UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C.
20549
FORM
10-Q/A
(Amendment
No. 1)
[X]
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934
For the quarterly
period ended September 30, 2016
[
] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
For the transition
period from
to
Commission
File Number: 001-32989
Yuma Energy, Inc.
(Exact name of registrant as specified in its charter)
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CALIFORNIA
(State or other jurisdiction of incorporation)
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94-0787340
(IRS Employer Identification No.)
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1177 West Loop South, Suite 1825
Houston, Texas
(Address of principal executive offices)
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77027
(Zip Code)
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(713) 968-7000
(Registrant’s telephone number, including area
code)
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N/A
(Former name, former address and former fiscal year, if changed
since last report)
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Indicate by check
mark whether the registrant (1) has filed all reports required to
be filed by Section 13 or 15(d) of the Securities Exchange Act of
1934 during the preceding 12 months (or for such shorter period
that the registrant was required to file such reports), and (2) has
been subject to such filing requirements for the past 90 days. Yes
[X] No [ ]
Indicate by check
mark whether the registrant has submitted electronically and posted
on its corporate Web site, if any, every Interactive Data File
required to be submitted and posted pursuant to Rule 405 of
Regulation S-T (§232.405 of this chapter) during the preceding
12 months (or for such shorter period that the registrant was
required to submit and post such files). Yes [X] No [
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Indicate by check
mark whether the registrant is a large accelerated file, an
accelerated file, a non-accelerated filer, or a smaller reporting
company. See the definitions of “large accelerated
file,” “accelerated filer” and “smaller
reporting company” in Rule 12b-2 of the Exchange
Act.
Larger accelerated
filer [
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Accelerated filer [ ]
Non-accelerated
filer [ ] (Do not check if a smaller reporting
company)
Smaller reporting company [X]
Indicate by check
mark whether the registrant is a shell company (as defined in Rule
12b-2 of the Exchange Act). Yes [ ] No [X]
At October 25,
2016, 3,775,636 shares of the registrant’s common stock, no
par value, were outstanding.
Explanatory Note
The purpose of the
Amendment No. 1 on Form 10–Q/A to Yuma Energy, Inc. quarterly
report of Form 10–Q for the quarter ended September 30, 2016,
filed with the Securities and Exchange Commission on November 14,
2016 (the “Form 10–Q”), is solely to furnish
Exhibit 101 to the Form 10–Q in accordance with Rule 405 of
Regulation S–T. Due to a technical
error, the eXtensible Business Reporting Language
(“XBRL”) data associated with the Form 10-Q was omitted
from that filing.
No other changes
have been made to the Form 10–Q. This Amendment No. 1 speaks
as of the original filing date of the Form 10–Q, does not
reflect events that may have occurred subsequent to the original
filing date and does not modify or update in any way disclosures
made in the original Form 10–Q.
Item
6. Exhibits.
EXHIBIT
INDEX
FOR
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Form 10-Q for the quarter ended September 30, 2016.
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Incorporated by
Reference
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Exhibit
No.
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Description
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Form
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SEC File
No.
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Exhibit
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Filing
Date
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Filed
Herewith
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Furnished
Herewith
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Certification
of the Principal Executive Officer pursuant to Section 302 of the
Sarbanes-Oxley Act.
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X
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Certification
of the Principal Financial Officer pursuant to Section 302 of the
Sarbanes-Oxley Act.
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Certification
of the Chief Executive Officer pursuant to Section 906 of the
Sarbanes-Oxley Act.
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Certification
of the Chief Financial Officer pursuant to Section 906 of the
Sarbanes-Oxley Act.
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X
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101.INS
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XBRL
Instance Document.
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X
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101.SCH
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XBRL
Schema Document.
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101.CAL
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XBRL
Calculation Linkbase Document.
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101.DEF
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XBRL
Definition Linkbase Document.
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101.LAB
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XBRL
Label Linkbase Document.
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101.PRE
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XBRL
Presentation Linkbase Document.
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39
SIGNATURES
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 thereunto duly authorized.
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YUMA ENERGY, INC.
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By:
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/s/ Sam
L. Banks
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Name:
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Sam L.
Banks
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Date:
November 15, 2016
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Title:
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President
and Chief Executive Officer
(Principal
Executive Officer)
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By:
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/s/
James J. Jacobs
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Date:
November 15, 2016
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Name:
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James
J. Jacobs
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Title:
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Chief
Financial Officer (Principal Financial Officer)
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40