2019, Sam L. Banks resigned from h

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 25, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 001-379

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

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 22, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-37932 94-0787340 (State or other jurisdiction of incorporation) (Commission File N

YUMA / Yuma Energy, Inc. 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 Commission Only (as permitted by Rule 14a-6(e)

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

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 10, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-37932 94-0787340 (State or other jurisdiction of incorporation) (Commission File N

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

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 5, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 001-3793

Results of Operations and Financial Condition, 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: April 2, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 001-37932 (Commission File Number) 94-07

Yuma Energy, Inc. Reports Recent Developments

Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Reports Recent Developments HOUSTON, TX – (PR Newswire – April 2, 2019) – Yuma Energy, Inc. (NYSE American: YUMA) (“Yuma” or the “Company,” “we” or “our”) announced today that on April 2, 2019, it filed its annual report on Form 10-K for the year ended December 31, 2018, with the Securities and Exchange Commission (“SEC”). Investors and

January 30, 2019

Exhibit 99.1 January 30, 2019 Mr. Sam L. Banks Yuma Energy, Inc. 1177 West Loop South, Suite 1825 Houston, Texas 77027 Dear Mr. Banks: In accordance with your request, we have estimated the proved developed reserves and future revenue, as of December 31, 2018, to the Yuma Energy, Inc. (Yuma) interest in certain oil and gas properties located in California, Louisiana, North Dakota, Oklahoma, and Te

List of 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 Davis Petroleum Acquisition Corp. Davis Petroleum Pipeline LLC Davis GOM Holdings, LLC Davis Petroleum Corp.

YUMA / Yuma Energy, Inc. ANNUAL REPORT (Annual Report)

10-K 1 yuma10k.htm ANNUAL REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 ☐ 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

YUMA / Yuma Energy, Inc. NT 10-K

NT 10-K 1 yumant10k.htm NT 10-K OMB APPROVAL OMB Number: 3235-0058 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Expires: February 28, 2022 Estimated average burden hours per response.......2.50 FORM 12b-25 SEC FILE NUMBER 00-37932 CUSIP NUMBER NOTIFICATION OF LATE FILING 98872F 105 (Check one): ☑ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Fo

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

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 27, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 001-37932 (Commission File Number) 94-0

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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: March 1, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 001-3793

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

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 24, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-37932 94-0787340 (State or other jurisdiction of incorporation) (Commission File

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, 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 4, 2019 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-37932 94-0787340 (State or other jurisdiction of incorporation) (Commission File

NYSE American Notifies Yuma Energy, Inc. About Low Share Price Continued Listing Deficiency

Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE NYSE American Notifies Yuma Energy, Inc. About Low Share Price Continued Listing Deficiency HOUSTON, TX – (PR Newswire – January 10, 2019) – Yuma Energy, Inc. (NYSE American: YUMA) (the “Company”) today announced that on January 4, 2019, it received a deficiency letter (“Letter”) from the NYSE American LLC (the “NYSE American”) stock exchange indicating

JOINT FILING AGREEMENT

EX-99.1 Exhibit 99.1 JOINT FILING AGREEMENT The undersigned agree that this filing relating to the Common Stock of Yuma Energy, Inc., a Delaware corporation, shall be filed on behalf of the undersigned. DAVIS PETROLEUM INVESTMENT, LLC By: Evercore Partners II L.L.C., its managing member By: /s/ Robert Walsh Name: Robert Walsh Title: Authorized Person EVERCORE PARTNERS II LLC By: /s/ Robert Walsh N

YUMA / Yuma Energy, Inc. / Evercore Partners II LLC - SC 13D/A Activist Investment

SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 2)* Under the Securities Exchange Act of 1934 YUMA ENERGY, INC. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 98872E108 (CUSIP Number) Evercore Partners II LLC 55 East 52nd Street New York, New York 10055 (Name, Address and Telephone Number of Person Authori

Joint Filing Agreement (filed herewith).

EX-99.1 Exhibit 99.1 JOINT FILING AGREEMENT The undersigned agree that this filing relating to the Common Stock of Yuma Energy, Inc., a Delaware corporation, shall be filed on behalf of the undersigned. DAVIS PETROLEUM INVESTMENT, LLC By: Evercore Partners II LLC, its managing member By: /s/ Robert Walsh Name: Robert Walsh Title: Authorized Person EVERCORE PARTNERS II LLC By: /s/ Robert Walsh Name

YUMA / Yuma Energy, Inc. / Evercore Partners II LLC - SC 13D/A Activist Investment

SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 1)* Under the Securities Exchange Act of 1934 YUMA ENERGY, INC. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 98872E108 (CUSIP Number) Evercore Partners II LLC 55 East 52nd Street New York, New York 10055 (Name, Address and Telephone Number of Person Authori

