Banks Sam L. Form 3 Yuma Energy / Sam L. Banks ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Banks Sam L.

(Last) (First) (Middle)

1177 WEST LOOP SOUTH

SUITE 1825

(Street)

HOUSTON TX 77027

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
10/26/2016

3. Issuer Name and Ticker or Trading Symbol
Yuma Energy, Inc. [ YUMA ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	X	10% Owner
X	Officer (give title below)		Other (specify below)
President and CEO

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	2,102,138(1)(2)	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Appreciation Rights	(3)	08/22/2018	Common Stock	28,530	12.1(4)	D

Explanation of Responses:

1. Reflects the undersigned?s beneficial ownership of shares of common stock of the Issuer after the reincorporation of Yuma Energy, Inc., a California corporation, to Delaware and the 1-for-20 reverse stock split.

2. Includes shares from restricted stock awards after accounting for the reincorporation and the 1-for-20 reverse stock split that vest as to 1,893 shares on January 1, 2017, 11,614 shares on May 31, 2017, and 11,613 shares on May 31, 2018.

3. The stock appreciation right award reflects the reincorporation and the 1-for-20 reverse stock split, and vested as to 9,510 SARs on May 31, 2016, and vests as to 9,510 SARs on May 31, 2017 and as to 9,510 SARs on May 31, 2018.

4. Reflects accounting for reincorporation and 1-for-20 reverse stock split.

	/s/ Sam L. Banks	11/07/2016
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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