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 which this Schedule is filed:
[X] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see Instructions).
CUSIP No.: 98872E108
| 1 | NAME OF REPORTING PERSON Sanders Harris Morris LLC I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) 760224835 | ||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] | ||
| 3 | SEC USE ONLY | ||
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Texas | ||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER None | |
| 6 | SHARED VOTING POWER None | ||
| 7 | SOLE DISPOSITIVE POWER None | ||
| 8 | SHARED DISPOSITIVE POWER 7,428,668 | ||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,428,668 | ||
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] | ||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.37% | ||
| 12 | TYPE OF REPORTING PERSON IA/BD | ||
CUSIP No.: 98872E108
| ITEM 1(a). | NAME OF ISSUER: Yuma Energy, Inc. | |
| ITEM 1(b). | ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 1177 West Loop South, Suite 1825, Houston, TX 77027 | |
| ITEM 2(a). | NAME OF PERSON FILING: Sanders Harris Morris LLC | |
| ITEM 2(b). | ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 600 Travis, Houston Texas,77002 | |
| ITEM 2(c). | CITIZENSHIP: Texas | |
| ITEM 2(d). | TITLE OF CLASS OF SECURITIES: Common Stock, No par value | |
| ITEM 2(e). | CUSIP NUMBER: 98872E108 | |
| ITEM 3. | IF THIS STATEMENT IS FILED PURSUANT TO SECTION 240.13d-1(b), or 13d-2(b) or (c) CHECK WHETHER THE PERSON FILING IS A: | |
(a) [X] | Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78c); | |
(b) [ ] | Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c); | |
(c) [ ] | Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c); | |
(d) [ ] | Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8); | |
(e) [X] | An investment adviser in accordance with 240.13d-1(b)(1)(ii)(E); | |
(f) [ ] | An employee benefit plan or endowment fund in accordance with 240.13d-1(b)(1)(ii)(F); | |
(g) [ ] | A parent holding company or control person in accordance with 240.13d-1(b)(1)(ii)(G); | |
(h) [ ] | A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); | |
(i) [ ] | A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); | |
(j) [ ] | A non-U.S. institution in accordance with 240.13d-1(b)(1)(ii)(J); | |
(k) [ ] | Group, in accordance with 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with 240.13d1(b)(1)(ii)(J), please specify the type of institution: | |
CUSIP No.: 98872E108
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Sanders Harris Morris LLC By: /s/ Name: Title: |
Attention — Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001).