X0203 0001143313 NYSE MKT LLC 81318 Yuma Energy, Inc. 001-32989

2008 21st Street P O Box 832 Suite 1825 Bakersfield CA CALIFORNIA 93302

661-325-1000 9.25% Series A Cumulative Redeemable Preferred Stock 17 CFR 240.12d2-2(a)(3) Victoria Paper Senior Analyst 2016-10-28