SEC Form 4/A · accession 0001209191-15-061543
HARVEST NATURAL RESOURCES, INC. · HNR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Robert Speirs
Officer — Senior Vice President
Period of report
May 17, 2015
Accepted (ET)
Jul 17, 2015 · 5:20 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000845289
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $.01 par value per shareF1,F2,F3 | May 17, 2015 | M | 27,000 | — | A | 252,483 | D | |
| Common Stock, $.01 par value per share | May 17, 2015 | D | 27,000 | $1.44 | D | 225,483 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF8,F2,F9 | — | May 17, 2015 | M | 27,000 | D | May 17, 2015 | May 17, 2015 | Common Stock, $0.1 par value per share | 27,000 | 612,800 | D |
| Stock OptionsF4,F5 | — | holding | — | — | — | — | — | Common Stock, $0.1 par value per share | — | 426,800 | D |
| Stock Appreciation RightF7,F6 | — | holding | — | — | — | — | — | Common Stock, $0.1 par value per share | — | 534,800 | D |
Explanation of responses
- F1Due to a clerical error, this filing reflects the inadvertent omission to report Phantom Stock vested on May 17, 2015.
- F2Each share of phantom stock is the economic equivalent of one share of HNR common stock. The Company settled such phantom stock for cash on June 26, 2015. Although reflected in Table I, no common stock was actually acquired or disposed of.
- F3Includes shares of restricted stock granted to the reporting person by the Company's board of directors pursuant to various plans.
- F4Includes options to purchase the Company's common stock granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices.
- F5The following options expired by their own terms: 40,000 on 5/15/2015 and 47,800 on 5/20/2015.
- F6Includes Stock Appreciation Rights granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices.
- F7Includes options to purchase the Company's common stock and Stock Appreciation Rights granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices.
- F8This amendment is to correct an incorrect number reported in columns 5 and 7 in the previous filing. The total reported in column 9 in the previous filing was reported correctly.
- F9Includes options to purchase the Company's common stock, Stock Appreciation Rights and Phantom Stock (Restricted Stock Units) granted pursuant to various plans and having varying exercise dates, expiration dates and exercise prices.