SEC Form 4 · accession 0001209191-15-070341
HARVEST NATURAL RESOURCES, INC. · HNR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick M Murray
Director
Period of report
Sep 9, 2015
Accepted (ET)
Sep 11, 2015 · 4:35 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 | holding | — | — | — | 237,521 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF3,F5,F4 | — | Sep 9, 2015 | A | 53,334 | A | — | — | Common Stock, $.01 par value per share | 53,334 | 58,334 | D |
| Stock OptionsF2 | — | holding | — | — | — | — | — | Common Stock, $.01 par value per share | — | 5,000 | D |
Explanation of responses
- F1Includes shares of restricted stock granted to the reporting person by the Company's board of directors pursuant to various plans.
- F2Options to purchase the Company's common stock granted pursuant to the Company's 2006 Long-Term Incentive Plan.
- F3Each share of phantom stock is the economic equivalent of one share of HNR common stock.
- F4Phantom Stock granted vests on the first anniversary of the grant and will be exercisable in full on September 9, 2016.
- F5Includes options to purchase the Company's common stock pursuant to the Company's 2006 Long-Term Incentive Plan and Phantom Stock Unit Awards granted.