organization · Reporting owner

RMCP DPC LLC

Disclosed activity across 2 companies

Tapewire entity: 106289
SEC CIK: 0001688393

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Yuma Energy, Inc.YUMA · Entity 181241	10% owner	November 07, 2016	November 08, 2016

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Yuma Energy, Inc.

Report date November 07, 2016 · Filed November 08, 2016 · Amendment

Jointly reported with MESDAG WILLEM, RED MOUNTAIN CAPITAL MANAGEMENT INC, RED MOUNTAIN CAPITAL PARTNERS LLC, RMCP GP LLC, RMCP DPC II LLC, RMCP PIV DPC, L.P., RMCP PIV DPC II, L.P.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

This filing explicitly reported no securities owned.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Yuma Energy, Inc.

Report date December 31, 2020 · Filed December 31, 2020

Jointly reported with MESDAG WILLEM, RED MOUNTAIN CAPITAL PARTNERS LLC, RED MOUNTAIN CAPITAL MANAGEMENT INC, RMCP GP LLC, RMCP DPC II LLC, RMCP PIV DPC, L.P., RMCP PIV DPC II, L.P.

Section 16 reporting ended · disclosed 2020-12-31. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote and Remarks Below	0	Reported balance After 2020-12-31 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2020-12-31 · Other · Disposed 169,473 · Balance 0 F1: The shares of Common Stock reported herein were held directly by RMCP PIV DPC, L.P. ("DPC PIV") and Red Mountain Capital Partners, LLC ("RMCP"). DPC PIV and RMCP relinquished, and irrevocably waived all rights to, all of the shares reported herein to and in favor of Yuma Energy, Inc. (the "Company") on December 31, 2020.
Series D Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $98.76	IndirectSee Footnote and Remarks Below	0	Reported balance After 2020-12-31 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2020-12-31 · Other · Disposed 2,212,316 · Balance 0 F2: Conversion price as of November 14, 2019, as reported by the Company in its Quarterly Report on Form 10-Q that was filed with the SEC on November 14, 2019. F4: The shares of Series D Preferred Stock reported herein were held directly by RMCP PIV DPC II, L.P. ("DPC PIV II"). DPC PIV II relinquished, and irrevocably waived all rights to, all of the shares reported herein to and in favor of the Company on December 31, 2020. F3: 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.

Filing footnotes · ownership attribution and instrument terms

F1: The shares of Common Stock reported herein were held directly by RMCP PIV DPC, L.P. ("DPC PIV") and Red Mountain Capital Partners, LLC ("RMCP"). DPC PIV and RMCP relinquished, and irrevocably waived all rights to, all of the shares reported herein to and in favor of Yuma Energy, Inc. (the "Company") on December 31, 2020.

F2: Conversion price as of November 14, 2019, as reported by the Company in its Quarterly Report on Form 10-Q that was filed with the SEC on November 14, 2019.

F3: 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.

