Current Report Filing (8-k)
January 10 2019 - 4:26PM
Edgar (US Regulatory)
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
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001-37932
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94-0787340
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(State or other
jurisdiction
of
incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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1177 West Loop
South, Suite 1825
Houston, Texas
77027
(Address of
principal executive offices) (Zip Code)
(713)
968-7000
(Registrant’s
telephone number, including area code)
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(Former name or
former address, if changed since last report)
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Check the appropriate box below if
the Form 8-K filing is intended to simultaneously satisfy the
filing obligation of the registrant under any of the following
provisions:
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⬜
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Written communications pursuant to
Rule 425 under the Securities Act (17 CFR
230.425)
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⬜
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Soliciting material pursuant to
Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
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⬜
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Pre-commencement communications
pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR
240.14d-2(b))
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⬜
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Pre-commencement communications
pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR
240.13e-4(c))
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Indicate by check mark whether the
registrant is an emerging growth company as defined in Rule 405 of
the Securities Act of 1933 (§230.405 of this chapter) or Rule
12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of
this chapter).
Emerging growth company
☐
If an emerging growth company,
indicate by check mark if the registrant has elected not to use the
extended transition period for complying with any new or revised
financial accounting standards provided pursuant to Section 13(a)
of the Exchange Act. ☐
Item 3.01.
Notice
of Delisting or Failure to Satisfy a Continued Listing Rule or
Standard; Transfer of Listing.
On January 4,
2019, Yuma Energy, Inc. (the “Company”) received
a letter (the “Letter”) from the NYSE
American LLC (the “NYSE American”) indicating that the
NYSE American has determined, pursuant to
Section 1003(f)(v) of the NYSE American Company Guide,
that the Company’s common stock has been selling for a low
price per share for a substantial period of time.
Accordingly, the Letter states that the Company must effect a
reverse stock split of its common stock or otherwise demonstrate
sustained price improvement by no later than July 4, 2019, in order
to maintain the listing of the Company’s common stock on the
NYSE American. The Company intends to regain compliance with the
listing standards of the NYSE American by undertaking a measure or
measures that are for the best interests of the Company and its
stockholders.
A copy of the
Company’s press release dated January 10, 2019, regarding the
receipt of the Letter from the NYSE American is
included as Exhibit 99.1 to this Current Report on
Form 8-K and is incorporated herein by
reference.
Item
9.01.
Financial
Statements and Exhibits.
The following exhibit is included
with this Current Report on Form 8-K:
Exhibit
No.
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Description
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Press Release dated January 10,
2019.
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SIGNATURE
Pursuant to the requirements of the
Securities Exchange Act of 1934, the registrant has duly caused
this report to be signed on its behalf by the undersigned hereunto
duly authorized.
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YUMA ENERGY,
INC.
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Date:
January 10, 2019
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By:
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/s/
Sam
L. Banks
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Name:
Sam
L. Banks
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Title:
Chief Executive
Officer
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