Yuma Energy, Inc. (YUMA) [Rocket]

Date	Name	Title	Type	Security	Shares	Price	Value	Ownership	Reported
12/31/2020	MESDAG WILLEM	10% Owner	Other (disposition)	Series D Convertible Preferred Stock	2.2M	$0.00	$0	See Footnote and Remarks Below	12/31/2020
12/31/2020	MESDAG WILLEM	10% Owner	Other (disposition)	Common Stock	169.5k	$0.00	$0	See Footnote and Remarks Below	12/31/2020
05/31/2018	Jacobs James J	CFO	Payment of Exercise	Common Stock	2k	$0.40	$816		05/31/2018
05/31/2018	Banks Sam L.	CEO	Payment of Exercise	Common Stock	4.3k	$0.40	$1.7k		05/31/2018
05/31/2018	McKinney Paul D.	President and COO	Payment of Exercise	Common Stock	2.9k	$0.40	$1.2k		05/31/2018
02/09/2018	Lodzinski Frank Alan	Director	Gift	Common Stock	4.3k	$0.00	$0		02/09/2018
02/09/2018	Lodzinski Frank Alan	Director	Gift	Common Stock	4.3k	$0.00	$0	By Azure Energy, LLC	02/09/2018
02/06/2018	Jacobs James J	CFO	Grant	Common Stock	157.5k	$0.00	$0		02/06/2018
02/06/2018	Jacobs James J	CFO	Payment of Exercise	Common Stock	61.5k	$1.15	$70.7k		02/06/2018
02/06/2018	Banks Sam L.	CEO	Grant	Common Stock	200k	$0.00	$0		02/06/2018
02/06/2018	Banks Sam L.	CEO	Payment of Exercise	Common Stock	75.5k	$1.15	$86.9k		02/06/2018
02/06/2018	McKinney Paul D.	President and COO	Payment of Exercise	Common Stock	77k	$1.15	$88.5k		02/06/2018
02/06/2018	McKinney Paul D.	President and COO	Grant	Common Stock	200k	$0.00	$0		02/06/2018
05/31/2017	McKinney Paul D.	President and COO	Payment of Exercise	Common Stock	2.9k	$1.77	$5.2k		05/31/2017
05/31/2017	Banks Sam L.	CEO	Payment of Exercise	Common Stock	4.3k	$1.77	$7.7k		05/31/2017
04/20/2017	McKinney Paul D.	President and COO	Grant	Stock Appreciation Right (cash settled)	159.1k	$4.40	$700k		04/20/2017
04/20/2017	McKinney Paul D.	President and COO	Grant	Stock Appreciation Right (cash settled)	341.5k	$4.40	$1.5M		04/20/2017
04/20/2017	McKinney Paul D.	President and COO	Grant	Stock Options	297.9k	$2.56	$762.6k		04/20/2017
04/20/2017	Jacobs James J	CFO	Grant	Stock Appreciation Right (cash settled)	268.3k	$4.40	$1.2M		04/20/2017
04/20/2017	Jacobs James J	CFO	Grant	Stock Appreciation Right (cash settled)	125k	$4.40	$550k		04/20/2017
04/20/2017	Jacobs James J	CFO	Grant	Stock Options	234k	$2.56	$599.2k		04/20/2017
04/20/2017	Teets John Christopher	Director	Grant	Common Stock	17k	$0.00	$0		04/20/2017
04/20/2017	Mital Neeraj	Director	Grant	Common Stock	17k	$0.00	$0		04/20/2017
01/03/2017	Banks Sam L.	CEO	Payment of Exercise	Common Stock	807	$3.76	$3k		01/03/2017
12/23/2016	MESDAG WILLEM	10% Owner	Purchase	Common Stock	3k	$3.77	$11.3k	See Footnote and Remarks below.	12/22/2016
12/22/2016	MESDAG WILLEM	10% Owner	Purchase	Common Stock	25k	$3.73	$93.3k	See Footnote and Remarks below.	12/22/2016
12/16/2016	MESDAG WILLEM	10% Owner	Purchase	Common Stock	8.1k	$3.39	$27.4k	See Footnote and Remarks below.	12/14/2016
12/15/2016	MESDAG WILLEM	10% Owner	Purchase	Common Stock	10.6k	$3.42	$36.4k	See Footnote and Remarks below.	12/14/2016
12/14/2016	MESDAG WILLEM	10% Owner	Purchase	Common Stock	13.1k	$3.52	$45.9k	See Footnote and Remarks below.	12/14/2016
11/21/2016	Lodzinski Frank Alan	Director	Other (disposition)	Common Stock	18.8k	$0.00	$0		11/21/2016
11/21/2016	Lodzinski Frank Alan	Director	Other (acquisition)	Common Stock	18.8k	$0.00	$0	By Azure Energy, LLC	11/21/2016