YUMA / Yuma Energy, Inc. QUARTERLY REPORT (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 ☐ 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: 001-37932 Yuma Energy, Inc. (

Yuma Energy, Inc. Retains Seaport Global Securities LLC, and Reports Third Quarter 2018 Financial Results

Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Retains Seaport Global Securities LLC, and Reports Third Quarter 2018 Financial Results HOUSTON, TX – (PR Newswire – November 14, 2018) – Yuma Energy, Inc. (NYSE American: YUMA) (the “Company”) today announced that it has retained Seaport Global Securities LLC, an investment banking firm, to advise the Company on its strategic and tacti

Results of Operations and Financial Condition, 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: November 14, 2018 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 001-37932 (Commission File Number) 9

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: October 9, 2018 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 001-37932 (Commission File Number) 94-

LIMITED WAIVER

Exhibit 10.1 LIMITED WAIVER THIS LIMITED WAIVER (this “Waiver”) dated as of August 30, 2018, among YUMA ENERGY, INC., a Delaware corporation (“Yuma Energy”), YUMA EXPLORATION AND PRODUCTION COMPANY, INC., a Delaware corporation, PYRAMID OIL LLC, a California limited liability company, and DAVIS PETROLEUM CORP., a Delaware corporation (“Davis”, and together with Yuma Energy, Yuma Exploration and Pr

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: August 30, 2018 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-37932 94-0787340 (State or other jurisdiction of incorporation) (Commission File

Yuma Energy, Inc. Provides an Update to its Liquidity and Operations, and Reports Second Quarter 2018 Financial Results

Exhibit 99.1 NEWS RELEASE Yuma Energy, Inc. Provides an Update to its Liquidity and Operations, and Reports Second Quarter 2018 Financial Results HOUSTON, TX – (PR Newswire – August 9, 2018) – Yuma Energy, Inc. (NYSE American: YUMA) (the “Company” or “Yuma”) today provided information related to its liquidity and operations. The Company also reported its financial results for› the quarter ended Ju

Results of Operations and Financial Condition, 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: August 9, 2018 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 001-37932 (Commission File Number) 94-0

YUMA / Yuma Energy, Inc. QUARTERLY REPORT (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 ☐ 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: 001-37932 Yuma Energy, Inc. (Exact

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: July 31, 2018 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 001-37932 (Commission File Number) 94-07

YUMA / Yuma Energy, Inc. WAIVER AND THIRD AMENDMENT TO CREDIT AGREEMENT DATED JULY 31, 2018

Exhibit 10.1 WAIVER AND THIRD AMENDMENT TO CREDIT AGREEMENT THIS WAIVER AND THIRD AMENDMENT TO CREDIT AGREEMENT (this “Amendment”) dated as of July 31, 2018 among YUMA ENERGY, INC., a Delaware corporation (“Yuma Energy”), YUMA EXPLORATION AND PRODUCTION COMPANY, INC., a Delaware corporation, PYRAMID OIL LLC, a California limited liability company, and DAVIS PETROLEUM CORP., a Delaware corporation

YUMA / Yuma Energy, Inc. LONG-TERM INCENTIVE PLAN

Exhibit 10.2 YUMA ENERGY, INC. 2018 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

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Submission of Matters to a Vote of Security Holders, 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: June 7, 2018 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 001-37932 (Commission File Number) 94-078

Yuma Energy, Inc. Announces it is Actively Seeking Strategic Alternatives, Provides an update to its Liquidity and Operations, and Reports First Quarter 2018 Financial Results

Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces it is Actively Seeking Strategic Alternatives, Provides an update to its Liquidity and Operations, and Reports First Quarter 2018 Financial Results HOUSTON, TX – (PR Newswire – May 11, 2018) – Yuma Energy, Inc. (NYSE American: YUMA) (the “Company” or “Yuma”) today announced that it is actively seeking strategic alternatives an

Results of Operations and Financial Condition, 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: May 11, 2018 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 001-37932 (Commission File Number) 94-078

YUMA / Yuma Energy, Inc. QUARTERLY REPORT (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 ☐ 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: 001-37932 Yuma Energy, Inc. (Exac

LIMITED WAIVER AND SECOND AMENDMENT TO CREDIT AGREEMENT AND BORROWING BASE REDETERMINATION

Exhibit 10.1 Execution Version LIMITED WAIVER AND SECOND AMENDMENT TO CREDIT AGREEMENT AND BORROWING BASE REDETERMINATION THIS LIMITED WAIVER AND SECOND AMENDMENT TO CREDIT AGREEMENT AND BORROWING BASE REDETERMINATION (this “Amendment”) dated as of May 8, 2018, but effective as of March 31, 2018, among YUMA ENERGY, INC., a Delaware corporation (“Yuma Energy”), YUMA EXPLORATION AND PRODUCTION COMPA

