Current Report Filing (8-k)
04 9월 2019 - 5:43AM
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: August 30, 2019
(Date of earliest event reported)
Yuma Energy, Inc.
(Exact name of registrant as specified in its charter)
DELAWARE
(State or other jurisdiction
of incorporation)
|
|
001-37932
(Commission File Number)
|
|
94-0787340
(IRS Employer Identification No.)
|
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)
|
|
|
|
(Former name or former address, if changed since last
report)
|
|
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:
☐ Written
communications pursuant to Rule 425 under the Securities Act (17
CFR 230.425)
☐ Soliciting material
pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
☐ Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17
CFR 240.14d-2(b))
☐ Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17
CFR 240.13e-4(c))
Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class
|
Trading
Symbol(s)
|
Name of
each exchange on which registered
|
Common Stock, $0.001 par value per share
|
YUMA
|
NYSE American LLC
|
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.
As
previously disclosed, on June 17, 2019 and on August 22, 2019, Yuma
Energy, Inc. (the “Company”) received letters from
the NYSE American LLC (the “NYSE American”)
indicating that the NYSE American determined that the Company was
not in compliance with the continued listing standards relating to
stockholders’ equity set forth in
Sections 1003(a)(ii) and 1003(a)(iii) of the NYSE
American Company Guide (the “Company
Guide”).
On July
16, 2019, the Company submitted a plan of compliance to the NYSE
American addressing how it intends to regain compliance with
Section 1003(a)(iii) of the Company Guide by December 17, 2020.
Thereafter, the Company provided supplemental submissions to the
NYSE American addressing how it intends to regain compliance with
Section 1003(a)(iii) of the Company Guide. On August 30, 2019, the
Company received a letter (the “Letter”) from the NYSE
American stating that the Company’s plan of compliance has
been accepted and the Company has been granted a plan period
through December 17, 2020.
The
Company’s common stock will continue to be listed on the NYSE
American while it attempts to regain compliance with the listing
standards noted, subject to the Company’s compliance with
other continued listing requirements.
Item 7.01. Regulation FD Disclosure.
On
September 3, 2019, the Company issued a press release regarding the
receipt of the Letter from the NYSE American,
which is included as Exhibit 99.1 to this Current Report on Form
8-K and is incorporated herein by reference.
The
information in this Current Report on Form 8-K furnished pursuant
to Item 7.01, including Exhibit 99.1, shall not be deemed to be
“filed” for the purposes of Section 18 of the
Securities Exchange Act of 1934, as amended (the “Exchange
Act”), or otherwise subject to liability under that section,
and it shall not be deemed incorporated by reference in any filing
under the Securities Act of 1933, as amended, or the Exchange Act,
except as shall be expressly set forth by specific reference in
such filing. By filing this Current Report on Form 8-K and
furnishing this information pursuant to Item 7.01, the Company
makes no admission as to the materiality of any information in this
Current Report on Form 8-K, including Exhibit 99.1, that is
required to be disclosed solely by Regulation FD.
Item 9.01. Financial Statements and Exhibits.
The
following exhibit is furnished with this Current Report on Form
8-K:
Exhibit No.
|
|
Description
|
|
|
|
Press
Release dated September 3, 2019.
|
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.
|
|
|
|
|
|
YUMA ENERGY, INC.
|
|
|
|
|
|
|
|
|
By:
|
/s/
Anthony C. Schnur
|
|
|
|
Name:
|
Anthony
C. Schnur
|
|
Date:
September 3, 2019
|
|
Title:
|
Interim
Chief Executive Officer, Interim Chief Financial Officer and Chief
Restructuring Officer
|
|
Yuma Energy (AMEX:YUMA)
과거 데이터 주식 차트
부터 5월(5) 2024 으로 6월(6) 2024
Yuma Energy (AMEX:YUMA)
과거 데이터 주식 차트
부터 6월(6) 2023 으로 6월(6) 2024