F4: The shares of Series D Preferred Stock reported herein were held directly by RMCP PIV DPC II, L.P. ("DPC PIV II"). DPC PIV II relinquished, and irrevocably waived all rights to, all of the shares reported herein to and in favor of the Company on December 31, 2020.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
December 31, 2020 Filed Dec 31, 2020 19:32 UTC	Yuma Energy, Inc. YUMA · Entity 144264	OtherSeries D Convertible Preferred Stock · Derivative	2,212,316	Not disclosed Strike: $98.76	Not disclosed	Disclosure SEC source: 0001209191-20-065768 · doc4.xml · derivative · entry 2 MESDAG WILLEM · CIK 0001374566 · 10% owner RED MOUNTAIN CAPITAL PARTNERS LLC · CIK 0001374588 · 10% owner RED MOUNTAIN CAPITAL MANAGEMENT INC · CIK 0001374607 · 10% owner RMCP GP LLC · CIK 0001374606 · 10% owner RMCP DPC LLC · CIK 0001688393 · 10% owner RMCP DPC II LLC · CIK 0001688392 · 10% owner RMCP PIV DPC, L.P. · CIK 0001688395 · 10% owner RMCP PIV DPC II, L.P. · CIK 0001688394 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote and Remarks Below Disclosed balance after: 0 Underlying: Common Stock · 2,212,316 shares Expires not disclosed F2 · derivative.exercise_price: Conversion price as of November 14, 2019, as reported by the Company in its Quarterly Report on Form 10-Q that was filed with the SEC on November 14, 2019. F4 · price: The shares of Series D Preferred Stock reported herein were held directly by RMCP PIV DPC II, L.P. ("DPC PIV II"). DPC PIV II relinquished, and irrevocably waived all rights to, all of the shares reported herein to and in favor of the Company on December 31, 2020. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. F4 · ownership.nature: The shares of Series D Preferred Stock reported herein were held directly by RMCP PIV DPC II, L.P. ("DPC PIV II"). DPC PIV II relinquished, and irrevocably waived all rights to, all of the shares reported herein to and in favor of the Company on December 31, 2020. Read SEC document
December 31, 2020 Filed Dec 31, 2020 19:32 UTC	Yuma Energy, Inc. YUMA · Entity 144264	OtherCommon Stock	169,473	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-20-065768 · doc4.xml · nonDerivative · entry 1 MESDAG WILLEM · CIK 0001374566 · 10% owner RED MOUNTAIN CAPITAL PARTNERS LLC · CIK 0001374588 · 10% owner RED MOUNTAIN CAPITAL MANAGEMENT INC · CIK 0001374607 · 10% owner RMCP GP LLC · CIK 0001374606 · 10% owner RMCP DPC LLC · CIK 0001688393 · 10% owner RMCP DPC II LLC · CIK 0001688392 · 10% owner RMCP PIV DPC, L.P. · CIK 0001688395 · 10% owner RMCP PIV DPC II, L.P. · CIK 0001688394 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote and Remarks Below Disclosed balance after: 0 F1 · price: The shares of Common Stock reported herein were held directly by RMCP PIV DPC, L.P. ("DPC PIV") and Red Mountain Capital Partners, LLC ("RMCP"). DPC PIV and RMCP relinquished, and irrevocably waived all rights to, all of the shares reported herein to and in favor of Yuma Energy, Inc. (the "Company") on December 31, 2020. F1 · ownership.nature: The shares of Common Stock reported herein were held directly by RMCP PIV DPC, L.P. ("DPC PIV") and Red Mountain Capital Partners, LLC ("RMCP"). DPC PIV and RMCP relinquished, and irrevocably waived all rights to, all of the shares reported herein to and in favor of Yuma Energy, Inc. (the "Company") on December 31, 2020. Read SEC document
December 23, 2016 Filed Dec 27, 2016 15:11 UTC	Yuma Energy, Inc. YUMA · Entity 144264	PurchaseCommon Stock	3,000	$3.77	$11,295.90	Disclosure SEC source: 0001209191-16-156791 · doc4.xml · nonDerivative · entry 2 MESDAG WILLEM · CIK 0001374566 · 10% owner RED MOUNTAIN CAPITAL PARTNERS LLC · CIK 0001374588 · 10% owner RED MOUNTAIN CAPITAL MANAGEMENT INC · CIK 0001374607 · 10% owner RMCP GP LLC · CIK 0001374606 · 10% owner RMCP DPC II LLC · CIK 0001688392 · 10% owner RMCP DPC LLC · CIK 0001688393 · 10% owner RMCP PIV DPC, L.P. · CIK 0001688395 · 10% owner RMCP PIV DPC II, L.P. · CIK 0001688394 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote and Remarks below. Disclosed balance after: 2,603,052 F3 · price: 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. F2 · ownership.nature: 2,525,052 of these shares are held directly by DPC PIV and the remaining shares are held directly by RMCP. Read SEC document
