X0306 4 2016-12-22 0 0001672326 Yuma Energy, Inc. YUMA 0001374566 MESDAG WILLEM 10100 SANTA MONICA BOULEVARD, SUITE 925 LOS ANGELES CA 90067 0 0 1 0 0001374588 RED MOUNTAIN CAPITAL PARTNERS LLC 10100 SANTA MONICA BOULEVARD SUITE 925 LOS ANGELES CA 90067 0 0 1 0 0001374607 RED MOUNTAIN CAPITAL MANAGEMENT INC 10100 SANTA MONICA BOULEVARD SUITE 925 LOS ANGELES CA 90067 0 0 1 0 0001374606 RMCP GP LLC 10100 SANTA MONICA BOULEVARD SUITE 925 LOS ANGELES CA 90067 0 0 1 0 0001688392 RMCP DPC II LLC 10100 SANTA MONICA BOULEVARD, SUITE 925 LOS ANGELES CA 90067 0 0 1 0 0001688393 RMCP DPC LLC 10100 SANTA MONICA BOULEVARD, SUITE 925 SANTA MONICA CA 90067 0 0 1 0 0001688395 RMCP PIV DPC, L.P. 10100 SANTA MONICA BOULEVARD, SUITE 925 LOS ANGELES CA 90067 0 0 1 0 0001688394 RMCP PIV DPC II, L.P. 10100 SANTA MONICA BOULEVARD, SUITE 925 LOS ANGELES CA 90067 0 0 1 0 Common Stock 2016-12-22 4 P 0 25000 3.7304 A 2600052 I See Footnote and Remarks below. Common Stock 2016-12-23 4 P 0 3000 3.7653 A 2603052 I See Footnote and Remarks below. Series D Convertible Preferred Stock 11.074 Common Stock 1743313 1743313 I See Footnote and Remarks below. These shares of Common Stock were purchased by Red Mountain Capital Partners LLC ("RMCP") on the open market. The price reported in Column 4 is a weighted average per share purchase price. These shares were purchased in multiple transactions at prices ranging from $3.605 to $3.90, inclusive. Each of RMCP PIV DPC, L.P. ("DPC PIV"), RMCP DPC LLC ("DPC"), RMCP GP LLC ("RMCP GP"), RMCP, Red Mountain Capital Management, Inc. ("RMCM"), and Willem Mesdag undertakes to provide to Yuma Energy, Inc. (the "Company"), any securityholder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the price at which these shares were purchased. 2,525,052 of these shares are held directly by DPC PIV and the remaining shares are held directly by RMCP. These shares of Common Stock were purchased by RMCP on the open market. The price reported in Column 4 is a weighted average per share purchase price. These shares were purchased in multiple transactions at prices ranging from $3.70 to $3.80, inclusive. Each of DPC PIV, DPC, RMCP GP, RMCP, RMCM, and Mr. Mesdag undertakes to provide to the Company, any securityholder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the price at which these shares were purchased. The Series D Convertible Preferred Stock is convertible into shares of Common Stock at the option of the holder at any time or upon certain mandatory triggering events and has no expiration date. These shares are held directly by RMCP PIV DPC II, L.P. ("DPC PIV II"). This Form 4 is jointly filed by (i) DPC PIV, (ii) DPC PIV II, (iii) DPC, (iv) RMCP DPC II LLC ("DPC II"), (v) RMCP GP, (vi) RMCP, (vii) RMCM and (viii) Mr. Mesdag. DPC is the general partner of DPC PIV. DPC II is the general partner of DPC PIV II. RMCP GP is the managing member of DPC. RMCP is the managing member of each of RMCP GP and DPC II. RMCM is the managing member of RMCP. Willem Mesdag is the president, sole executive officer, sole director and sole shareholder of RMCM. Each of Mr. Mesdag, RMCM, RMCP, RMCP GP and DPC by virtue of their direct or indirect control of DPC PIV, may be deemed to beneficially own some or all of the securities reported as being held by DPC PIV in this Form 4. Each of Mr. Mesdag and RMCM, by virtue of their direct or indirect control of RMCP, may be deemed to beneficially own some or all of the securities reported as being held by RMCP in this Form 4. Each of Mr. Mesdag, RMCM, RMCP and DPC II by virtue of their direct or indirect control of DPC PIV II, may be deemed to beneficially own some or all of the securities reported as being held by DPC PIV II in this Form 4. Each of the reporting persons hereunder disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein. This Form 4 shall not be deemed to be an admission that any reporting person hereunder is the beneficial owner of any of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. /s/ Willem Mesdag (on behalf of himself and the other Reporting Persons) 2016-12-27