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: May 8, 2018 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-37932 94-0787340 (State or other jurisdiction of incorporation) (Commission File Numb

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

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 25, 2018 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 001-37932 (Commission File Number) 94-0

YUMA / Yuma Energy, Inc. 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 ☑ 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)

YUMA / Yuma Energy, Inc. DEFINITIVE 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 Commission Only (as permitted by Rule 14a-6(e)

Results of Operations and Financial Condition, 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: April 2, 2018 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-37932 94-0787340 (State or other jurisdictionof incorporation) (Commission File Num

Yuma Energy, Inc. Announces 2017 Financial Results

Exhibit 99.1 Yuma Energy, Inc. NEWS RELEASE Yuma Energy, Inc. Announces 2017 Financial Results HOUSTON, TX – (PR Newswire – April 2, 2018) – Yuma Energy, Inc. (NYSE American: YUMA) (the “Company” or “Yuma”) today announced its financial results for the year ended December 31, 2017. Year End 2017 Highlights ● Yuma spud its first San Andres horizontal well in December 2017 and completed it during th

February 8, 2018

Exhibit 99.1 February 8, 2018 Mr. Sam L. Banks Yuma Energy, 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, 2017, to the Yuma Energy, Inc. (Yuma) interest in certain oil and gas properties located in California, Louisiana, North Dakota, Oklahoma, and Texas. We co

YUMA / Yuma Energy, Inc. ANNUAL REPORT (Annual Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 ☐ 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: 001-37932 Yuma Energy, Inc. (Exact nam

List of 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 Davis Petroleum Acquisition Corp. Davis Petroleum Pipeline LLC Davis GOM Holdings, LLC Davis Petroleum Corp.

Yuma Energy, Inc.

Filed Pursuant to Rule 424(b)(5) Registration No. 333-222566 PROSPECTUS $75,000,000 Yuma Energy, Inc. Common Stock Preferred Stock Debt Securities Depositary Shares Warrants Rights Units Guarantees of Debt Securities We may offer and sell from time to time, in one or more series or issuances and on terms that we will determine at the time of the offering, any combination of the securities describe

YUMA / Yuma Energy, Inc. CORRESP

Yuma Energy, Inc. 1177 West Loop South, Suite 1825 Houston, TX 77027 (713) 968-7000 January 31, 2018 VIA EDGAR H. Roger Schwall Assistant Director U.S. Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.E. Washington, DC 20549 Re: Yuma Energy, Inc. Registration Statement on Form S-3 Filed January 16, 2018 File No. 333-222566 Dear Mr. Schwall: Pursuant to Rule 461 prom

YUMA / Yuma Energy, Inc. FORM S-3/A

Blueprint As filed with the Securities and Exchange Commission on January 30, 2018 Registration No.

YUMA / Yuma Energy, Inc. QUARTERLY REPORT (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 ☐ 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: 001-37932 Yuma Energy, Inc. (

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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 YUMA Energy (Name of Issuer) Sanders Morris Harris LLC (Title of Class of Securities) 98872F105 (CUSIP Number) David Block 600 Travis Suite 5900 Houston Texas 77002 713 2264808 (Name, Address and Telephone Number of Person Authorized to Receieve Notices and Communications)

YUMA / Yuma Energy, Inc. QUARTERLY REPORT (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 ☐ 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: 001-37932 Yuma Energy, Inc. (Exact

Yuma Energy FORM S-8

Blueprint As filed with the Securities and Exchange Commission on January 18, 2017 Registration No.

Financial Statements and Exhibits

Blueprint UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 3) 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) DELAWARE (State or other jurisdiction of incorporation) 0001672

DAVIS PETROLEUM ACQUISITION CORP. CONSOLIDATED FINANCIAL STATEMENTS DECEMBER 31, 2015 AND 2014 (With Independent Auditor?s Report Thereon) Table of Contents

Blueprint Exhibit 99.4 DAVIS PETROLEUM ACQUISITION CORP. CONSOLIDATED FINANCIAL STATEMENTS DECEMBER 31, 2015 AND 2014 (With Independent Auditor?s Report Thereon) Table of Contents Independent Auditor?s Report 1 Consolidated Balance Sheets 2 Consolidated Income Statements 3 Consolidated Statements of Cash Flows 4 Consolidated Statements of Changes in Stockholders? Equity 5 Notes to the Consolidated

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Blueprint Exhibit 99.7 UNAUDITED PRO FORMA CONDENSED CONSOLIDATED COMBINED FINANCIAL INFORMATION OF YUMA DELAWARE Introduction On February 10, 2016 and as amended on September 2, 2016, Yuma Energy, Inc., a California corporation, and certain of its wholly-owned subsidiaries (collectively, ?Yuma?), and privately-held Davis Petroleum Acquisition Corp. a Delaware corporation (?Davis?), entered into a