December 22, 2016 Filed Dec 27, 2016 15:11 UTC	Yuma Energy, Inc. YUMA · Entity 144264	PurchaseCommon Stock	25,000	$3.73	$93,260.00	Disclosure SEC source: 0001209191-16-156791 · doc4.xml · nonDerivative · entry 1 MESDAG WILLEM · CIK 0001374566 · 10% owner RED MOUNTAIN CAPITAL PARTNERS LLC · CIK 0001374588 · 10% owner RED MOUNTAIN CAPITAL MANAGEMENT INC · CIK 0001374607 · 10% owner RMCP GP LLC · CIK 0001374606 · 10% owner RMCP DPC II LLC · CIK 0001688392 · 10% owner RMCP DPC LLC · CIK 0001688393 · 10% owner RMCP PIV DPC, L.P. · CIK 0001688395 · 10% owner RMCP PIV DPC II, L.P. · CIK 0001688394 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote and Remarks below. Disclosed balance after: 2,600,052 F1 · price: 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. F2 · ownership.nature: 2,525,052 of these shares are held directly by DPC PIV and the remaining shares are held directly by RMCP. Read SEC document
December 21, 2016 Filed Dec 21, 2016 18:25 UTC	Yuma Energy, Inc. YUMA · Entity 144264	PurchaseCommon Stock	13,100	$3.63	$47,550.38	Disclosure SEC source: 0001209191-16-156370 · doc4.xml · nonDerivative · entry 3 MESDAG WILLEM · CIK 0001374566 · 10% owner RED MOUNTAIN CAPITAL PARTNERS LLC · CIK 0001374588 · 10% owner RED MOUNTAIN CAPITAL MANAGEMENT INC · CIK 0001374607 · 10% owner RMCP GP LLC · CIK 0001374606 · 10% owner RMCP DPC II LLC · CIK 0001688392 · 10% owner RMCP DPC LLC · CIK 0001688393 · 10% owner RMCP PIV DPC, L.P. · CIK 0001688395 · 10% owner RMCP PIV DPC II, L.P. · CIK 0001688394 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote and Remarks below. Disclosed balance after: 2,575,052 F4 · price: 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 $3.42 to $3.73, inclusive. Each of DPC PIV, DPC, RMCP GP, RMCP LLC, 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. F2 · ownership.nature: 2,525,052 of these shares are held directly by RMCP PIV DPC, L.P. ("DPC PIV") and the remaining shares are held directly by RMCP. Read SEC document
December 20, 2016 Filed Dec 21, 2016 18:25 UTC	Yuma Energy, Inc. YUMA · Entity 144264	PurchaseCommon Stock	5,000	$3.41	$17,069.50	Disclosure SEC source: 0001209191-16-156370 · doc4.xml · nonDerivative · entry 2 MESDAG WILLEM · CIK 0001374566 · 10% owner RED MOUNTAIN CAPITAL PARTNERS LLC · CIK 0001374588 · 10% owner RED MOUNTAIN CAPITAL MANAGEMENT INC · CIK 0001374607 · 10% owner RMCP GP LLC · CIK 0001374606 · 10% owner RMCP DPC II LLC · CIK 0001688392 · 10% owner RMCP DPC LLC · CIK 0001688393 · 10% owner RMCP PIV DPC, L.P. · CIK 0001688395 · 10% owner RMCP PIV DPC II, L.P. · CIK 0001688394 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote and Remarks below. Disclosed balance after: 2,561,952 F3 · price: 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 $3.30 to $3.69, inclusive. Each of 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. F2 · ownership.nature: 2,525,052 of these shares are held directly by RMCP PIV DPC, L.P. ("DPC PIV") and the remaining shares are held directly by RMCP. Read SEC document
