0001085146-17-002129.txt : 20171027 0001085146-17-002129.hdr.sgml : 20171027 20171027163534 ACCESSION NUMBER: 0001085146-17-002129 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20171027 DATE AS OF CHANGE: 20171027 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Yuma Energy, Inc. CENTRAL INDEX KEY: 0001672326 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 812235304 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-89689 FILM NUMBER: 171159842 BUSINESS ADDRESS: STREET 1: 1177 WEST LOOP SOUTH STREET 2: SUITE 1825 CITY: HOUSTON STATE: TX ZIP: 77027 BUSINESS PHONE: 713-968-7000 MAIL ADDRESS: STREET 1: 1177 WEST LOOP SOUTH STREET 2: SUITE 1825 CITY: HOUSTON STATE: TX ZIP: 77027 FORMER COMPANY: FORMER CONFORMED NAME: Yuma Delaware Merger Subsidiary, Inc. DATE OF NAME CHANGE: 20160415 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SANDERS MORRIS HARRIS LLC CENTRAL INDEX KEY: 0001053994 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 3100 CHASE TOWER CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 7132243100 MAIL ADDRESS: STREET 1: 600 TRAVIS, SUITE 5900 CITY: HOUSTON STATE: TX ZIP: 77002 FORMER COMPANY: FORMER CONFORMED NAME: SANDERS MORRIS HARRIS INC. DATE OF NAME CHANGE: 20110404 FORMER COMPANY: FORMER CONFORMED NAME: SMH CAPITAL INC. DATE OF NAME CHANGE: 20080311 FORMER COMPANY: FORMER CONFORMED NAME: SANDERS MORRIS HARRIS INC/FA DATE OF NAME CHANGE: 20000208 SC 13D 1 yuma_102717.htm SANDERS MORRIS HARRIS LLC yuma_102717.htm
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)
October 17, 2017
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. [X]
* 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 disclosures provided in a prior cover page
The information required on the remainder of this cover page shall not be deemed to be filed for the purposes of Section 18 of the Securities Exchange Act of 1934 (the 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 the Instructions).
CUSIP No.: 98872F105
    
1
NAME OF REPORTING PERSON:
Sanders Morris Harris 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 SOURCE OF FUNDS:
SMH LLC in its capacity as a Broker Dealer, used funds provided through the accounts of certain of its clients to purchase the Securities reported as beneficially owned
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
[   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Texas
NUMBER OF SHARES
BENEFICIALLY OWNED
BY EACH REPORTING
PERSON WITH 		7 SOLE VOTING POWER
5,299,686
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
5,299,686
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,299,686
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
23.92%
14 TYPE OF REPORTING PERSON
Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78c) An investment adviser in accordance with 240.13d-1(b)(1)(ii)(E)
CUSIP No.: 98872F105
ITEM 1. SECURITY AND ISSUER:
YUMA Energy, Inc.
ITEM 2. IDENTITY AND BACKGROUND:
Common Stock no par value
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION:
Funds provided through the accounts of certain of its clients to purchase the Securities reported as beneficially owned
ITEM 4. PURPOSE OF TRANSACTION:
The Securities reported as beneficially owned were purchased by SMH LLC in its capacity as a Broker Dealer on behalf of its clients for investment purposes in the ordinary course of business.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER:
none
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER:
none
ITEM 7. MATERIALS TO BE FILES AS EXHIBITS:
none
CUSIP No.: 98872F105
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.
October 27 2017
Sanders Morris Harris LLC
By:
/s/ David Block
Name:
David BLock
Title:
Operations Manager
Attention — Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001).