DAVIS PETROLEUM ACQUISITION CORP. CONSOLIDATED FINANCIAL STATEMENTS SEPTEMBER 30, 2016 Table of Contents

Blueprint Exhibit 99.3 DAVIS PETROLEUM ACQUISITION CORP. CONSOLIDATED FINANCIAL STATEMENTS SEPTEMBER 30, 2016 Table of Contents Consolidated Balance Sheets 1 Consolidated Income Statements 2 Consolidated Statements of Cash Flows 3 Consolidated Statements of Changes in Stockholders? Equity 4 Notes to the Consolidated Financial Statements 5 DAVIS PETROLEUM ACQUISITION CORP. CONSOLIDATED BALANCE SHEE

Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets

Blueprint UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 2) 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) DELAWARE (State or other jurisdiction of incorporation) 0001672

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

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 20, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 0001672326 81-2235304 (State or other jurisdiction of incorporation) (Commission Fi

JOINT FILING AGREEMENT

EX-99.1 2 d286995dex991.htm EX-99.1 Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Schedule 13D (including any and all amendments thereto) with respect to the common stock, $0.001 per share, of Yuma Energy, Inc., and further agree that th

Yuma Energy SC 13D (Activist Acquisition of More Than 5% of Shares)

SC 13D 1 d286995dsc13d.htm SC 13D UNITED STATES 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, par value $0.001 per share (Title of Class of Securities) 98872F 105 (CUSIP Number) Red Mountain Capital Partners LLC Attn: Willem Mesdag 10100 Santa Monica Boulevard, Suit

Yuma Energy LOCK-UP AGREEMENT

Blueprint Exhibit 4 LOCK-UP AGREEMENT Agreement and Plan of Merger and Reorganization dated as of February 10, 2016 by and among Yuma Energy, Inc.

Yuma Energy SCHEDULE 13D (Activist Acquisition of More Than 5% of Shares)

SC 13D 1 yumasc13d.htm SCHEDULE 13D UNITED STATES 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, $0.001 par value (Title of Class of Securities) 98872F10 5 (CUSIP Number) Reid. A Godbolt, Esq. Jones & Keller, P.C. 1999 Broadway, Suite 3150 Denver, Colorado 80202 (303)

JOINT FILING AGREEMENT

EX-99.1 Exhibit 99.1 JOINT FILING AGREEMENT The undersigned agree that this filing relating to the Common Stock of Yuma Energy, Inc., a Delaware corporation, shall be filed on behalf of the undersigned. DAVIS PETROLEUM INVESTMENT, LLC By: Evercore Partners II L.L.C., its managing member By: /s/ Robert B. Walsh Name: Robert B. Walsh Title: Treasurer EVERCORE PARTNERS II LLC By: /s/ Robert B. Walsh

YUMA / Yuma Energy, Inc. / Evercore Partners II LLC - SC 13D Activist Investment

SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. [ ])* Under the Securities Exchange Act of 1934 YUMA ENERGY, INC. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 98872E108 (CUSIP Number) Evercore Partners II LLC 55 East 52nd Street New York, New York 10055 (Name, Address and Telephone Number of Person Authori

Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant

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: October 26, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 0001672326 81-2235304 (State or other jurisdiction of incorporat

November 3, 2016

Blueprint Exhibit 16.1 November 3, 2016 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by Yuma Energy, Inc. (formerly Yuma Delaware Merger Subsidiary, Inc.) (copy attached), which we understand will be filed with the Securities and Exchange Commission, pursuant to Item 4.01 of Form 8-K, as part of the Form 8-K/A of Yuma En

YUMA ENERGY, INC. PROVIDES INFORMATION REGARDING ITS RECENTLY COMPLETED MERGER WITH DAVIS PETROLEUM ACQUISITION CORP. AND ITS 1-FOR-20 REVERSE STOCK SPLIT

Blueprint Exhibit 99.1 NEWS RELEASE YUMA ENERGY, INC. PROVIDES INFORMATION REGARDING ITS RECENTLY COMPLETED MERGER WITH DAVIS PETROLEUM ACQUISITION CORP. AND ITS 1-FOR-20 REVERSE STOCK SPLIT HOUSTON, TEXAS ? November 1, 2016 ? Yuma Energy, Inc. (NYSE MKT: YUMA) (?Yuma?) announced today that upon consummation of the transaction with Davis Petroleum Acquisition Corp. (?Davis?) that was completed on

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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: November 1, 2016 (Date of earliest event reported) Yuma Energy, Inc. (Exact name of registrant as specified in its charter) DELAWARE 0001672326 81-2235304 (State or other jurisdiction of incorporation) (Comm