December 19, 2016 Filed Dec 21, 2016 18:25 UTC	Yuma Energy, Inc. YUMA · Entity 144264	PurchaseCommon Stock	100	$3.30	$330.00	Disclosure SEC source: 0001209191-16-156370 · doc4.xml · nonDerivative · entry 1 MESDAG WILLEM · CIK 0001374566 · 10% owner RED MOUNTAIN CAPITAL PARTNERS LLC · CIK 0001374588 · 10% owner RED MOUNTAIN CAPITAL MANAGEMENT INC · CIK 0001374607 · 10% owner RMCP GP LLC · CIK 0001374606 · 10% owner RMCP DPC II LLC · CIK 0001688392 · 10% owner RMCP DPC LLC · CIK 0001688393 · 10% owner RMCP PIV DPC, L.P. · CIK 0001688395 · 10% owner RMCP PIV DPC II, L.P. · CIK 0001688394 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote and Remarks below. Disclosed balance after: 2,556,952 F1 · price: These shares of Common Stock were purchased by Red Mountain Capital Partners LLC ("RMCP") on the open market at $3.30 per share. F2 · ownership.nature: 2,525,052 of these shares are held directly by RMCP PIV DPC, L.P. ("DPC PIV") and the remaining shares are held directly by RMCP. Read SEC document
December 16, 2016 Filed Dec 16, 2016 17:09 UTC	Yuma Energy, Inc. YUMA · Entity 144264	PurchaseCommon Stock	8,100	$3.39	$27,429.84	Disclosure SEC source: 0001209191-16-155698 · doc4.xml · nonDerivative · entry 3 MESDAG WILLEM · CIK 0001374566 · 10% owner RED MOUNTAIN CAPITAL PARTNERS LLC · CIK 0001374588 · 10% owner RED MOUNTAIN CAPITAL MANAGEMENT INC · CIK 0001374607 · 10% owner RMCP GP LLC · CIK 0001374606 · 10% owner RMCP DPC II LLC · CIK 0001688392 · 10% owner RMCP DPC LLC · CIK 0001688393 · 10% owner RMCP PIV DPC, L.P. · CIK 0001688395 · 10% owner RMCP PIV DPC II, L.P. · CIK 0001688394 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote and Remarks below. Disclosed balance after: 2,556,852 F4 · price: 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 $3.26 to $3.41, inclusive. Each of DPC PIV, DPC, RMCP GP, RMCP LLC, 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. F2 · ownership.nature: 2,525,052 of these shares are held directly by DPC PIV and the remaining shares are held directly by RMCP LLC. Read SEC document
December 15, 2016 Filed Dec 16, 2016 17:09 UTC	Yuma Energy, Inc. YUMA · Entity 144264	PurchaseCommon Stock	10,630	$3.42	$36,403.50	Disclosure SEC source: 0001209191-16-155698 · doc4.xml · nonDerivative · entry 2 MESDAG WILLEM · CIK 0001374566 · 10% owner RED MOUNTAIN CAPITAL PARTNERS LLC · CIK 0001374588 · 10% owner RED MOUNTAIN CAPITAL MANAGEMENT INC · CIK 0001374607 · 10% owner RMCP GP LLC · CIK 0001374606 · 10% owner RMCP DPC II LLC · CIK 0001688392 · 10% owner RMCP DPC LLC · CIK 0001688393 · 10% owner RMCP PIV DPC, L.P. · CIK 0001688395 · 10% owner RMCP PIV DPC II, L.P. · CIK 0001688394 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote and Remarks below. Disclosed balance after: 2,548,752 F3 · price: 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 $3.38 to $3.55, inclusive. Each of DPC PIV, DPC, RMCP GP, RMCP LLC, 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. F2 · ownership.nature: 2,525,052 of these shares are held directly by DPC PIV and the remaining shares are held directly by RMCP LLC. Read SEC document
December 14, 2016 Filed Dec 16, 2016 17:09 UTC	Yuma Energy, Inc. YUMA · Entity 144264	PurchaseCommon Stock	13,070	$3.52	$45,942.36	Disclosure SEC source: 0001209191-16-155698 · doc4.xml · nonDerivative · entry 1 MESDAG WILLEM · CIK 0001374566 · 10% owner RED MOUNTAIN CAPITAL PARTNERS LLC · CIK 0001374588 · 10% owner RED MOUNTAIN CAPITAL MANAGEMENT INC · CIK 0001374607 · 10% owner RMCP GP LLC · CIK 0001374606 · 10% owner RMCP DPC II LLC · CIK 0001688392 · 10% owner RMCP DPC LLC · CIK 0001688393 · 10% owner RMCP PIV DPC, L.P. · CIK 0001688395 · 10% owner RMCP PIV DPC II, L.P. · CIK 0001688394 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote and Remarks below. Disclosed balance after: 2,538,122 F1 · price: 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 $3.43 to $3.60, inclusive. Each of RMCP PIV DPC, L.P. ("DPC PIV"), RMCP DPC LLC ("DPC"), RMCP GP LLC ("RMCP GP"), RMCP LLC, Red Mountain Capital Partners LLC ("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. F2 · ownership.nature: 2,525,052 of these shares are held directly by DPC PIV and the remaining shares are held directly by RMCP LLC. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.